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| 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 |
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| 10:10:1.0.1.1.13.1.76.1 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.1 Application. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | (a) This part applies to claims for the payment of debts owed to the United States Government in the form of money or property and; unless a different procedure is specified in a statute, regulation, or contract; prescribes procedures by which the NRC— (1) Collects, compromises, suspends, offsets, and terminates collection action for claims; (2) Determines and collects interest and other charges on these claims; and (3) Refers unpaid claims over 180 days delinquent to Treasury for offset and collection and to the DOJ for litigation. (b) The following are examples of kinds of debts to which special statutory and administrative procedures apply: (1) A claim against an employee for erroneous payment of pay and allowances subject to waiver under 5 U.S.C. 5584 are covered by the provisions of 10 CFR part 16. (2) A claim against an applicant for, or a holder or former holder of, an NRC license involving the payment of civil penalties imposed by the NRC under 10 CFR 2.205. (3) A claim involved in a case pending before any Federal Contract Appeals Board or Grant Appeals Board. However, nothing in this part prevents negotiation and settlement of a claim pending before a Board. (c) The NRC is not limited to collection remedies contained in the revised Federal Claims Collection Standards (FCCS). The FCCS is not intended to impair common law remedies. | ||||
| 10:10:1.0.1.1.13.1.76.2 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.2 Definitions. | NRC | [55 FR 32377, Aug. 9, 1990, as amended at 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | Administrative offset means withholding money payable by the United States Government to, or held by the Government for, a person to satisfy a debt the person owes the United States Government. Administrative wage garnishment is the process of withholding amounts from an employee's disposable pay and the paying of those amounts to a creditor in satisfaction of a withholding order. Claim and debt are used synonymously to refer to an amount of money, funds, or property that has been determined by an agency official to be owed to the United States from any person, organization, or entity, except another Federal agency. For the purposes of administrative offset under 31 U.S.C. 3716, the terms claim and debt include an amount of money, funds, or property owed by a person to a State (including past-due support being enforced by a State), the District of Columbia, American Samoa, Guam, the United States Virgin Islands, the Commonwealth of the Northern Mariana Islands, or the Commonwealth of Puerto Rico. Cross-servicing means that the Treasury or another debt collection center is taking appropriate debt collection action on behalf of one or more Federal agencies or a unit or subagency thereof. Delinquent. A debt is considered delinquent if it has not been paid by the date specified in the initial written demand for payment or applicable contractual agreement with the NRC unless other satisfactory payment arrangements have been made by that date. If the debtor fails to satisfy obligations under a payment agreement with the NRC after other payment arrangements have been made, the debt becomes a delinquent debt. Federal agencies include agencies of the executive, legislative, and judicial branches of the Government, including Government corporations. License means any license, permit, or other approval issued by the Commission. Payment in full means payment of the total debt due the United States, including any interest, penalty, and administrative costs of collection assessed against the debtor. Recou… | ||||
| 10:10:1.0.1.1.13.1.76.3 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.3 Communications. | NRC | [68 FR 58801, Oct. 10, 2003, as amended at 74 FR 62680, Dec. 1, 2009; 80 FR 74978, Dec. 1, 2015] | Unless otherwise specified, communications concerning the regulations in this part may be addressed to the Secretary of the Nuclear Regulatory Commission and sent either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, ATTN: Rulemakings and Adjudications Staff; by hand delivery to the NRC's offices at 11555 Rockville Pike, One White Flint North, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. | ||||
| 10:10:1.0.1.1.13.1.76.4 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.5 Claims that are covered. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32377, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30318, May 6, 2002] | (a) These procedures generally apply to any claim for payment of a debt which: (1) Results from activities of the NRC, including fees imposed under part 170 and part 171; or (2) Is referred to the NRC for collection. (b) These procedures do not apply to: (1) A claim based on a civil monetary penalty for violation of a licensing requirement unless § 2.205 of this chapter provides otherwise; (2) A claim as to which there is an indication of fraud, the presentation of a false claim, or misrepresentation on the part of the debtor or any other party having an interest in the claim; (3) A claim based in whole or in part on conduct in violation of the antitrust laws; (4) A claim under the Internal Revenue Code of 1986. (5) A claim between Federal agencies. Federal agencies should attempt to resolve interagency claims as referenced in Executive Order 12146 (3 CFR, 1980 Comp., pp. 409-412). (6) A claim once it becomes subject to salary offset under 5 U.S.C. 5514. These claims are subject to the provisions of 10 CFR part 16. (7) A claim involving bankruptcy is covered by Title 11 of the United States Code. | ||||
| 10:10:1.0.1.1.13.1.76.5 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.7 Monetary limitation on NRC's authority. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 67 FR 30318, May 6, 2002] | The NRC's authority to compromise a claim, or to terminate or suspend collection action on a claim covered by these procedures, is limited by 31 U.S.C. 3711(a) to claims that— (a) Have not been referred to another Federal Agency for further collection actions; and (b) Do not exceed $100,000 (exclusive of interest, penalties, and administrative charges) or such higher amount as the Attorney General shall from time to time prescribe for purposes of compromise or suspension or termination of collection activity. | ||||
| 10:10:1.0.1.1.13.1.76.6 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.8 Information collection requirements: OMB approval. | NRC | [67 FR 30319, May 6, 2002] | This part contains no information collection requirements, and therefore, is not subject to the requirements of the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). | ||||
| 10:10:1.0.1.1.13.1.76.7 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.9 No private rights created. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 67 FR 30319, May 6, 2002] | (a) The failure of NRC to include in this part any provision of the FCCS, 31 CFR Chapter IX, parts 900-904, does not prevent the NRC from applying these provisions. (b) A debtor may not use the failure of the NRC to comply with any provision of this part or of the Federal Claims Collections Standards as a defense. | ||||
| 10:10:1.0.1.1.13.1.76.8 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.11 Form of payment. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 67 FR 30319, May 6, 2002] | These procedures are directed primarily to the recovery of money on behalf of the Government. The NRC may demand: (a) The return of specific property; or (b) The performance of specific services. | ||||
| 10:10:1.0.1.1.13.1.76.9 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | A | Subpart A—Application and Coverage | § 15.13 Subdivision of claims. | NRC | [55 FR 32378, Aug. 9, 1990] | The NRC shall consider a debtor's liability arising from a particular transaction or contract as a single claim in determining whether the claim is less than the monetary limitation for the purpose of compromising or suspending or terminating collection action. A claim may not be subdivided to avoid the monetary limitation established by 31 U.S.C. 3711(a)(2) and § 15.7. | ||||
| 10:10:1.0.1.1.13.2.76.1 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.20 Aggressive agency collection activity. | NRC | [67 FR 30319, May 6, 2002, as amended at 79 FR 66602, Nov. 10, 2014] | (a) The NRC shall take aggressive action to collect all debts. These collection activities will be undertaken promptly and follow-up action will be taken as appropriate. These regulations do not require the Department of Justice, Department of the Treasury (Treasury), or any other Treasury-designated collection center to duplicate collection activities previously undertaken by NRC. (b) Debt referred or transferred to Treasury or to a Treasury-designated debt collection center under the authority of 31 U.S.C. 3711(g) must be serviced, collected, or compromised, or the collection action will be suspended or terminated, in accordance with the statutory requirements and authorities applicable to the collection of the debts. (c) The NRC shall cooperate with other agencies in their debt collection activities. (d) The NRC will consider referring debts that are less than 120 days delinquent to Treasury or to a Treasury-designated debt collection center to accomplish efficient, cost-effective debt collection. Referrals to debt collection centers are at the discretion of, and for a time period acceptable to, Treasury. (e) The NRC shall transfer any debt that has been delinquent for 120 days or more to Treasury so that it may take appropriate action to collect the debt or terminate collection actions. This requirement does not apply to any debt that— (1) Is in litigation or foreclosure; (2) Will be disposed of under an approved asset sale program; (3) Has been referred to a private collection contractor for a period of time acceptable to Treasury; (4) Is at a debt collection center for a period of time acceptable to Treasury; (5) Will be collected under internal offset procedures within 3 years after the date the debt first became delinquent; or (6) Is exempt from this requirement based on a determination by Treasury that exemption for a certain class of debt is in the best interest of the United States. (f) Agencies operating Treasury-designated debt collection centers are authorized to charge a fee for services… | ||||
| 10:10:1.0.1.1.13.2.76.10 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.33 Collection by administrative offset. | NRC | [67 FR 30320, May 6, 2002, as amended at 79 FR 66602, Nov. 10, 2014] | (a) Application. (1) The NRC may administratively undertake collection by centralized offset on each claim which is liquidated or certain in amount in accordance with the guidance and standards in 31 CFR Chapter IX, parts 900-904 and 5 U.S.C. 5514. (2) This section does not apply to: (i) Debts arising under the Social Security Act, except as provided in 42 U.S.C. 404; (ii) Payments made under the Social Security Act, except as provided for in 31 U.S.C. 3716(c) (see 31 CFR 285.4, Federal Benefit Offset); (iii) Debts arising under, or payments made under, the Internal Revenue Code (see 31 CFR 285.2, Tax Refund Offset) or the tariff laws of the United States; (iv) Offsets against Federal salaries to the extent these standards are inconsistent with regulations published to implement such offsets under 5 U.S.C. 5514 and 31 U.S.C. 3716 (see 5 CFR part 550, subpart K, and 31 CFR 285.7, Federal Salary Offset); (v) Offsets under 31 U.S.C. 3728 against a judgment obtained by a debtor against the United States; (vi) Offsets or recoupments under common law, State law, or Federal statutes specifically prohibiting offsets or recoupments of particular types of debts; or (vii) Offsets in the course of judicial proceedings, including bankruptcy. (3) Unless otherwise provided for by contract or law, debts or payments that are not subject to administrative offset under 31 U.S.C. 3716 may be collected by administrative offset under the common law or their applicable statutory authority. (4) Unless otherwise provided by law, the NRC may not initiate administrative offset of payments under the authority of 31 U.S.C. 3716 to collect a debt more than 10 years after the Government's right to collect the debt first accrued, unless facts material to the Government's right to collect the debt were not known and could not reasonably have been known to the NRC, or collection of “approval” fees has been deferred under 10 CFR part 170. If the collection of “approval” fees has been deferred, the ten-year period begins to run at the e… | ||||
| 10:10:1.0.1.1.13.2.76.11 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.35 Payments. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 52 FR 31610, Aug. 21, 1987; 54 FR 53316, Dec. 28, 1989; 55 FR 32379, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 63 FR 15743, Apr. 1, 1998; 67 FR 30322, May 6, 2002; 89 FR 51810, June 20, 2024] | (a) Payment in full. The NRC shall make every effort to collect a claim in full before it becomes delinquent. If a claim is paid in one lump sum after it becomes delinquent, the NRC shall impose charges for interest, penalties, and administrative costs as specified in § 15.37. (b) Payment by installment. If a debtor furnishes satisfactory evidence of inability to pay a claim in one lump sum, payment in regular installments may be arranged. Evidence may consist of a financial statement or a signed statement that the debtor's application for a loan to enable the debtor to pay the claim in full was rejected. Except for a claim described in 5 U.S.C. 5514 and codified in 10 CFR part 16, all installment payment arrangements must be in writing and require the payment of interest and administrative charges. (1) Installment note forms may be used. The written installment agreement must contain a provision accelerating the debt payment in the event the debtor defaults. If the debtor's financial statement discloses the ownership of assets which are free and clear of liens or security interests, or assets in which the debtor owns an equity, the debtor may be asked to secure the payment of an installment note by executing a Security Agreement and Financing Statement transferring to the United States a security interest in the asset until the debt is discharged. (2) If the debtor owes more than one debt, the NRC will apply the payment to the various debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case. (c) To whom payment is made. Payment of a debt is to be made payable to the U.S. Nuclear Regulatory Commission. The payments are to be made in U.S. funds using the electronic payment methods accepted at www.Pay.gov. Federal agencies may also make payment by Intra Governmental Payment and Collection (IPAC). Payments should be made to the U.S. Nuclear Regulatory Commission unless payment is— (1) Made pursuant to arrangements with DOJ; (2… | ||||
| 10:10:1.0.1.1.13.2.76.12 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.37 Interest, penalties, and administrative costs. | NRC | [55 FR 32380, Aug. 9, 1990, as amended at 67 FR 30322, May 6, 2002; 86 FR 32169, June 16, 2021] | (a) The NRC shall assess interest, penalties, and administrative costs on debts owed to the United States Government in accordance with the guidance provided under the FCCS, 31 CFR 901.9. (b) Before assessing any charges on delinquent debt, the NRC shall mail or hand-deliver a written notice to the debtor explaining its requirements concerning these charges under 31 CFR 901.2 and 901.9, except where these charges are included in a contractual or repayment agreement. (c) Interest begins to accrue from the date on which the initial written demand, advising the debtor of the interest requirements, is first mailed or hand delivered to the debtor unless a different date is specified in a statute, regulation, or contract. (d) The NRC shall assess interest based upon the rate of the current value of funds to the United States Treasury (the Treasury tax and loan account rate) prescribed for the current quarter and published in the Federal Register and the Treasury Financial Manual Bulletins, unless a different rate is prescribed by statute, regulation, or contract. (e) Interest is computed only on the principal of the debt and the interest rate remains fixed for the duration of the indebtedness, unless a debtor defaults on a repayment agreement and seeks to enter into a new agreement. (f) The NRC shall assess against a debtor charges to cover administrative costs incurred as a result of a delinquent debt. Administrative costs may include costs incurred in obtaining a credit report or in using a private debt collector, to the extent they are attributable to the delinquency. (g) The NRC shall assess a penalty charge of 6 percent a year on any portion of a debt that is delinquent for more than 90 days. The charge accrues retroactively to the date that the debt became delinquent. (h) Amounts received by the NRC as partial or installment payments are applied first to outstanding penalty and administrative cost charges, second to accrued interest, and third to outstanding principal. (i) The NRC shall waive collection… | ||||
| 10:10:1.0.1.1.13.2.76.13 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.38 Use of credit reports. | NRC | [55 FR 32380, Aug. 9, 1990] | The NRC may institute a credit investigation of the debtor at any time following receipt of knowledge of the debt in order to aid NRC in making appropriate determinations as to: (a) The collection and compromise of a debt; (b) The collection of interest, penalties, and administrative costs; (c) The use of administrative offset; (d) The use of other collection methods; and (e) The likelihood of collecting the debt. | ||||
| 10:10:1.0.1.1.13.2.76.14 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.39 Bankruptcy claims. | NRC | [67 FR 30322, May 6, 2002] | When the NRC learns that a bankruptcy petition has been filed with respect to a debtor, before proceeding with further collection action, the NRC will immediately seek legal advice from its Office of the General Counsel concerning the impact of the Bankruptcy Code on any pending or contemplated collection activities. Unless the NRC determines that the automatic stay imposed at the time of filing pursuant to 11 U.S.C. 362 has been lifted or is no longer in effect, collection activity against the debtor will in most cases stop immediately. (a) After seeking legal advice from its Office of the General Counsel, a proof of claim usually will be filed with the bankruptcy court or the Trustee. (b) If the NRC is a secured creditor, it may seek relief from the automatic stay regarding its security, subject to the provisions and requirements of 11 U.S.C. 362. (c) Offset is stayed in most cases by the automatic stay. However, the NRC will seek legal advice from its Office of the General Counsel to determine whether its payments to the debtor and payments of other agencies available for offset may be frozen by the agency until relief from the automatic stay can be obtained from the bankruptcy court. The NRC will seek legal advice from its Office of the General Counsel to determine if recoupment is available. | ||||
| 10:10:1.0.1.1.13.2.76.2 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.21 Written demands for payment. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990; 56 FR 51830, Oct. 16, 1991; 67 FR 30319, May 6, 2002] | (a) The NRC shall make appropriate written demands upon the debtor for payment of money or the return of specific property in terms which specify: (1) The basis of the indebtedness and the right of the debtor to seek review within the NRC; (2) The amount claimed; (3) A description of any property which is to be returned by a date certain; (4) The date on which payment is to be made (which is normally the date the initial written demand letter statement was mailed or hand delivered, unless otherwise specified by contractual agreement, established by Federal statute or regulation, or agreed to under a payment agreement); (5) The applicable standards for assessing interest, penalties, and administrative costs under 31 CFR 901.9; (6) The applicable policy for reporting the delinquent debt to consumer reporting agencies; and (7) The name, address, and phone number of a contact person or office within the NRC will be included with each demand letter. (b) The NRC shall normally send two demand letters to debtors. The initial demand letter will be followed approximately 30 days later with a second demand letter, unless circumstances indicate that alternative remedies better protect the Government's interest, that the debtor has explicitly refused to pay, or that sending a further demand letter is futile. Depending upon the circumstances, the first and second demand letters may— (1) Offer or seek to confer with the debtor; (2) State the amount of the interest and penalties that will be added on a daily basis as well as the administrative costs that will be added to the debt until the debt is paid; and (3) State that the authorized collection procedures include any procedure authorized in this part including: (i) Contacts with the debtor's employer when the debtor is employed by the Federal Government or is a member of the military establishment or the Coast Guard; (ii) The NRC may report debts to credit bureaus, refer debts to debt collection centers and collection agencies for cross-servicing (including wage… | ||||
| 10:10:1.0.1.1.13.2.76.3 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.23 Telephone or internet inquiries and investigations. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 67 FR 30319, May 6, 2002] | (a) If a debtor has not responded to one or more demands, the NRC shall make reasonable efforts by telephone or internet to determine the debtor's intentions. (b) The NRC may undertake an investigation to locate a debtor if the whereabouts of a debtor is a problem, or if a debtor cannot be contacted by telephone. (c) The NRC, under 15 U.S.C. 1681(f), may obtain consumer credit information from private firms, including the name, address, former addresses, place of employment, and former places of employment of a debtor. | ||||
| 10:10:1.0.1.1.13.2.76.4 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.25 Personal interviews. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32378, Aug. 9, 1990] | (a) The NRC may seek an interview with the debtor at the offices of the NRC when— (1) A matter involved in the claim needs clarification; (2) Information is needed concerning the debtor's circumstances; or (3) An agreement for payment might be negotiated. (b) The NRC shall grant an interview with a debtor upon the debtor's request. The NRC will not reimburse a debtor's interview expenses. | ||||
| 10:10:1.0.1.1.13.2.76.5 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.26 Reporting claims. | NRC | [55 FR 32378, Aug. 9, 1990, as amended at 67 FR 30319, May 6, 2002] | (a) In addition to assessing interest, penalties, and administrative costs under § 15.37, the NRC may report a debt that has been delinquent for 90 days to a consumer reporting agency if all the conditions of this paragraph are met. (1) The debtor has not— (i) Paid or agreed to pay the debt under a written payment plan that has been signed by the debtor and agreed to by the NRC; or (ii) Filed for review of the debt under § 15.26 (a)(2)(iv). (2) The NRC has included a notification in the second written demand (see § 15.21(b)) to the individual debtor stating— (i) That the payment of the debt is delinquent; (ii) That within not less than 60 days after the date of the notification, the NRC intends to disclose to a consumer reporting agency that the individual debtor is responsible for the debt; (iii) The specific information to be disclosed to the consumer reporting agency; and (iv) That the debtor has a right to a complete explanation of the debt (if that has not already been given), to dispute information in NRC records about the debt, and to request reconsideration of the debt by administrative appeal or review of the debt. (3) The NRC has reconsidered its initial decision on the debt when the debtor has requested a review under paragraph (a)(2)(iv) of this section. (4) The NRC has taken reasonable action to locate a debtor for whom the NRC does not have a current address to send the notification provided for in paragraph (a)(2) of this section. (b) If there is a substantial change in the condition or amount of the debt, the NRC shall— (1) Promptly disclose that fact(s) to each consumer reporting agency to which the original disclosure was made; (2) Promptly verify or correct information about a debt on request of a consumer reporting agency for verification of information disclosed by the NRC; and, (3) Obtain assurances from the consumer reporting agency that the agency is complying with all applicable Federal, state and local laws relating to its use of consumer credit information. (c) The inform… | ||||
| 10:10:1.0.1.1.13.2.76.6 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.27 Contact with debtor's employing agency. | NRC | [56 FR 51830, Oct. 16, 1991] | If the debtor is employed by the Federal government or is a member of the military establishment or the Coast Guard, collection by offset must be accomplished in accordance with 5 U.S.C. 5514 and the provisions of 10 CFR part 16. | ||||
| 10:10:1.0.1.1.13.2.76.7 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.29 Suspension or revocation of license. | NRC | [67 FR 30320, May 6, 2002] | In non-bankruptcy cases, the NRC may suspend or revoke any license, permit, or approval which the NRC has granted to the debtor for any inexcusable, prolonged, or repeated failure of the debtor to pay a delinquent debt. Before suspending or revoking any license, permit, or approval for failure to pay a debt, the NRC shall issue to the debtor (by certified mail) an order or a demand for information as to why the license, permit, or approval should not be suspended or revoked. The NRC shall allow the debtor no more than 30 days to pay the debt in full, including applicable interest, penalties, and administrative costs of collection of the delinquent debt. The NRC may revoke the license, permit, or approval at the end of this period. If a license is revoked under authority of this part, a new application, with appropriate fees, must be made to the NRC. The NRC may not consider an application unless all previous delinquent debts of the debtor to the NRC have been paid in full. The suspension or revocation of a license, permit, or approval is also applicable to Federal programs or activities that are administered by the states on behalf of the Federal Government to the extent that they affect the Federal Government's ability to collect money or funds owed by debtors. In bankruptcy cases, before advising the debtor of NRC's intention to suspend or revoke licenses, permits, or approvals, the NRC will seek legal advice from its Office of the General Counsel concerning the impact of the Bankruptcy Code which may restrict such action. | ||||
| 10:10:1.0.1.1.13.2.76.8 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.31 Disputed debts. | NRC | [86 FR 32169, June 16, 2021] | (a) Submitting a dispute of debt. For any type of charges assessed by the NRC, a debtor may submit a dispute of debt within 45 days from the date of the initial demand letter. The debtor shall explain why the debt is incorrect in fact or in law and may support the explanation by affidavit, cancelled checks, or other relevant evidence. The dispute must be submitted to the Office of the Chief Financial Officer via the eBilling system, by email to FeeBillingInquiries.Resource@nrc.gov, or by mail to the Office of the Chief Financial Officer at: U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attn: Chief Financial Officer. For debt disputes related to charges for 10 CFR part 170 fees, the debtor must complete and submit an NRC Form 529 with the required information. (b) Notification of receipt. Following receipt of the dispute, the NRC will acknowledge receipt to the contact person identified by the debtor. (c) Dispute review. The NRC will consider the facts involved in the dispute and, if it considers it necessary, arrange for a conference during which the debtor may present evidence and any arguments in support of the debtor's position. If the debtor's dispute potentially raises an error, the NRC may extend the interest waiver period as described in § 15.37(j) pending a final determination of the existence or amount of the debt. (d) Dispute resolution. If the NRC finds that the dispute has not identified an error, the NRC will notify the dispute contact. If the NRC finds that the dispute has identified an error, the NRC will: (1) Notify the dispute contact; (2) Make corrections to the charges or information on the demand letter; and (3) Issue a revised demand letter. | ||||
| 10:10:1.0.1.1.13.2.76.9 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | B | Subpart B—Administrative Collection of Claims | § 15.32 Contracting for collection services. | NRC | [67 FR 30320, May 6, 2002] | The NRC may contract for collection services in order to recover delinquent debts only if the debts are not subject to the DCIA requirement to transfer debts to Treasury for debt collection services, e.g. debts that are less than 180 days delinquent. However, the NRC retains the authority to resolve disputes, compromise claims, suspend or terminate collection action, and initiate enforced collection through litigation. When appropriate, the NRC shall contract for collection services in accordance with the guidance and standards contained in 31 CFR chapter IX, parts 900-904. | ||||
| 10:10:1.0.1.1.13.3.76.1 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | C | Subpart C—Compromise of a Claim | § 15.41 When a claim may be compromised. | NRC | [67 FR 30322, May 6, 2002] | (a) The NRC may compromise a claim not in excess of the monetary limitation if it has not been referred to DOJ for litigation. (b) Unless otherwise provided by law, when the principal balance of a debt, exclusive of interest, penalties, and administrative costs, exceeds $100,000 or any higher amount authorized by the Attorney General, the authority to accept the compromise rests with the DOJ. The NRC will evaluate the compromise offer, using the factors set forth in this part. If an offer to compromise any debt in excess of $100,000 is acceptable to the NRC, the NRC shall refer the debt to the Civil Division or other appropriate litigating division in the DOJ using a CCLR. The referral must include appropriate financial information and a recommendation for the acceptance of the compromise offer. DOJ approval is not required if the compromise offer is rejected by NRC. | ||||
| 10:10:1.0.1.1.13.3.76.2 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | C | Subpart C—Compromise of a Claim | § 15.43 Reasons for compromising a claim. | NRC | [47 FR 7616, Feb. 22, 1982, as amended at 55 FR 32380, Aug. 9, 1990; 67 FR 30322, May 6, 2002] | A claim may be compromised for one or more of the reasons set forth below: (a) The full amount cannot be collected because: (1) The debtor is unable to pay the full amount within a reasonable time; or (2) The debtor refuses to pay the claim in full and the Government is unable to enforce collection in full within a reasonable time by enforced collection proceedings. (b) There is a real doubt concerning the Government's ability to prove its case in Court for the full amount claimed, either because of the legal issues involved or a bona fide dispute as to the facts. (c) The cost of collecting the claim does not justify the enforced collection of the full amount. The NRC shall apply this reason for compromise in accordance with the guidance in 31 CFR 902.2. (d) The NRC shall determine the debtor's inability to pay, the Government's ability to enforce collection, and the amounts that are acceptable in compromise in accordance with the FCCS, 31 CFR part 902. (e) Compromises payable in installments are discouraged, but, if necessary, must be in the form of a legally enforceable agreement for the reinstatement of the prior indebtedness less sums paid thereon. The agreement also must provide that in the event of default— (1) The entire balance of the debt becomes immediately due and payable; and (2) The Government has the right to enforce any security interest. | ||||
| 10:10:1.0.1.1.13.3.76.3 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | C | Subpart C—Compromise of a Claim | § 15.45 Consideration of tax consequences to the Government. | NRC | [67 FR 30322, May 6, 2002] | (a) The NRC may accept a percentage of a debtor's profits or stock in a debtor corporation in compromise of a claim. In negotiating a compromise with a business concern, the NRC should consider requiring a waiver of tax-loss-carry-forward and tax-loss-carry-back rights of the debtor. For information on reporting requirements, see § 15.60. (b) When two or more debtors are jointly and severally liable, the NRC will pursue collection activity against all debtors, as appropriate. The NRC will not attempt to allocate the burden of payment between the debtors but will proceed to liquidate the indebtedness as quickly as possible. The NRC will ensure that a compromise agreement with one debtor does not release the NRC's claim against the remaining debtors. The amount of a compromise with one debtor shall not be considered a precedent or binding in determining the amount that will be required from other debtors jointly and severally liable on the claim. | ||||
| 10:10:1.0.1.1.13.3.76.4 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | C | Subpart C—Compromise of a Claim | § 15.47 Finality of a compromise. | NRC | An offer of compromise must be in writing and signed by the debtor. An offer of compromise which is accepted by the NRC is final and conclusive on the debtor and on all officials, agencies, and courts of the United States, unless obtained by fraud, misrepresentation, the presentation of a false claim, or mutual mistake of fact. | |||||
| 10:10:1.0.1.1.13.3.76.5 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | C | Subpart C—Compromise of a Claim | § 15.49 Mutual releases of the debtor and the Government. | NRC | [67 FR 30322, May 6, 2002] | (a) In all appropriate instances, a compromise that is accepted by NRC should be implemented by means of a mutual release. (1) The debtor is released from further non-tax liability on the compromised debt in consideration of payment in full of the compromised amount. (2) The Government and its officials, past and present, are released and discharged from any and all claims and causes of action arising from the same transaction held by the debtor. (b) If a mutual release is not executed when a debt is compromised, unless prohibited by law, the debtor is still deemed to have waived any and all claims and causes of action against the Government and its officials related to the transaction giving rise to the compromised debt. | ||||
| 10:10:1.0.1.1.13.4.76.1 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.51 When collection action may be suspended or terminated. | NRC | [67 FR 30323, May 6, 2002] | The NRC may suspend or terminate collection action on a claim not in excess of the monetary limitation of $100,000 or such other amount as the Attorney General may direct, exclusive of interest, penalties, and administrative costs, after deducting the amount of partial payments or collections, if any of the debt has not been referred to the DOJ for litigation. If, after deducting the amount of any partial payments or collections, the principal amount of a debt exceeds $100,000, or such other amount as the Attorney General may direct, exclusive of interest, penalties, and administrative costs, the authority to suspend or terminate rests solely with the DOJ. If the NRC believes that suspension or termination of any debt in excess of $100,000 may be appropriate, the NRC shall refer the debt to the Civil Division or other appropriate litigating division in the DOJ, using the CCLR. The referral should specify the reasons for the NRC's recommendation. If, prior to referral to the DOJ, the NRC determines that a debt is plainly erroneous or clearly without legal merit, the NRC may terminate collection activity, regardless of the amount involved, without obtaining DOJ concurrence. | ||||
| 10:10:1.0.1.1.13.4.76.2 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.53 Reasons for suspending collection action. | NRC | [67 FR 30323, May 6, 2002, as amended at 86 FR 32169, June 16, 2021] | The NRC may suspend collection activity when: (a) The NRC cannot locate the debtor; (b) The debtor's financial condition is not expected to improve; or (c) The debtor has requested a review of the debt or has disputed the debt. (d) Based on the current financial condition of the debtor, the NRC may suspend collection activity on a debt when the debtor's future prospects justify retention of the debt for periodic review and collection activity and: (1) The applicable statute of limitations has not expired; or (2) Future collection can be effected by administrative offset, notwithstanding the expiration of the applicable statute of limitations for litigation of claims, with due regard to the 10-year limitation for administrative offset prescribed by 31 U.S.C. 3716(e)(1); or (3) The debtor agrees to pay interest on the amount of the debt on which collection will be suspended, and such suspension is likely to enhance the debtor's ability to pay the full amount of the principal of the debt with interest at a later date. (e)(1) The NRC shall suspend collection activity during the time required for consideration of the debtor's request for review or dispute of the debt, if the statute under which the request is sought prohibits the NRC from collecting the debt during that time. (2) If the statute under which the request is sought does not prohibit collection activity pending consideration of the request, the NRC may use discretion, on a case-by-case basis, to suspend collection. Further, the NRC ordinarily should suspend collection action upon a request for review or dispute of the debt, if the NRC is prohibited by statute or regulation from issuing a refund of amounts collected prior to NRC consideration of the debtor's request. However, the NRC should not suspend collection when the NRC determines that the request for review or dispute of the debt is frivolous or was made primarily to delay collection. (f) When the NRC learns that a bankruptcy petition has been filed with respect to a debtor, in most cases,… | ||||
| 10:10:1.0.1.1.13.4.76.3 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.55 Reasons for terminating collection action. | NRC | [67 FR 30323, May 6, 2002] | The NRC may terminate collection activity when: (a) The NRC is unable to collect any substantial amount through its own efforts or through the efforts of others; (b) The NRC is unable to locate the debtor; (c) Costs of collection are anticipated to exceed the amount recoverable, (d) The debt is legally without merit or enforcement of the debt is barred by any applicable statute of limitations; (e) The debt cannot be substantiated; or (f) The debt against the debtor has been discharged in bankruptcy. | ||||
| 10:10:1.0.1.1.13.4.76.4 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.57 Termination of collection action. | NRC | [67 FR 30323, May 6, 2002] | (a) Before terminating collection activity, the NRC should have pursued all appropriate means of collection and determined, based upon the results of the collection activity, that the debt is uncollectible. Termination of collection activity ceases active collection of the debt. The termination of collection activity does not preclude the NRC from retaining a record of the account for purposes of: (1) Selling the debt, if the Treasury determines that such sale is in the best interests of the United States; (2) Pursuing collection at a subsequent date in the event there is a change in the debtor's status or a new collection tool becomes available; (3) Offsetting against future income or assets not available at the time of termination of collection activity; or (4) Screening future applicants for prior indebtedness. (b) Generally, the NRC will terminate collection activity on a debt that has been discharged in bankruptcy, regardless of the amount. However, the NRC may continue collection activity, subject to the provisions of the Bankruptcy Code, for any payments provided under a plan of reorganization. | ||||
| 10:10:1.0.1.1.13.4.76.5 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.59 Exception to termination. | NRC | [67 FR 30323, May 6, 2002] | When a significant enforcement policy is involved, or recovery of a judgment is a prerequisite to the imposition of administrative sanctions, the NRC may refer debts for litigation, although termination of collection activity may be appropriate. | ||||
| 10:10:1.0.1.1.13.4.76.6 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | D | Subpart D—Suspension or Termination of Collection Action | § 15.60 Discharge of indebtedness; reporting requirements. | NRC | [67 FR 30323, May 6, 2002] | (a) Before discharging a delinquent debt (also referred to as a close out of the debt), the NRC shall take all appropriate steps to collect the debt in accordance with 31 U.S.C. 3711(g), including, as applicable, administrative offset; tax refund offset; Federal salary offset; referral to Treasury, Treasury-designated debt collection centers, or private collection contractors; credit bureau reporting; wage garnishment; litigation; and foreclosure. Discharge of indebtedness is distinct from termination or suspension of collection activity under 10 CFR 15.55 and 15.57 and is governed by the Internal Revenue Code. When collection action on a debt is suspended or terminated, the debt remains delinquent, and further collection action may be pursued at a later date. When the NRC discharges a debt in full or in part, further collection action is prohibited. Therefore, the NRC will make the determination that collection action is no longer warranted before discharging a debt. Before discharging a debt, the NRC must terminate debt collection action. (b) Section 3711(i), title 31, United States Code, requires agencies to sell a delinquent nontax debt upon termination of collection action if Treasury determines such a sale is in the best interests of the United States. Since the discharge of a debt precludes any further collection action (including the sale of a delinquent debt), the NRC may not discharge a debt until the requirements of 31 U.S.C. 3711(i) have been met. (c) Upon discharge of an indebtedness, the NRC shall report the discharge to the IRS in accordance with the requirements of 26 U.S.C. 6050P and 26 CFR 1.6050P-1. The NRC may request Treasury or a Treasury-designated debt collection center to file a discharge report to the IRS on the NRC's behalf. (d) When discharging a debt, the NRC shall request that litigation counsel release any liens of record securing the debt. | ||||
| 10:10:1.0.1.1.13.5.76.1 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | E | Subpart E—Referral of a Claim | § 15.61 Prompt referral. | NRC | [67 FR 30324, May 6, 2002] | (a) The NRC shall promptly refer debts that are subject to aggressive collection activity (as described in subpart B of this part) and that cannot be compromised, or debts on which collection activity cannot be suspended or terminated, to DOJ for litigation. Debts for which the principal amount exceeds $1,000,000, or such other amount as the Attorney General may direct, exclusive of interest and penalties, must be referred to the Civil Division or other division responsible for litigating such debts at DOJ, Washington, DC. Debts for which the principal amount is $1,000,000 or less, or such other amount as the Attorney General may direct, exclusive of interest or penalties, must be referred to the DOJ's Nationwide Central Intake Facility, as required by the CCLR instructions. Debts will be referred as early as possible, consistent with the NRC's aggressive collection activity and well within the one year of the NRC's final determination of the fact and the amount of the debt. (b) DOJ has exclusive jurisdiction over the debts referred to in paragraph (a) of this section. The NRC shall terminate the use of any administrative collection activities to collect a debt when the debt is referred to DOJ. The NRC shall advise the DOJ of the collection activities it used and the results. The NRC shall refrain from having any contact with the debtor and shall direct all inquiries to DOJ. The NRC shall immediately notify DOJ of any payments credited to the debtor's account after the account has been referred to DOJ. DOJ shall notify NRC in a timely manner of any payments it receives from the debtor. | ||||
| 10:10:1.0.1.1.13.5.76.2 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | E | Subpart E—Referral of a Claim | § 15.65 Referral of a compromise offer. | NRC | [67 FR 30324, May 6, 2002] | The NRC may refer a debtor's firm written offer of compromise, which is substantial in amount, to the Civil Division or other appropriate litigating division in DOJ using a CCLR accompanied by supporting data and particulars concerning the debt. | ||||
| 10:10:1.0.1.1.13.5.76.3 | 10 | Energy | I | 15 | PART 15—DEBT COLLECTION PROCEDURES | E | Subpart E—Referral of a Claim | § 15.67 Referral to the Department of Justice. | NRC | [67 FR 30324, May 6, 2002] | (a) Unless excepted by DOJ, the NRC shall complete the CCLR accompanied by a Certificate of Indebtedness, to refer all administratively uncollectible claims to the DOJ for litigation. (b) The NRC shall indicate the actions it wishes DOJ to take regarding the referred claim on the CCLR. (c) Before referring a debt to DOJ for litigation, the NRC shall notify each person determined to be liable for the debt that, unless the debt can be collected administratively, litigation may be initiated. This notification must comply with Executive Order 12988 (3 CFR, 1996 Comp., pp 157-163) and may be given as part of a demand letter or as a separate document. (d) The NRC shall preserve all files and records that DOJ may need to prove the claim in court. (e) The NRC may ordinarily not refer for litigation claims of less than $2,500, exclusive of interest, penalties, and administrative charges, or such other amount as the Attorney General shall from time to time prescribe. (f) The NRC may not refer claims of less than the minimum amount unless: (1) Litigation to collect a smaller claim is important to ensure compliance with NRC's policies and programs; (2) The claim is being referred solely to secure a judgment against the debtor, which will be filed as a lien against the debtor's property under 28 U.S.C. 3201 and returned to the NRC for enforcement, or (3) The debtor has the clear ability to pay the claim, and the Government effectively can enforce payment, with due regard for the exemptions available to the debtor under state and Federal law and the judicial remedies available to the Government. | ||||
| 14:14:1.0.1.2.7.1.11.1 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | A | Subpart A—General Procedures | § 15.1 Scope of regulations. | FAA | (a) These regulations apply to claims asserted under the Federal Tort Claims Act, as amended, for money damages against the United States for injury to, or loss of property, or for personal injury or death, caused by the negligent or wrongful act or omission of an employee of the FAA acting within the scope of office or employment. The regulations in this part supplement the Attorney General's regulations in 28 CFR part 14, as amended. The regulations in 28 CFR part 14, as amended, and the regulations in this part apply to consideration by the FAA of administrative claims under the Federal Tort Claims Act. | ||||
| 14:14:1.0.1.2.7.1.11.2 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | A | Subpart A—General Procedures | § 15.3 Administrative claim, when presented; appropriate office. | FAA | [Doc. No. 18884, 44 FR 63723, Nov. 5, 1979, as amended by Amdt. 15-1, 54 FR 39290, Sept. 25, 1989; Amdt. 15-4, 62 FR 46866, Sept. 4, 1997] | (a) A claim is deemed to have been presented when the FAA receives, at a place designated in paragraph (b) of this section, an executed Standard Form 95 or other written notification of an incident, accompanied by a claim for money damages in a sum certain for injury to, or loss of, property or for personal injury or death, alleged to have occurred by reason of the incident. A claim which should have been presented to the FAA but which was mistakenly filed with another Federal agency, is deemed presented to the FAA on the date the claim is received by the FAA at a place designated in paragraph (b) of this section. A claim addressed to, or filed with, the FAA by mistake will be transferred to the appropriate Federal agency, if that agency can be determined, or returned to the claimant. (b) Claims shall be delivered or mailed to the Assistant Chief Counsel, Litigation Division, AGC-400, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591, or alternatively, may be mailed or delivered to the Regional Counsel in any of the FAA Regional Offices or the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office. (c) Claim forms are available at each location listed in paragraph (b) of this section. (d) A claim presented in accordance with this section may be amended by the claimant at any time prior to final FAA action or prior to the exercise of the claimant's option, under 28 U.S.C. 2675(a), to deem the agency's failure to make a final disposition of his or her claim within 6 months after it was filed as a final denial. Each amendment to a claim shall be submitted in writing and signed by the claimant or the claimant's duly authorized agent or legal representative. Upon the timely filing of an amendment to a pending claim, the FAA has 6 months thereafter in which to make a final disposition of the claim as amended, and the claimant's option under 28 U.S.C. 2675(a) does not accrue until 6 months after the filing of the amendment. | |||
| 14:14:1.0.1.2.7.1.11.3 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | A | Subpart A—General Procedures | § 15.5 Administrative claim, who may file. | FAA | (a) A claim for injury to, or loss of, property may be presented by the owner of the property interest which is the subject of the claim or by the owner's duly authorized agent or legal representative. (b) A claim for personal injury may be presented by the injured person or that person's duly authorized agent or legal representative. (c) A claim based on death may be presented by the executor or administrator of the decedent's estate or by any other person legally entitled to assert such a claim under applicable State law. (d) A claim for loss wholly compensated by an insurer with the rights of a subrogee may be presented by the insurer. A claim for loss partially compensated by an insurer with the rights of a subrogee may be presented by the insurer or the insured individually, as their respective interest appear, or jointly. Whenever an insurer presents a claim asserting the rights of a subrogee, it shall present with its claim appropriate evidence that it has the rights of a subrogee. (e) A claim presented by an agent or legal representative shall be presented in the name of the claimant, be signed by the agent or legal representative, show the title or legal capacity of the person signing, and be accompanied by evidence of authority to present a claim on behalf of the claimant as agent, executor, administrator, parent, guardian, or other representative. | ||||
| 14:14:1.0.1.2.7.1.11.4 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | A | Subpart A—General Procedures | § 15.7 Administrative claims; evidence and information to be submitted. | FAA | (a) Death. In support of a claim based on death, the claimant may be required to submit the following evidence or information: (1) An authenticated death certificate or other competent evidence showing cause of death, date of death, and age of the decedent. (2) The decedent's employment or occupation at time of death, including monthly or yearly salary or earnings (if any), and the duration of last employment or occupation. (3) Full names, addresses, birth dates, kinship, and marital status of the decedent's survivors, including identification of those survivors who were dependent for support upon the decedent at the time of death. (4) Degree of support afforded by the decedent to each survivor dependent upon decedent for support at the time of death. (5) Decedent's general, physical, and mental conditions before death. (6) Itemized bills for medical and burial expenses incurred by reason of the incident causing death or itemized receipts of payment for such expenses. (7) If damages for pain and suffering prior to death are claimed, a physician's detailed statement specifying the injuries suffered, duration of pain and suffering, any drugs administered for pain, and the decedent's physical condition in the interval between injury and death. (8) Any other evidence or information which may have a bearing on either the responsibility of the United States for the death or the amount of damages claimed. (b) Personal injury. In support of a claim for personal injury, including pain and suffering, the claimant may be required to submit the following evidence or information: (1) A written report by the attending physician or dentist setting forth the nature and extent of the injuries, nature and extent of treatment, any degree of temporary or permanent disability, the prognosis, period of hospitalization, and any diminished earning capacity. (2) In addition to the report required by paragraph (b)(1) of this section, the claimant may be required to submit to a physical or mental examination by a physician e… | ||||
| 14:14:1.0.1.2.7.1.11.5 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | A | Subpart A—General Procedures | § 15.9 Investigation and examination. | FAA | The FAA may investigate a claim or conduct a physical examination of a claimant. The FAA may request any other Federal agency to investigate a claim or conduct a physical examination of a claimant and provide a report of the investigation or examination to the FAA. | ||||
| 14:14:1.0.1.2.7.2.11.1 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.101 Applicability. | FAA | This subpart prescribes procedural requirements for the indemnification of a publisher of aeronautical charts or maps under section 1118 of the Federal Aviation Act of 1958, as amended, when the publisher incurs liability as a result of publishing— (a) A chart or map accurately depicting a defective or deficient flight procedure or airway that was promulgated by the FAA; or (b) Aeronautical data that— (1) Is visually displayed in the cockpit of an aircraft; and (2) When visually displayed, accurately depicts a defective or deficient flight procedure or airway promulgated by the FAA. | ||||
| 14:14:1.0.1.2.7.2.11.2 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.103 Exclusions. | FAA | A publisher that requests indemnification under this part will not be indemnified if— (a) The complaint filed against the publisher, or demand for payment against the publisher, first occurred before December 19, 1985; (b) The publisher does not negotiate a good faith settlement; (c) The publisher does not conduct a good faith defense; (d) The defective or deficient flight procedure or airway— (1) Was not promulgated by the FAA; (2) Was not accurately depicted on the publisher's chart or map; (3) Was not accurately displayed on a visual display in the cockpit, or (4) Was obviously defective or deficient; (e) The publisher does not give notice as required by § 15.107 of this part and that failure is prejudicial to the Government; or (f) The publisher does not appeal a lower court's decision pursuant to a request by the Administrator under § 15.111(d)(2) of this part. | ||||
| 14:14:1.0.1.2.7.2.11.3 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.105 Filing of requests for indemnification. | FAA | A request for indemnification under this part— (a) May be filed by— (1) A publisher described in § 15.101 of this part; or (2) The publisher's duly authorized agent or legal representative; (b) Shall be filed with the Chief Counsel, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; and (c) Shall state the basis for the publisher's assertion that indemnification under this part is required. | ||||
| 14:14:1.0.1.2.7.2.11.4 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.107 Notification requirements. | FAA | A request for indemnification will not be considered by the FAA unless the following conditions are met: (a) The publisher must notify the Chief Counsel of the FAA, within the time limits prescribed in paragraph (b) or (c) of this section, of the publisher's first receipt of a demand for payment, or service of a complaint in any proceeding, federal or state, in which it appears that indemnification under this part may be required. (b) For each complaint filed, or demand for payment made, on or after December 19, 1985, and before June 4, 1990, the notice required by paragraph (a) of this section must be received by the FAA on or before July 2, 1990. (c) For each complaint filed, or demand for payment made, on or after June 4, 1990, the notice required by paragraph (a) of this section must be received by the FAA within 60 days after the day the publisher first receives the demand for payment or service of the complaint. (d) Within 5 days after the day a judgment is rendered against the publisher in any proceeding, or within 30 days of the denial of an appeal, whichever is later, the publisher must notify the FAA Chief Counsel that— (1) There is an adverse judgment against the publisher; and (2) The publisher has a claim for indemnification against the FAA arising out of that judgment. | ||||
| 14:14:1.0.1.2.7.2.11.5 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.109 Settlements. | FAA | (a) A publisher may not settle a claim with another party, for which the publisher has sought, or intends to seek, indemnification under this part, unless— (1) The publisher submits a copy of the proposed settlement, and a statement justifying the settlement, to the Chief Counsel of the FAA; and (2) The Administrator and where necessary, the appropriate official of the Department of Justice, approves the proposed settlement. (3) The publisher submits a signed release that clearly releases the United States from any further liability to the publisher and the claimant. (b) If the Administrator does not approve the proposed settlement, the Administrator will— (1) So notify the publisher by registered mail within 60 days of receipt of the proposed settlement; and (2) Explain why the request for indemnification was not approved. (c) If the Administrator approves the proposed settlement, the Administrator will so notify the publisher by registered mail within 60 days after the FAA's receipt of the proposed settlement. (d) If the Administrator does not have sufficient information to approve or disapprove the proposed settlement, the Administrator will request, within 60 days after receipt of the proposed settlement, the additional information needed to make a determination. | ||||
| 14:14:1.0.1.2.7.2.11.6 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.111 Conduct of litigation. | FAA | (a) If a lawsuit is filed against the publisher and the publisher has sought, or intends to seek, indemnification under this part, the publisher shall— (1) Give notice as required by § 15.107 of this part; (2) If requested by the United States— (i) Implead the United States as a third-party defendant in the action; and (ii) Arrange for the removal of the action to Federal Court; (3) Promptly provide any additional information requested by the United States; and (4) Cooperate with the United States in the defense of the lawsuit. (b) If the lawsuit filed against the publisher results in a proposed settlement, the publisher shall submit that proposed settlement to the FAA for approval in accordance with § 15.109 of this part. (c) If the lawsuit filed against the publisher results in a judgment against the publisher and the publisher has sought, or intends to seek, indemnification under this part as a result of the adverse judgment, the publisher shall— (1) Give notice to the FAA as required by § 15.107(d) of this part; (2) Submit a copy of the trial court's decision to the FAA Chief Counsel not more than 5 business days after the adverse judgment is rendered; and (3) If an appeal is taken from the adverse judgment, submit a copy of the appellate decision to the FAA Chief Counsel not more than 30 days after that decision is rendered. (d) Within 60 days after receipt of the trial court's decision, the Administrator by registered mail will— (1) Notify the publisher that indemnification is required under this part; (2) Request that the publisher appeal the trial court's adverse decision; or (3) Notify the publisher that it is not entitled to indemnification under this part and briefly state the basis for the denial. | ||||
| 14:14:1.0.1.2.7.2.11.7 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.113 Indemnification agreements. | FAA | (a) Upon a finding of the Administrator that indemnification is required under this part, and after obtaining the concurrence of the United States Department of Justice, the FAA will promptly enter into an indemnification agreement providing for the payment of the costs specified in paragraph (c) of this section. (b) The indemnification agreement will be signed by the Chief Counsel and the publisher. (c) The FAA will indemnify the publisher for— (1) Compensatory damages awarded by the court against the publisher; (2) Reasonable costs and fees, including reasonable attorney fees at a rate not to exceed that permitted under the Equal Access to Justice Act (5 U.S.C. 504), and any postjudgment interest, if the publisher conducts a good faith defense, or pursues a good faith appeal, at the request, or with the concurrence, of the FAA. (d) Except as otherwise provided in this section, the FAA will not indemnify the publisher for— (1) Punitive or exemplary damages; (2) Civil or criminal fines or any other litigation sanctions; (3) Postjudgment interest; (4) Costs; (5) Attorney fees; or (6) Other incidental expenses. (e) The indemnification agreement must provide that the Government will be subrogated to all claims or rights of the publisher, including third-party claims, cross-claims, and counterclaims. | ||||
| 14:14:1.0.1.2.7.2.11.8 | 14 | Aeronautics and Space | I | B | 15 | PART 15—ADMINISTRATIVE CLAIMS UNDER FEDERAL TORT CLAIMS ACT | B | Subpart B—Indemnification Under Section 1118 of the Federal Aviation Act of 1958 | § 15.115 Payment. | FAA | After execution of the indemnification agreement, the FAA will submit the agreement to the United States Department of Justice and request payment, in accordance with the agreement, from the Judgment Fund. | ||||
| 15:15:1.1.1.1.20.1.1.1 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | A | Subpart A—Service of Process | § 15.1 Scope and purpose. | DOC | [53 FR 41318, Oct. 21, 1988. Redesignated and amended at 62 FR 19669, 19670, Apr. 23, 1997] | (a) This subpart sets forth the procedures to be followed when a summons or complaint is served on the Department, a component, or the Secretary or a Department employee in his or her official capacity. (b) This subpart is intended to ensure the orderly execution of the affairs of the Department and not to impede any legal proceeding. (c) This subpart does not apply to subpoenas. The procedures to be followed with respect to subpoenas are set out in subpart B. (d) This subpart does not apply to service of process made on a Department employee personally on matters not related to official business of the Department or to the official responsibilities of the Department employee. | |||||
| 15:15:1.1.1.1.20.1.1.2 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | A | Subpart A—Service of Process | § 15.2 Definitions. | DOC | For the purpose of this subpart: (a) General Counsel means the General Counsel of the United States Department of Commerce or other Department employee to whom the General Counsel has delegated authority to act under this subpart, or the chief legal officer (or designee) of the Department of Commerce component concerned. (b) Component means Office of the Secretary or an operating unit of the Department as defined in Department Organization Order 1-1. (c) Department means the Department of Commerce. (d) Department employee means any officer or employee of the Department, including commissioned officers of the National Oceanic and Atmospheric Administration. (e) Legal proceeding means a proceeding before a tribunal constituted by law, including a court, an administrative body or commission, or an administrative law judge or hearing officer. (f) Official business means the authorized business of the Department. (g) Secretary means Secretary of Commerce. | ||||||
| 15:15:1.1.1.1.20.1.1.3 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | A | Subpart A—Service of Process | § 15.3 Acceptance of service of process. | DOC | (a) Except as otherwise provided in this subpart, any summons or complaint to be served in person or by registered or certified mail or as otherwise authorized by law on the Department, a component or the Secretary or a Department employee in their official capacity, shall be served on the General Counsel of the United States Department of Commerce, Washington, DC 20230. (b) Any summons or complaint to be served in person or by registered or certified mail or as otherwise authorized by law on the Patent and Trademark Office or the Commissioner of Patents and Trademarks or an employee of the Patent and Trademark Office in his or her official capacity, shall be served on the Solicitor for the Patent and Trademark Office or a Department employee designated by the Solicitor. (c) Except as otherwise provided in this subpart, any component or Department employee served with a summons or complaint shall immediately notify and deliver the summons or complaint to the office of the General Counsel. Any employee of the Patent and Trademark Office served with a summons or complaint shall immediately notify and deliver the summons or complaint to the office of the Solicitor. (d) Any Department employee receiving a summons or complaint shall note on the summons or complaint the date, hour, and place of service and whether service was by personal delivery or by mail. (e) When a legal proceeding is brought to hold a Department employee personally liable in connection with an action taken in the conduct of official business, rather than liable in an official capacity, the Department employee by law is to be served personally with process. Service of process in this case is inadequate when made upon the General Counsel or the Solicitor or their designees. Except as otherwise provided in this subpart, a Department employee sued personally for an action taken in the conduct of official business shall immediately notify and deliver a copy of the summons or complaint to the office of the General Counsel. Any employee of the Patent… | ||||||
| 15:15:1.1.1.1.20.2.1.1 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.11 Scope. | DOC | [87 FR 162, Jan. 4, 2022] | (a) This subpart sets forth the policies and procedures to be followed with respect to the production or disclosure of the testimony of employees and former employees of the Department of Commerce as witnesses in legal proceedings and the production or disclosure of information contained in Department of Commerce documents, or any information acquired by any person while such person was an employee of the Department of Commerce, for use in legal proceedings pursuant to a request, order, or subpoena (collectively referred to in this subpart as a “demand”). No Department employee or former employee shall comply with such a demand without the prior authorization of the General Counsel or appropriate agency counsel, in accordance with this subpart. (b) This subpart does not apply to any legal proceeding in which an employee is to testify while on leave status, regarding facts or events unrelated to the official business of the Department or the duties of the employee. (c) This subpart does not apply to any legal proceeding in which the Department is a party or to subpoenas for testimony or documents received from Congress, a Federal agency Inspector General, or a Special Prosecutor. (d) This subpart does not apply to any demand for testimony of employees and former employees of the United States Patent and Trademark Office (USPTO) or to demands for the production of USPTO documents. The process for any demand for testimony of an employee or for the production of documents of the USPTO can be found at 37 CFR 104.21 through 104.24, and any such demands must be sent directly to the USPTO. (e) This subpart in no way affects the rights and procedures governing public access to records pursuant to the Freedom of Information Act, the Privacy Act, or the Trade Secrets Act or other Federal law restricting the disclosure of information. Moreover, demands in legal proceedings for the production of records, or for the testimony of Department employees regarding information protected by the Privacy Act, 5 U.S.C. 552a, the Tra… | |||||
| 15:15:1.1.1.1.20.2.1.2 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.12 Definitions. | DOC | [87 FR 162, Jan. 4, 2022] | For the purpose of this subpart: (a) Agency counsel means the Chief Counsel/s or General Counsel/s (or that official's designee) of a bureau or operating unit within the U.S. Department of Commerce who is the senior legal officer responsible for overseeing legal advice and guidance provided to a particular bureau or operating unit. (b) Component means Office of the Secretary or a bureau or operating unit of the Department as defined in Department Organization Order 1-1. (c) Counsel to the Inspector General means Counsel to the Inspector General of the U.S. Department of Commerce. (d) Demand means a request, order, or subpoena for testimony or documents for use in any legal proceeding, regardless of whether the United States is a party to the proceeding. (e) Department means the United States Department of Commerce and any of its components, bureaus, or operating units. (f) Document or information means any record, regardless of format, medium or physical characteristic, document, electronically stored information, paper and other property of the Department, including without limitation, official letters, telegrams, memoranda, reports, studies, writings, emails, calendar and diary entries, text or chat messages, maps, graphs, pamphlets, notes, charts, tabulations, analyses, statistical or informational accumulations, any kind of summaries of meetings and conversations, film impressions, magnetic tapes or sound or mechanical reproductions. Nothing in this paragraph (f) shall be interpreted as requiring the creation of a new document to respond to any demand. (g) Employee means any current or former employees or officers of the U.S. Department of Commerce, including any commissioned officer of the National Oceanic and Atmospheric Administration or any other individual who has been appointed by, or is subject to the supervision, jurisdiction, or control of the U.S. Department of Commerce, including contract employees. Contractors may be included. (h) General Counsel means the General Counsel… | |||||
| 15:15:1.1.1.1.20.2.1.3 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.13 Demand for testimony or production of documents: Department procedures. | DOC | [87 FR 162, Jan. 4, 2022] | (a) General. No employee, in response to a demand, shall produce any documents or information of the Department, or provide testimony regarding any information relating to, or based upon Department documents, or disclose any information or produce documents acquired or generated as part of the performance of that employee's official duties or because of that employee's official status without the prior authorization of the General Counsel or appropriate agency counsel. (b) Notifications. (1) A demand for the testimony of an employee or for the production of documents of the Department shall be made in writing and addressed to the Assistant General Counsel for Employment, Litigation, and Information, U.S. Department of Commerce, 1401 Constitution Avenue NW, Room 5896, Washington, DC 20230; or by email to: Touhy@doc.gov; or to appropriate agency counsel. (2) The process for any demand for testimony of an employee or for the production of documents of the USPTO can be found at 37 CFR 104.21 through 104.24, and any such demands should be sent directly to the USPTO, in accordance with § 15.11(d). (c) Employee procedure. Whenever a Department employee receives an inquiry or demand for testimony or production of documents, that employee shall not respond, and shall immediately notify the Office of the Assistant General Counsel for Employment, Litigation, and Information as provided in paragraph (b)(1) of this section, or appropriate agency counsel, and provide a copy of the demand. An employee may not answer inquiries from a person not employed by the Department regarding testimony or documents subject to a demand or a potential demand under the provisions of this subpart without the approval of the General Counsel or appropriate agency counsel. (d) Subpoenas. A subpoena for testimony or production of documents by a Department employee must be served in person, at the office or home, or by mail in accordance with the Federal Rules of Civil or Criminal Procedure or applicable state procedure. Service solely… | |||||
| 15:15:1.1.1.1.20.2.1.4 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.14 Demand for testimony or production of documents in matters in which the United States is not a party. | DOC | [87 FR 162, Jan. 4, 2022] | (a) General. Every demand for testimony or documents in a legal matter in which the United States is not a named party shall be made in writing, delivered in accordance with § 15.13(b) no later than 30 days before the document or testimony is required, and shall be accompanied by an affidavit or written declaration under 28 U.S.C. 1746, or, if an affidavit or declaration is not feasible, a written statement setting forth: (1) The title of the legal proceeding, (2) The forum; (3) The requesting party's interest in the legal proceeding; (4) The reason for the demand and the relevance of the request to the legal proceeding; (5) A showing that the desired testimony or document is not reasonably available from any other source; and (6) If testimony is requested, the intended use of the testimony; a general summary of the desired testimony; the time that will be required to prepare for, travel to, and present testimony; and a showing that no document could be provided and used in lieu of testimony, including from opposing parties via discovery proceedings. (b) Purpose. The purpose of the requirement in this section is to assist the General Counsel or appropriate agency counsel in making an informed decision regarding whether testimony or the production of a document(s) should be authorized, in accordance with § 15.16. Any authorization for testimony by an employee of the Department shall be limited to the scope of the demand as summarized in the statement or as negotiated in paragraph (e) of this section. (c) Prior authorization. A certified copy of a document that has been authorized pursuant to § 15.16(a) for use in a legal proceeding may be provided upon written request and payment of applicable fees. Written requests for certification must be addressed to the agency counsel for the component having possession, custody, or control of the document. The requestor must provide the agency with information regarding the prior authorization for release of the requested document pursuant to § 15.16(a), includ… | |||||
| 15:15:1.1.1.1.20.2.1.5 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.15 Demand for testimony or production of documents in matters in which the United States is a party. | DOC | [87 FR 162, Jan. 4, 2022] | If a demand is received pertaining to a legal matter in which the United States but not the Department is a named party, or where a party other than the Department is represented by the Department of Justice, the following rules apply. (a) Demand not from the United States. For demands for documents from, or testimony of an employee of the Department, from an entity other than the United States pursuant to a legal proceeding in which the United States is a party, the demand must be in writing and signed, delivered in accordance with § 15.13(b), setting forth the information required in § 15.14(a), and copied to the attorneys of record representing or acting under the authority of the United States in the legal proceeding. Upon receipt of the demand, the General Counsel or appropriate agency counsel shall promptly contact the appropriate Department of Justice office to coordinate any response in accordance with applicable Federal or state rules of civil procedure governing discovery matters. (b) Demand from the United States. When a demand for documents from, testimony of, or consultation with an employee of the Department comes from an attorney representing or acting under the authority of the United States concerning a legal proceeding in which the United States is a party, every such demand should be accompanied by a statement setting forth the legal proceeding, the forum, the United States' interest in the legal proceeding, and the relevance and use of the requested documents or testimony. The purpose of the requirement in this paragraph (b) is to assist the General Counsel or the appropriate agency counsel in making all necessary arrangements to facilitate the demand on behalf of the United States. Where appropriate, the General Counsel or appropriate agency counsel may require reimbursement to the Department of the expenses associated with a Department employee giving testimony or providing consultation on behalf of the United States. (c) Expert or opinion witness. In a legal proceeding in which the… | |||||
| 15:15:1.1.1.1.20.2.1.6 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.16 Demand for testimony or production of documents: Department policy and considerations. | DOC | [87 FR 162, Jan. 4, 2022] | (a) Decision. In deciding whether to authorize a demand for testimony or documents under this subpart, the General Counsel or appropriate agency counsel shall consider whether the disclosure or testimony is in the interests of the Department. The following factors should be considered: (1) Conserving the time of Department employees for conducting official business; (2) Minimizing the possibility of involving the Department in controversial issues that are not related to the Department's mission or matters that do not further the Department's mission; (3) Preventing the possibility that the public will misconstrue variances between personal opinions of Department employees and official Department policy; (4) Avoiding spending the time and money of the United States for private purposes; (5) Preserving the integrity of the administrative or judicial process; (6) Protecting classified, confidential, or controlled unclassified information, and the deliberative process of the Department; (7) Preventing the appearance of improperly favoring one litigant over another; (8) Avoiding the denial of a party's constitutional or statutory rights; (9) Whether such disclosure is appropriate under the rules of procedure governing the case or matter in which the demand arose; (10) Whether disclosure is appropriate under the relevant substantive law concerning privilege; and (11) Any other issue that is relevant to the decision. (b) Non-disclosure factors. Demands for testimony or documents in response to which disclosure will not be made by any Department official include, but are not limited to, those demands with respect to which any of the following factors exist: (1) Disclosure is restricted by statute or regulation, or would violate a rule of procedure, Executive order, policy, or an applicable Government directive; (2) Disclosure would reveal classified or controlled unclassified information, unless appropriately declassified or decontrolled by the originating agency; (3) Disclosure would reveal a confide… | |||||
| 15:15:1.1.1.1.20.2.1.7 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.17 Subpoenas and demands served upon employees or former employees of the Office of the Inspector General. | DOC | [87 FR 162, Jan. 4, 2022] | Notwithstanding the requirements set forth in §§ 15.11 through 15.16, this subpart is applicable to demands served on employees or former employees of the Office of the Inspector General (OIG), except that wherever in §§ 15.11 through 15.16 there appear the phrases General Counsel, agency counsel, or Assistant General Counsel for Employment, Litigation, and Information, there shall be substituted in lieu thereof the Inspector General or Counsel to the Inspector General. In addition, the appropriate address for notifications specified in § 15.13(b) pertaining to employees and former employees covered under this section is Office of the Inspector General, U.S. Department of Commerce, 1401 Constitution Avenue NW, Room 7896, Washington, DC 20230. | |||||
| 15:15:1.1.1.1.20.2.1.8 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | B | Subpart B—Testimony by Employees and the Production of Documents in Legal Proceedings | § 15.18 Testimony of Department employees in proceedings involving the United States. | DOC | The following applies in legal proceedings in which the United States is a party: (a) A Department employee may not testify as an expert or opinion witness for any other party other than the United States. (b) Whenever, in any legal proceeding involving the United States, a request is made by an attorney representing or acting under the authority of the United States, the General Counsel, or the Solicitor, or appropriate agency counsel will make all necessary arrangements for the Department employee to give testimony on behalf of the United States. Where appropriate, the General Counsel, or the Solicitor, or appropriate agency counsel may require reimbursement to the Department of the expenses associated with a Department employee giving testimony on behalf of the United States. | ||||||
| 15:15:1.1.1.1.20.3.1.1 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | C | Subpart C—Involuntary Child and Spousal Support Allotments of NOAA Corps Officers | § 15.21 Purpose. | DOC | This subpart provides implementing policies governing involuntary child or child and spousal support allotments for officers of the uniformed service of the National Oceanic and Atmospheric Administration (NOAA), and prescribes applicable procedures. | ||||||
| 15:15:1.1.1.1.20.3.1.2 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | C | Subpart C—Involuntary Child and Spousal Support Allotments of NOAA Corps Officers | § 15.22 Applicability and scope. | DOC | This subpart applies to Commissioned Officers of the NOAA Corps on active duty. | ||||||
| 15:15:1.1.1.1.20.3.1.3 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | C | Subpart C—Involuntary Child and Spousal Support Allotments of NOAA Corps Officers | § 15.23 Definitions. | DOC | (a) Active duty. Full-time duty in the NOAA Corps. (b) Authorized person. Any agent or attorney of any state having in effect a plan approved under part D of title IV of the Social Security Act (42 U.S.C. 651-664), who has the duty or authority to seek recovery of any amounts owed as child or child and spousal support (including, when authorized under the state plan, any official of a political subdivision); and the court that has authority to issue an order against a member for the support and maintenance of a child or any agent of such court. (c) Child support. Periodic payments for the support and maintenance of a child or children, subject to and in accordance with state or local law. This includes but is not limited to, payments to provide for health, education, recreation, and clothing or to meet other specific needs of such a child or children. (d) Designated official. The official who is designated to receive notices of failure to make payments from an authorized person (as defined in paragraph (b) of this section). For the Department of Commerce this official is the Assistant General Counsel for Administration. (e) Notice. A court order, letter, or similar documentation issued by an authorized person providing notification that a member has failed to make periodic support payments under a support order. (f) Spousal support. Periodic payments for the support and maintenance of a spouse or former spouse, in accordance with state and local law. It includes, but is not limited to, separate maintenance, alimony while litigation continues, and maintenance. Spousal support does not include any payment for transfer of property or its value by an individual to his or her spouse or former spouse in compliance with any community property settlement, equitable distribution of property, or other division of property between spouses or former spouses. (g) Support order. Any order for the support of any person issued by a court of competent jurisdiction or by administrative procedures established un… | ||||||
| 15:15:1.1.1.1.20.3.1.4 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | C | Subpart C—Involuntary Child and Spousal Support Allotments of NOAA Corps Officers | § 15.24 Policy. | DOC | [53 FR 15548, May 2, 1988. Redesignated and amended at 62 FR 19669, 19670, Apr. 23, 1997] | (a) It is the policy of the Department of Commerce to require Commissioned Officers of the NOAA Corps on active duty to make involuntary allotments from pay and allowances as payment of child, or child and spousal, support payments when the officer has failed to make periodic payments under a support order in a total amount equal to the support payable for two months or longer. Failure to make such payments shall be established by notice from an authorized person to the designated official. Such notice shall specify the name and address of the person to whom the allotment is payable. The amount of the allotment shall be the amount necessary to comply with the support order. If requested, the allotment may include arrearages as well as amounts for current support, except that the amount of the allotment, together with any other amounts withheld for support from the officer as a percentage of pay, shall not exceed the limits prescribed in section 303 (b) and (c) of the Consumer Credit Protection Act (15 U.S.C. 1673). An allotment under this subpart shall be adjusted or discontinued upon notice from an authorized person. (b) Notwithstanding the above, no action shall be taken to require an allotment from the pay and allowances of any officer until such officer has had a consultation with an attorney from the Office of the Assistant General Counsel for Administration, in person, to discuss the legal and other factors involved with respect to the officer's support obligation and his/her failure to make payments. Where it has not been possible, despite continuing good faith efforts to arrange such a consultation, the allotment shall start the first pay period beginning after 30 days have elapsed since the notice required in paragraph (d)(1) of § 15.25 is given to the affected officer. | |||||
| 15:15:1.1.1.1.20.3.1.5 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | C | Subpart C—Involuntary Child and Spousal Support Allotments of NOAA Corps Officers | § 15.25 Procedures. | DOC | (a) Service of notice. (1) An authorized person shall send to the designated official a signed notice that includes: (i) A statement that delinquent support payments equal or exceed the amount of support payable for 2 months under a support order, and a request that an allotment be initiated pursuant to 42 U.S.C. 665. (ii) A certified copy of the support order. (iii) The amount of the monthly support payment. Such amount may include arrearages, if a support order specifies the payment of such arrearages. The notice shall indicate how much of the amount payable shall be applied toward liquidation of the arrearages. (iv) Sufficient information identifying the officer to enable processing by the designated official. The following information is requested: (A) Full name; (B) Social Security Number; (C) Date of birth; and (D) Duty station location. (v) The full name and address of the allottee. The allottee shall be an authorized person, the authorized person's designee, or the recipient named in the support order. (vi) Any limitations on the duration of the support allotment. (vii) A certificate that the official sending the notice is an authorized person. (viii) A statement that delinquent support payments are more than 12 weeks in arrears, if appropriate. (2) The notice shall be accomplished by certified or registered mail, return receipt requested, or by personal service, upon the appropriate designated official, who shall note the date and time of receipt on the notice. (3) The notice is effective when it is received in the office of the designated official. (4) When the information submitted is not sufficient to identify the officer, the notice shall be returned directly to the authorized person with an explanation of the deficiency. However, prior to returning the notice if there is sufficient time, an attempt should be made to inform the authorized person who caused the notice to be served, that it will not be honored unless adequate information is supplied. (5) Upon receipt of effective noti… | ||||||
| 15:15:1.1.1.1.20.4.1.1 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | D | Subpart D—Statement of Policy and Procedures Regarding Indemnification of Department of Commerce Employees | § 15.31 Policy. | DOC | (a) The Department of Commerce may indemnify a present or former Department employee who is personally named as a defendant in any civil suit in state or federal court, or other legal proceeding seeking damages against a present or former Department employee personally, for any verdict, judgment or other monetary award which is rendered against such employee, provided that the conduct giving rise to the verdict, judgment or award was taken within the scope of his/her employment and that such indemnification is in the interest of the Department as determined by the Secretary or his/her designee. (b) The Department may settle or compromise a personal damage claim against a present or former employee by the payment of available funds at any time provided the alleged conduct giving rise to the personal property claim was taken within the employee's scope of employment and such settlement is in the interest of the Department as determined by the Secretary or his/her designee. (c) Absent exceptional circumstances, as determined by the Secretary or his/her designee, the Department will not consider a request either to indemnify or to settle a personal damage claim before entry of an adverse verdict, judgment or award. (d) Any payment under this section either to indemnify a present or former Department employee or to settle a personal damage claim shall be contingent upon the availability of appropriated funds of the Department of Commerce. | ||||||
| 15:15:1.1.1.1.20.4.1.2 | 15 | Commerce and Foreign Trade | 15 | PART 15—LEGAL PROCEEDINGS | D | Subpart D—Statement of Policy and Procedures Regarding Indemnification of Department of Commerce Employees | § 15.32 Procedures for the handling of lawsuits against Department employees arising within the scope of their office or employment. | DOC | The following procedures shall be followed in the event that a civil action or proceeding is brought, in any court, against a present or former employee of the Department (or against his/her estate) for personal injury, loss of property or death, resulting from the Department employee's activities while acting within the scope of his/her office or employment: (a) After being served with process or pleadings in such an action or proceeding, the employee (or the executor(rix) or administrator(rix)) of the estate shall within five (5) calendar days of receipt, deliver all such process and pleadings or an attested true copy thereof, together with a fully detailed report of the circumstances of the incident giving rise to the court action or proceeding to the General Counsel. Where appropriate, the General Counsel, or his/her designee, may request that the Department of Justice provide legal representation for the present or former Department employee. (b)(1) Only if a present or former employee of the Department has satisfied the requirements of paragraph (a) of this section in a timely fashion, may the employee subsequently request indemnification to satisfy a verdict, judgment, or award entered against that employee. (2) No request for indemnification will be considered unless the employee has submitted a written request, with appropriate documentation, including copies of the verdict, judgment, appeal bond, award, or settlement proposal through the employee's supervisory chain to the head of the employee's component. The written request will include an explanation by the employee of how the employee was working within the scope of employment and whether the employee has insurance or any other source of indemnification. (3) The head of the component or his/her designee will forward the employee's request with a recommendation to the General Counsel for review. The request for indemnification shall include a detailed analysis of the basis for the recommendation. The head of the component will also certify to the… | ||||||
| 17:17:1.0.1.1.14.0.7.1 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.00 Definitions of terms used in parts 15 to 19, and 21 of this chapter. | CFTC | [74 FR 12188, Mar. 23, 2009, as amended at 76 FR 43862, July 22, 2011; 77 FR 66332, Nov. 2, 2012; 78 FR 69230, Nov. 18, 2013; 83 FR 7996, Feb. 23, 2018; 86 FR 3454, Jan. 14, 2021] | As used in parts 15 to 19, and 21 of this chapter: (a) Cash or Spot, when used in connection with any commodity, means the actual commodity as distinguished from a futures or options contract in such commodity. (b) Clearing member means any person who is a member of, or enjoys the privilege of clearing trades in his own name through, the clearing organization of a designated contract market, registered derivatives transaction execution facility, or registered entity under section 1a(29) of the Act. (c) Clearing organization means the person or organization which acts as a medium for clearing transactions in commodities for future delivery or commodity option transactions, or for effecting settlements of contracts for future delivery or commodity option transactions, for and between members of any designated contract market, registered derivatives transaction execution facility or registered entity under section 1a(29) of the Act. (d) Compatible data processing media means data processing media approved by the Commission or its designee. (e) Customer means “customer” (as defined in § 1.3 of this chapter) and “options customer” (as defined in § 1.3 of this chapter). (f) Customer trading program means any system of trading offered, sponsored, promoted, managed or in any other way supported by, or affiliated with, a futures commission merchant, an introducing broker, a commodity trading advisor, a commodity pool operator, or other trader, or any of its officers, partners or employees, and which by agreement, recommendations, advice or otherwise, directly or indirectly controls trading done and positions held by any other person. The term includes, but is not limited to, arrangements where a program participant enters into an expressed or implied agreement not obtained from other customers and makes a minimum deposit in excess of that required of other customers for the purpose of receiving specific advice or recommendations which are not made available to other customers. The term includes any progr… | ||||||
| 17:17:1.0.1.1.14.0.7.2 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.01 Persons required to report. | CFTC | [41 FR 3206, Jan. 21, 1976, as amended at 41 FR 48112, Nov. 2, 1976; 43 FR 45827, Oct. 4, 1978; 46 FR 59964, Dec. 8, 1981; 46 FR 63036, Dec. 30, 1981; 47 FR 57013, Dec. 22, 1982; 56 FR 14194, Apr. 8, 1991; 62 FR 6113, Feb. 11, 1997; 62 FR 13301, Mar. 20, 1997; 71 FR 37817, July 3, 2006; 74 FR 12189, Mar. 23, 2009; 78 FR 69230, Nov. 18, 2013; 83 FR 7996, Feb. 23, 2018; 86 FR 3454, Jan. 14, 2021] | Pursuant to the provisions of the Act, the following persons shall file reports with the Commission with respect to such commodities, on such forms, at such time, and in accordance with such directions as are hereinafter set forth: (a) Reporting markets—as specified in parts 16, 17, and 21 of this chapter. (b) Futures commission merchants, clearing members, foreign brokers, introducing brokers, and traders—as specified in parts 17 and 21 of this chapter. (c) As specified in part 18 of this chapter: (1) Traders who own, hold, or control reportable positions; (2) Volume threshold account controllers; (3) Persons who own volume threshold accounts; (4) Reportable sub-account controllers; and (5) Persons who own reportable sub-accounts. (d) Persons, as specified in part 19 of this chapter, who: (1) Are merchants or dealers of cotton holding or controlling positions for future delivery in cotton that equal or exceed the amount set forth in § 15.03; or (2) Are persons who have received a special call from the Commission or its designee under § 19.00(b) of this chapter. | ||||||
| 17:17:1.0.1.1.14.0.7.3 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.02 Reporting forms. | CFTC | [86 FR 3454, Jan. 14, 2021] | Forms on which to report may be obtained from any office of the Commission or via https://www.cftc.gov . Listed below are the forms to be used for the filing of reports. To determine who shall file these forms, refer to the Commission rule listed in the column opposite the form number. | ||||||
| 17:17:1.0.1.1.14.0.7.4 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.03 Reporting levels. | CFTC | [69 FR 76397, Dec. 21, 2004, as amended at 71 FR 37817, July 3, 2006] | (a) Definitions. For purposes of this section: Broad-based security index is a group or index of securities that does not constitute a narrow-based security index. HedgeStreet products are contracts offered by HedgeStreet, Inc., a designated contract market, that pay up to $10.00 if in the money upon expiration. Major foreign currency is the currency, and the cross-rates between the currencies, of Japan, the United Kingdom, Canada, Australia, Switzerland, Sweden and the European Monetary Union. Narrow-based security index has the same meaning as in section 1a(25) of the Commodity Exchange Act. Security futures product has the same meaning as in section 1a(32) of the Commodity Exchange Act. (b) The quantities for the purpose of reports filed under parts 17 and 18 of this chapter are as follows: 1 For purposes of part 17, positions in HedgeStreet Products and TRAKRS should be reported by rounding down to the nearest 1,000 contracts and dividing by 1,000. | ||||||
| 17:17:1.0.1.1.14.0.7.5 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.04 Reportable trading volume level. | CFTC | [78 FR 69230, Nov. 18, 2013] | The volume quantity for the purpose of reports filed under parts 17 and 18 of this chapter is trading volume of 50 or more contracts, during a single trading day, on a single reporting market that is a board of trade designated as a contract market under section 5 of the Act or a swap execution facility registered under section 5h of the Act, in all instruments that such reporting market designates with the same product identifier (including purchases and sales, and inclusive of all expiration months). | ||||||
| 17:17:1.0.1.1.14.0.7.6 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.05 Designation of agent for foreign persons. | CFTC | [46 FR 63036, Dec. 30, 1981, and 47 FR 57013, Dec. 22, 1982, as amended at 48 FR 35300, Aug. 3, 1983; 60 FR 49335, Sept. 25, 1995; 66 FR 42269, Aug. 10, 2001; 71 FR 37818, July 3, 2006; 74 FR 12189, Mar. 23, 2009; 77 FR 66332, Nov. 2, 2012; 80 FR 59577, Oct. 2, 2015; 89 FR 71809, Sept. 4, 2024] | (a) For purposes of this section, the term “futures contract” means any contract for the purchase or sale of any commodity for future delivery, traded or executed on or subject to the rules of any designated contract market, or for the purposes of paragraph (i) of this section, a reporting market (including all agreements, contracts and transactions that are treated by a clearing organization as fungible with such contracts); the term “option contract” means any contract for the purchase or sale of a commodity option, or as applicable, any other instrument subject to the Act, traded or executed on or subject to the rules of any designated contract market, or for the purposes of paragraph (i) of this section, a reporting market (including all agreements, contracts and transactions that are treated by a clearing organization as fungible with such contracts); the term “customer” means any person for whose benefit a foreign broker makes or causes to be made any futures contract or option contract; and the term “communication” means any summons, complaint, order, subpoena, special call, request for information, or notice, as well as any other written document or correspondence. (b) Any futures commission merchant who makes or causes to be made any futures contract or option contract for the account of any foreign broker or foreign trader, and any introducing broker who introduces such an account to a futures commission merchant, shall thereupon be deemed to be the agent of the foreign broker or the foreign trader for purposes of accepting delivery and service of any communication issued by or on behalf of the Commission to the foreign broker or the foreign trader with respect to any futures or option contracts which are or have been maintained in such accounts carried by the futures commission merchant. In the case of a futures commission merchant who makes or causes to be made any futures or option contract for the account of a foreign broker, the futures commission merchant and the introducing broker, if any, shall… | ||||||
| 17:17:1.0.1.1.14.0.7.7 | 17 | Commodity and Securities Exchanges | I | 15 | PART 15—REPORTS—GENERAL PROVISIONS | § 15.06 Delegations. | CFTC | [74 FR 12190, Mar. 23, 2009, as amended at 89 FR 71809, Sept. 4, 2024] | (a) The Commission hereby delegates, until the Commission orders otherwise, the authority to approve data processing media, as referenced in § 15.00(d), for data submissions to the Director of the Division of Data, to be exercised by such Director or by such other employee or employees of such Director as designated, and in consultation with the Director of the Division of Market Oversight. The Director may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. (b) [Reserved] | ||||||
| 21:21:1.0.1.1.12.1.98.1 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | A | Subpart A—General Provisions | § 15.1 Scope. | FDA | The procedures in this part apply when: (a) The Commissioner concludes, as a matter of discretion, that it is in the public interest to permit persons to present information and views at a public hearing on any matter pending before the Food and Drug Administation. (b) The act or regulation specifically provides for a public hearing before the Commissioner on a matter, e.g., § 330.10(a)(8) relating to over-the-counter drugs and sections 520 (b) and (f)(1)(B), and 521 of the act relating to proposals to allow persons to order custom devices, to proposed device good manufacturing practice regulations, and to proposed exemptions from preemption of State and local device requirements under § 808.25(e). (c) A person who has right to an opportunity for a formal evidentiary public hearing under part 12 waives that opportunity and instead requests under § 12.32 a public hearing before the Commissioner, and the Commissioner, as a matter of discretion, accepts the request. | ||||
| 21:21:1.0.1.1.12.2.98.1 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | B | Subpart B—Procedures for Public Hearing Before the Commissioner | § 15.20 Notice of a public hearing before the Commissioner. | FDA | [44 FR 22366, Apr. 13, 1979, as amended at 47 FR 26375, June 18, 1982] | (a) If the Commissioner determines that a public hearing should be held on a matter, the Commissioner will publish a notice of hearing in the Federal Register setting forth the following information: (1) If the hearing is under § 15.1 (a) or (b), the notice will state the following: (i) The purpose of the hearing and the subject matter to be considered. If a written document is to be the subject matter of the hearing, it will be published as part of the notice, or reference made to it if it has already been published in the Federal Register, or the notice will state that the document is available from an agency office identified in the notice. (ii) The time, date, and place of the hearing, or a statement that the information will be contained in a subsequent notice. (2) If the hearing is in lieu of a formal evidentiary public hearing under § 15.1(c), all of the information described in § 12.32(e). (b) The scope of the hearing is determined by the notice of hearing and any regulation under which the hearing is held. If a regulation, e.g., § 330.10(a)(10), limits a hearing to review of an existing administrative record, information not already in the record may not be considered at the hearing. (c) The notice of hearing may require participants to submit the text of their presentations in advance of the hearing if the Commissioner determines that advance submissions are necessary for the panel to formulate useful questions to be posed at the hearing under § 15.30(e). The notice may provide for the submission of a comprehensive outline as an alternative to the submission of the text if the Commissioner determines that submission of an outline will be sufficient. | |||
| 21:21:1.0.1.1.12.2.98.2 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | B | Subpart B—Procedures for Public Hearing Before the Commissioner | § 15.21 Notice of participation; schedule for hearing. | FDA | (a) The notice of hearing will provide persons an opportunity to file a written notice of participation with the Dockets Management Staff within a specified period of time containing the information specified in the notice, e.g., name of participant, address, phone number, affiliation, if any, topic of presentation and approximate amount of time requested for the presentation. If the public interest requires, e.g., a hearing is to be conducted within a short period of time or is to be primarily attended by individuals without an organizational affiliation, the notice may name a specific FDA employee and telephone number to whom an oral notice of participation may be given or provide for submitting notices of participation at the time of the hearing. A written or oral notice of participation must be received by the designated person by the close of business of the day specified in the notice. (b) Promptly after expiration of the time for filing a notice, the Commissioner will determine the amount of time allotted to each person and the approximate time that oral presentation is scheduled to begin. If more than one hearing is held on the same subject, a person will ordinarily be allotted time for a presentation at only one hearing. (c) Individuals and organizations with common interests are urged to consolidate or coordinate their presentations and to request time for a joint presentation. The Commissioner may require joint presentations by persons with common interests. (d) The Commissioner will prepare a hearing schedule showing the persons making oral presentations and the time alloted to each person, which will be filed with the Dockets Management Staff and mailed or telephoned before the hearing to each participant. (e) The hearing schedule will state whether participants must be present by a specified time to be sure to be heard in case the absence of participants advances the schedule. | ||||
| 21:21:1.0.1.1.12.2.98.3 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | B | Subpart B—Procedures for Public Hearing Before the Commissioner | § 15.25 Written submissions. | FDA | A person may submit information or views on the subject of the hearing in writing to the Dockets Management Staff, under § 10.20. The record of the hearing will remain open for 15 days after the hearing is held for any additional written submissions, unless the notice of the hearing specifies otherwise or the presiding officer rules otherwise. | ||||
| 21:21:1.0.1.1.12.2.98.4 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | B | Subpart B—Procedures for Public Hearing Before the Commissioner | § 15.30 Conduct of a public hearing before the Commissioner. | FDA | (a) The Commissioner or a designee may preside at the hearing, except where a regulation provides that the Commissioner will preside personally. The presiding officer may be accompanied by other FDA employees or other Federal Government employees designated by the Commissioner, who may serve as a panel in conducting the hearing. (b) The hearing will be transcribed. (c) Persons may use their alloted time in whatever way they wish, consistent with a reasonable and orderly hearing. A person may be accompanied by any number of additional persons, and may present any written information or views for inclusion in the record of the hearing, subject to the requirements of § 15.25. The presiding officer may allot additional time to any person when the officer concludes that it is in the public interest, but may not reduce the time allotted for any person without the consent of the person. (d) If a person is not present at the time specified for the presentation, the persons following will appear in order, with adjustments for those appearing at their scheduled time. An attempt will be made to hear any person who is late at the conclusion of the hearing. Other interested persons attending the hearing who did not request an opportunity to make an oral presentation will be given an opportunity to make an oral presentation at the conclusion of the hearing, in the discretion of the presiding officer, to the extent that time permits. (e) The presiding officer and any other persons serving on a panel may question any person during or at the conclusion of the presentation. No other person attending the hearing may question a person making a presentation. The presiding officer may, as a matter of discretion, permit questions to be submitted to the presiding officer or panel for response by them or by persons attending the hearing. (f) The hearing is informal in nature, and the rules of evidence do not apply. No motions or objections relating to the admissibility of information and views may be made or considered, but other pa… | ||||
| 21:21:1.0.1.1.12.3.98.1 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | C | Subpart C—Records of a Public Hearing Before the Commissioner | § 15.40 Administrative record. | FDA | (a) The administrative record of a public hearing before the Commissioner consists of the following: (1) All relevant Federal Register notices, including any documents to which they refer. (2) All written submissions under § 15.25. (3) The transcript of the oral hearing. (b) The record of the administrative proceeding will be closed at the time specified in § 15.25. | ||||
| 21:21:1.0.1.1.12.3.98.2 | 21 | Food and Drugs | I | A | 15 | PART 15—PUBLIC HEARING BEFORE THE COMMISSIONER | C | Subpart C—Records of a Public Hearing Before the Commissioner | § 15.45 Examination of administrative record. | FDA | Section 10.20(j) governs the availability for public examination and copying of each document in the administrative record of the hearing | ||||
| 24:24:1.1.1.1.12.1.25.1 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | A | Subpart A—General Provisions | § 15.1 General provisions. | HUD | (a) Scope. Requests for material from HUD will be processed as set forth in this part. The Federal Housing Administration and the Government National Mortgage Association are components of HUD and are also covered by this part. (b) Subpart B. Subpart B of this part contains the rules that HUD follows in processing requests for records under the Freedom of Information Act (FOIA) (5 U.S.C. 552). These rules should be read together with the FOIA, which provides additional information about access to records maintained by HUD. Information routinely provided to the public as part of a regular Department activity may be provided to the public without following this subpart. (c) Subpart C. Subpart C of this part describes the procedures to be followed and standards to be applied in processing demands for the production of material or provision of testimony in legal proceedings among private litigants. (d) Subpart D. Subpart D of this part describes the procedures to be followed and standards to be applied in processing demands for the production of material or provision of testimony in legal proceedings in which the United States is a party. (e) Inspector General. Subparts B and C of this part do not apply to the Office of Inspector General. The procedures that apply to the Office of Inspector General are described in parts 2002 and 2004 of this title. | ||||||
| 24:24:1.1.1.1.12.1.25.2 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | A | Subpart A—General Provisions | § 15.2 Definitions. | HUD | (a) The following definitions apply to this part. Agency record means any documentary material that is either created or obtained by an agency in the transaction of agency business and is under agency control. “Agency record” does not include records that are not already in existence and which would have to be created specifically to meet a request. Business information means commercial or financial information provided to HUD by a submitter that arguably is protected from disclosure under Exemption 4 (42 U.S.C. 552(b)(4)) of the FOIA. FOIA means the Freedom of Information Act (5 U.S.C. 552). HUD means the Department of Housing and Urban Development. Review means the examination of a record located in response to a request in order to determine whether any portion of it is exempt from disclosure. Review time includes processing any record for disclosure (for example, doing all that is necessary to redact it and prepare it for disclosure). Review costs are recoverable even if a record ultimately is not disclosed. Review time includes time spent considering any formal objection to disclosure, made by a business submitter under § 15.108, but does not include time spent resolving general legal or policy issues regarding the application of exemptions. Search means the process of looking for and retrieving records or information responsive to a request. It includes page-by-page or line-by-line identification of information within records and also includes reasonable efforts to locate and retrieve information from records maintained in electronic form or format. Secretary means the Secretary of Housing and Urban Development. Submitter means any person or entity that provides business information, directly or indirectly, to HUD. The term includes, but is not limited to, corporations, State governments, and foreign governments. (b) The following definitions apply to subparts C and D of this part. Appropriate Associate General Counsel means the Associate General Counsel for Litigation or the Associate Ge… | ||||||
| 24:24:1.1.1.1.12.2.25.1 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.101 Proactive disclosures of department records. | HUD | [80 FR 49145, Aug. 17, 2015, as amended at 82 FR 3622, Jan. 12, 2017; 82 FR 21694, May 10, 2017] | (a) In General. Records that are required to be made available for public inspection in an electronic format are accessible on the Department's Web site at http://www.hud.gov/FOIA. Published agency records, whether or not they are available for purchase, are made available for examination. Each HUD office (headquarters and field) has a FOIA Public Liaison that can assist individuals in locating records. A list of the Department's FOIA Public Liaisons is available at http://www.hud.gov/FOIA. (b) Electronic FOIA reading room. As required by 5 U.S.C. 552(a)(2), HUD makes records created on or after November 1, 1996, available through its electronic FOIA Reading Room, located on HUD's FOIA Web site at http://www.hud.gov/FOIA. These records include: (1) Final opinions and orders. (2) Public access to high-value, machine readable datasets via http://www.data.gov. (3) Statements of policy and interpretation, including: (i) HUD's Client and Information Policy Systems (HUDCLIPS); (ii) Housing policy; (iii) Public and Indian Housing policy and regulations; (iv) Public and Indian Housing policy and guidance (PHA Plans); and (v) Community Planning and Development policy and guidance. (4) Administrative staff manuals. (5) HUD's online library. (6) Fair housing information. (7) Copies of all records, regardless of form or format that have been released to any person under § 15.105; and (i) Because of the nature of their subject matter, the agency determines that the records have become or are likely to become the subject of subsequent requests for substantially the same records; or (ii) Have been requested three or more times. (8) Report for the preceding fiscal year submitted to the U.S. Attorney General and the Director of the Office of Government Information Services (OGIS) as required by 5 U.S.C. 552(e) and the raw statistical data used in each report. This report will be made available: (i) Without charge, license, or registration requirement; (ii) In an aggregated, searchable format; and (iii… | |||||
| 24:24:1.1.1.1.12.2.25.10 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.110 HUD response to appeals. | HUD | (a) In general. (1) The appellate official will conduct a de novo review of the entire record and applicable law when making a decision. (2) The decision on the appeal will be made in writing and will be considered the final action of HUD. (i) A decision affirming an adverse determination, in whole or in part, will contain a statement of the reason(s) for the affirmation, including any FOIA exemption(s) applied, and will inform the appellant of the FOIA provisions for potential court review of the decision. (ii) If the adverse determination is modified on appeal, in whole or in part, a written decision will be sent to the appellant and the FOIA request will be reprocessed in accordance with the appeal decision. (iii) Adverse decisions will include the name and contact information of dispute resolution services that offer mediation services to resolve disputes between FOIA requesters and Federal agencies as a nonexclusive alternative to litigation. (b) Appeal of a denial of record request. Upon appeal of a denial of a record request, the appellate official will issue a decision that either: (1) Overturns the adverse determination, in whole or in part, and remands the request to the appropriate office. The requester will be notified of the rationale for the determination in writing. The original office will then reprocess the request in accordance with the appeal determination and respond directly to the requester; or (2) Affirms the adverse determination and declines to provide the requested records to the appellant. (c) Appeal of a fee determination. Upon appeal of a fee determination, the appellate official will issue a decision that either: (1) Waives the fee or charges the fee that the appellant requested; (2) Modifies the original fee charged and explains why the modified fee is appropriate; or (3) Advises the appellant that the original fee charged was appropriate and gives the reason behind this determination. (d) Appeal of a denial of expedited processing. Upon appeal of a denial of an … | ||||||
| 24:24:1.1.1.1.12.2.25.2 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.102 Requirements for making requests for records. | HUD | (a) In general. Any request for HUD records must be made in writing and submitted to the FOIA Public Liaison in the HUD field office where the records are located or to the Office of the Executive Secretariat in HUD Headquarters if the request is for records located in HUD Headquarters. (b) HUD field office records. Requests for records located in a HUD field office may be submitted by mail (including courier or delivery service), email, or facsimile to the FOIA Public Liaison at the field office. (c) HUD headquarters records. Requests for records located in HUD Headquarters may be submitted via an electronic request form on HUD's FOIA Web site at http://www.hud.gov/FOIA. Requests can also be submitted in person or by mail (including courier or delivery service), email, or facsimile to the Office of the Executive Secretariat in HUD Headquarters. (d) Form of requests. FOIA requests should: (1) Be in writing and clearly identifiable as a FOIA request. To facilitate identification, the requester should place the phrase “FOIA Request” on the front of the envelope or on the cover sheet or other transmittal document used when submitting the request in person or by mail, email, facsimile, or electronic request form; (2) Include, whenever possible, detailed and specific information about each record sought, such as the date, title or name, author, recipient, and subject matter of the record. The more specific the FOIA request for records, the more likely HUD officials will be able to locate the records requested. Requests for categories of information should be for specific and well-defined categories. Insufficient descriptions may lead HUD officials to contact the requester to seek additional information for their record search; (3) Indicate the form or format in which the requester would like the record made available, if the requester has a preference; (4) Specify the fee amount the requester is willing to pay. In general, HUD provides records at no cost up to $25. Requesters are required to agree to … | ||||||
| 24:24:1.1.1.1.12.2.25.3 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.103 Timing of responses to requests. | HUD | [80 FR 49145, Aug. 17, 2015, as amended at 82 FR 3622, Jan. 12, 2017] | (a) In general. HUD will generally make a determination whether to comply with a FOIA request within 20 working days, depending on the size of the request. The 20-day period will begin on the day the request is received by the appropriate component of HUD, but in any event not later than 10 working days after the request is received by any component of HUD designated to receive FOIA requests. (b) Tolling the 20-day time period. Under the OPEN Government Act of 2007, HUD may toll the 20-day period: (1) One time to make a reasonable request for additional information from the requester; or (2) As many times as necessary to clarify issues regarding fee assessment with the requester. The agency's receipt of the requester's response to the agency's request for information or resolution of all fee assessment issues ends the tolling period. (c) Extension of time periods for processing a request. In unusual circumstances, as defined in this paragraph, HUD may extend the time period for processing a FOIA request. In such circumstances, HUD will provide the requester with written notice setting forth the unusual circumstances for the extension and the date on which a determination is expected to be dispatched. If processing a request would require more than 10 working days beyond the general time limit established in paragraph (a) of this section, HUD will offer the requester an opportunity to limit the scope of the request so that HUD may process it within the extra 10-day working period or arrange an alternative time period within which the FOIA request will be processed. To aid the requester, HUD shall make available its FOIA Public Liaison, who shall assist in the resolution of any disputes between the requester and HUD, and notify the requester of the right of the requester to seek dispute resolution services from the Office of Government Information Services. For purposes of this section, unusual circumstances include: (1) The need to search for and collect records not located in the office processing the … | |||||
| 24:24:1.1.1.1.12.2.25.4 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.104 Procedures for processing FOIA requests. | HUD | [80 FR 49145, Aug. 17, 2015, as amended at 82 FR 3622, Jan. 12, 2017] | (a) In general. HUD will ordinarily respond to FOIA requests according to their order of receipt. (b) Tracking number. FOIA requests will be logged in the order that they are received and be assigned a tracking number. A requester should use the tracking number to identify his or her request when contacting the FOIA office for any reason. (c) Expedited processing. (1) Requests and appeals will be taken out of order and given expedited treatment whenever it is determined that they involve: (i) Circumstances in which the lack of expedited treatment could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; (ii) An urgency to inform the public about an actual or alleged Federal Government activity, if made by a person primarily engaged in disseminating information; or (iii) The loss of substantial due process rights. (2) A request for expedited processing may be made at the time of the initial request for records or at any later time. For a prompt determination, a request for expedited processing should be received by the proper office designated to receive FOIA requests as provided in § 15.102. (3) A requester who seeks expedited processing should submit a statement, certified to be true and correct to the best of that person's knowledge and belief, explaining in detail the basis for requesting expedited processing. For example, a requester who makes a request under paragraph (c)(1)(ii) of this section, if not a full-time member of the news media, should establish that he or she is a person primarily engaged in disseminating information, though it need not be his or her sole occupation. A requester making a request under paragraph (c)(1)(ii) of this section also should establish a particular urgency to inform the public about the government activity involved in the request, beyond the public's right to know about government activity generally. The formality of certification may be waived as a matter of administrative discretion. (4) HUD will make a determi… | |||||
| 24:24:1.1.1.1.12.2.25.5 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.105 Responses to requests. | HUD | [80 FR 49145, Aug. 17, 2015, as amended at 82 FR 3622, Jan. 12, 2017; 82 FR 21694, May 10, 2017] | (a) Acknowledgements of requests. The FOIA office in the Office of the Executive Secretariat in HUD Headquarters and FOIA Public Liaison in each HUD field office will ordinarily send an acknowledgement letter to the requester that will confirm receipt of the request by the appropriate HUD office and provide an assigned tracking number, as provided by § 15.104(b), for further reference. (b) Consultations, coordination, and referrals. When HUD receives a request for a record in its possession, it shall determine whether another agency of the Federal Government is better able to determine whether the record is exempt from disclosure under the FOIA or whether it should be disclosed as a matter of administrative discretion. If HUD determines that it is best able to determine whether the record is exempt from disclosure, then it shall do so. If HUD determines that it is not best able to make that determination, then it shall either: (1) Respond to the request regarding that record, after consulting with the agency best able to determine whether to disclose it and with any other agency that has a substantial interest in it; or (2) Refer the responsibility for responding to the request regarding that record to the agency that originated the record, but only if that agency is subject to the FOIA. Ordinarily, the agency with which the record originated will be presumed to be best able to determine whether to disclose it. (c) Fee estimates. HUD will notify the requester if HUD's estimate of the fee is more than the requester has agreed to pay. Consistent with § 15.106(e), the requester shall have 15 working days to agree to pay the higher fee. (d) Forms of response. Once HUD makes a determination regarding whether to comply with a request pursuant to time limits established in § 15.103(a), HUD shall immediately notify the requester of such determination and the reasons therefor, and the requester's right to seek assistance from the FOIA Public Liaison. (1) Granting requests in whole or in part. If HUD makes … | |||||
| 24:24:1.1.1.1.12.2.25.6 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.106 Fees. | HUD | [80 FR 49145, Aug. 17, 2015, as amended at 82 FR 3622, Jan. 12, 2017] | (a) In general. HUD will charge for processing requests under the FOIA in accordance with paragraph (c) of this section, except where fees are limited under paragraph (d) of this section or where a waiver or reduction of fees is granted under paragraph (k) of this section. HUD shall collect all applicable fees before sending copies of requested records to a requester. In order to resolve any fee issues that arise under this section, HUD may contact a requester for additional information. Requesters shall pay fees by check or money order made payable to the United States Treasury. (b) Definitions. For purposes of this section: Commercial use means a request from or on behalf of a person who seeks information for a use or purpose that furthers his or her commercial, trade, or profit interests, which can include furthering those interests through litigation. HUD shall determine, whenever reasonably possible, the use to which a requester will put the requested records. When it appears that the requester will put the records to a commercial use, either because of the nature of the request itself or because HUD has reasonable cause to doubt a requester's stated use, HUD shall provide the requester a reasonable opportunity to submit further clarification. Direct costs means those expenses that HUD actually incurs in searching for and duplicating and, in the case of commercial use requests, reviewing records to respond to a FOIA request. Direct costs include, for example, the salary of the employee performing the work and the cost of operating computers and other electronic equipment, such as for mainframe computer run time. Not included in direct costs are overhead expenses such as the costs of space and heating or lighting a facility. Duplication means the process of making a copy of a document necessary to respond to a FOIA request. Such copies can take the form of paper copy, audiovisual materials, or machine readable documentation ( e.g., diskette), among others. HUD shall honor a requester's specified p… | |||||
| 24:24:1.1.1.1.12.2.25.7 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.107 Documents generally protected from disclosure. | HUD | [82 FR 21694, May 10, 2017] | (a) HUD shall withhold information only if HUD reasonably foresees that disclosure would harm an interest protected by an exemption as provided in paragraph (b) of this section, or disclosure is prohibited by law. HUD will consider whether partial disclosure of information is possible whenever HUD determines that a full disclosure of a requested record is not possible, and will take reasonable steps necessary to segregate and release nonexempt information. Nothing in this section requires disclosure of information that is otherwise prohibited from disclosure by law, or otherwise exempted from disclosure as provided in paragraph (b)(3) of this section. (b) The FOIA contains nine exemptions (5 U.S.C. 552(b)) that authorize agencies to withhold various records from disclosure. With regard to certain types of records, HUD generally applies the exemptions as follows: (1) Classified documents. Exemption 1 (5 U.S.C. 552(b)(1)) protects classified national defense and foreign relations information. HUD seldom relies on this exception to withhold documents. However, where applicable, HUD will refer a request for records classified under Executive Order 13526 and the pertinent records to the originating agency for processing. HUD may refuse to confirm or deny the existence of the requested information if the originating agency determines that the fact of the existence of the information itself is classified. (2) Internal agency rules and practices. Exemption 2 (5 U.S.C. 552(b)(2)) protects records relating to internal personnel rules and practices. (3) Information prohibited from disclosure by another statute. Exemption 3 (5 U.S.C. 552(b)(3)) protects information that is prohibited from disclosure by another Federal law. HUD generally will not disclose competitive proposals prior to contract award, competitive proposals that are not set forth or incorporated by reference into the awarded contract (see 41 U.S.C. 4702), or, during the selection process, any covered selection information regarding such selection, ei… | |||||
| 24:24:1.1.1.1.12.2.25.8 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.108 Business information. | HUD | (a) In general. Business information obtained by HUD from a submitter will be disclosed under the FOIA only under this section. In making final confidentiality determinations under this section, HUD relies to a large extent upon the information furnished by the affected business to substantiate its claim of confidentiality. HUD may be unable to verify the accuracy of much of the information submitted by the affected business. HUD will comply with Executive Order 12600 and follow the procedure in this section by giving notice to the affected business and an opportunity for the business to present evidence of its confidentiality claim. If HUD is sued by a requester under the FOIA for nondisclosure of confidential business information, HUD expects the affected business to cooperate to the fullest extent possible in defending such a decision. (b) Designation of business information. A submitter of business information will use good faith efforts to designate, by appropriate markings, either at the time of submission or at a reasonable time thereafter, any portions of its submission that it considers to be protected from disclosure under Exemption 4. These designations will expire 10 years after the date of the submission unless the submitter requests, and provides justification for, a longer designation period. (c) Notice to submitters. HUD will provide a submitter with prompt written notice of a FOIA request or administrative appeal that seeks business information, wherever required under paragraph (d) of this section, in order to give the submitter an opportunity to object to disclosure of any specified portion of that information under paragraph (e) of this section. The notice will either describe the business information requested or include copies of the requested records or portions of records containing the information. When notification of a voluminous number of submitters is required, notification may be made by posting or publishing the notice in a place reasonably likely to accomplish notification.… | ||||||
| 24:24:1.1.1.1.12.2.25.9 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | B | Subpart B—Procedures for Disclosure of Records Under the FOIA | § 15.109 Appeals. | HUD | [80 FR 49145, Aug. 17, 2015 as amended at 82 FR 21695, May 10, 2017] | (a) In general. A requester may appeal an adverse determination denying a request, in any respect, in writing. The letter of appeal should clearly identify the determination that is being appealed and the assigned tracking number. The appeal letter and envelope should be marked “Freedom of Information Act Appeal” for the quickest possible handling. If mailed, the requester's letter of appeal must be postmarked within 90 calendar days of the date of HUD's letter of determination. If the letter of appeal is transmitted electronically or by a means other than the United States Postal Service, it must be received in the appropriate office by the close of business on the 30th calendar day after the date of HUD's letter of determination. (b) Time frames —(1) Expedited processing. HUD will decide an appeal of a denial of a request to expedite processing of a FOIA request within 10 working days of receipt of the appeal. (2) All other appeals. HUD will make a determination on appeals within 20 working days of receipt, unless unusual circumstances require HUD to extend the time for an additional 10 working days. (3) Exceptions. An appeal ordinarily will not be acted upon if the subject of the appeal is simultaneously being litigated in an applicable Federal court. (c) Content of appeals. An appeal letter should include the following: (1) A copy of the original request; (2) A copy of the adverse determination; (3) A statement of facts and legal arguments supporting the appeal; and (4) Any additional information the appellant wishes to include. (d) When appeal is required. Before seeking a court review of HUD's adverse determination, a requester generally must have exhausted their administrative remedies. | |||||
| 24:24:1.1.1.1.12.3.25.1 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.201 Purpose and scope. | HUD | [72 FR 8582, Feb. 26, 2007, as amended at 73 FR 72205, Nov. 26, 2008] | (a) This subpart contains the regulations of the Department concerning the procedures to be followed and standards to be applied when demand is issued in a legal proceeding among private litigants for the production or disclosure of any material, whether provided through production of material or provision of testimony. (b) This subpart does not apply to demands, which are covered by part 2004 of this title, for production of material in the files of the Office of Inspector General or provision of testimony by employees within the Office of Inspector General. (c) This subpart also provides guidance to persons engaged in private litigation, to which the United States is not a party, on the procedures to be followed when making a demand for documents or testimony on the Department of Housing and Urban Development. This subpart does not, and may not be relied upon to, create any affirmative right or benefit, substantive or procedural, enforceable against HUD. | |||||
| 24:24:1.1.1.1.12.3.25.2 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.202 Production of material or provision of testimony prohibited unless approved. | HUD | [73 FR 72205, Nov. 26, 2008] | Neither the Department nor any employee of the Department shall comply with any demand for production of material or provision of testimony in a legal proceeding among private litigants, unless the prior approval of the Authorized Approving Official has been obtained in accordance with this subpart. This rule does not apply to any legal proceeding in which an employee may be called to participate, either through the production of documents or the provision of testimony, not on official time, as to facts or opinions that are in no way related to material described in § 15.201. | |||||
| 24:24:1.1.1.1.12.3.25.3 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.203 Making a demand for production of material or provision of testimony. | HUD | [73 FR 72205, Nov. 26, 2008] | (a) Any demand made to the Department or an employee of the Department to produce any material or provide any testimony in a legal proceeding among private litigants must: (1) Be submitted in writing to the Department or employee of the Department, with a copy to the Appropriate Associate General Counsel or Appropriate Regional Counsel, no later than 30 days before the date the material or testimony is required; (2) State, with particularity, the material or testimony sought; (3) If testimony is requested, state: (i) The intended use of the testimony, and (ii) Whether expert or opinion testimony will be sought from the employee; (4) State whether the production of such material or provision of such testimony could reveal classified, confidential, or privileged material; (5) Summarize the need for and relevance of the material or testimony sought in the legal proceeding and include a copy of the complaint, if available; (6) State whether the material or testimony is available from any other source and, if so, state all such other sources; (7) State why no document[s], or declaration[s] or affidavit[s], could be used in lieu of oral testimony that is being sought; (8) Estimate the amount of time the employee will need in order to prepare for, travel to, and attend the legal proceeding, as appropriate; (9) State why the production of the material or provision of the testimony is appropriate under the rules of procedure governing the legal proceeding for which it is sought (e.g., not be unduly burdensome or otherwise inappropriate under the relevant rules governing discovery); and (10) Describe how producing such material or providing such testimony would affect the interests of the United States. (b) If the Department determines that the requestor has failed to provide the information required by paragraph (a) of this section, or that the information provided is insufficient to consider the demand in accordance with § 15.204, the Department may require that additional information be provided by the requ… | |||||
| 24:24:1.1.1.1.12.3.25.4 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.204 Consideration of demands for production of material or provision of testimony. | HUD | [73 FR 72205, Nov. 26, 2008] | (a) The Authorized Approving Official shall determine what material is to be produced or what testimony is to be provided, based upon the following standards: (1) Expert or opinion material or testimony. In any legal proceeding among private litigants, no employee of the Department may produce material or provide testimony as described in § 15.201(a) that is of an expert or opinion nature, unless specifically authorized by the Authorized Approving Official for good cause shown. (2) Factual material or testimony. In any legal proceeding among private litigants, no employee of the Department may produce material or provide testimony as described in § 15.201(a) that is of a factual nature, unless specifically authorized by the Authorized Approving Official. The Authorized Approving Official shall determine whether any of the following factors are applicable. Such a demand may either be denied, or conditionally granted in accordance with § 15.204(c), if any such factors are applicable: (i) Producing such material or providing such testimony would violate a statute or regulation; (ii) Producing such material or providing such testimony would reveal classified, confidential, or privileged material; (iii) Such material or testimony would be irrelevant to the legal proceeding; (iv) Such material or testimony could be obtained from any other source; (v) One or more documents, or a declaration or affidavit, could reasonably be provided in lieu of oral testimony; (vi) The amount of employees' time necessary to comply with the demand would be unreasonable; (vii) Production of the material or provision of the testimony would not be required under the rules of procedure governing the legal proceeding for which it is sought (e.g., unduly burdensome or otherwise inappropriate under the relevant rules governing discovery); (viii) Producing such material or providing such testimony would impede a significant interest of the United States; or (ix) The Department has any other legally cognizable objection to the relea… | |||||
| 24:24:1.1.1.1.12.3.25.5 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.205 Method of production of material or provision of testimony. | HUD | [73 FR 72206, Nov. 26, 2008] | (a) Where the Authorized Approving Official has authorized the production of material or provision of testimony, the Department shall produce such material or provide such testimony in accordance with this section and any conditions imposed upon production of material or provision of testimony pursuant to § 15.204(c). (b) In any legal proceeding where the Authorized Approving Official has authorized the production of documents, the Department shall respond by producing authenticated copies of the documents, to which the seal of the Department has been affixed, in accordance with its authentication procedures. The authentication shall be evidence that the documents are true copies of documents in the Department's files and shall be sufficient for the purposes of Rules 803(8) and 902 of the Federal Rules of Evidence and Rule 44(a)(1) of the Federal Rules of Civil Procedure. (c) If response to a demand is required before the determination from the Authorized Approving Official is received, the U.S. Attorney, Department of Justice Attorney, or such other attorney as may be designated for the purpose will appear or make such filings as are necessary to furnish the court or other authority with a copy of the regulations contained in this subpart and will inform the court or other authority that the demand has been, or is being, as the case may be, referred for prompt consideration. The court or other authority shall be requested respectfully to stay the demand pending receipt of the requested determination from the Authorized Approving Official. | |||||
| 24:24:1.1.1.1.12.3.25.6 | 24 | Housing and Urban Development | 15 | PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES | C | Subpart C—Production of Material or Provision of Testimony in Response to Demands in Legal Proceedings Among Private Litigants | § 15.206 Procedure in the event of an adverse ruling regarding production of material or provision of testimony. | HUD | [73 FR 72206, Nov. 26, 2008] | If the court or other authority declines to stay the demand made in accordance with § 15.205(c) pending receipt of the determination from the Authorized Approving Official, or if the court or other authority rules that the demand must be complied with irrespective of the determination by the Authorized Approving Official not to produce the material or provide the testimony demanded or to produce subject to conditions or restrictions, the employee upon whom the demand has been made shall, if so directed by an attorney representing the Department, respectfully decline to comply with the demand. ( United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951)). |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);