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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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| 10:10:1.0.1.1.14.0.76.1 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.1 Purpose and scope. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 63 FR 15743, Apr. 1, 1998; 67 FR 57507, Sept. 11, 2002] | (a) This part provides procedures for the collection by administrative offset of a Federal employee's salary without his/her consent to satisfy certain debts owed to the Federal Government. This part applies to all Federal employees who owe debts to the Nuclear Regulatory Commission (NRC) and to current employees of the NRC who owe debts to other Federal agencies. This part does not apply when the employee consents to recovery from his/her current pay account. (b) These procedures do not apply to debts or claims arising under: (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et seq.; (2) The tariff laws of the United States; or (3) Any case where a collection of a debt by salary offset is explicitly provided for or prohibited by another statute. (c) These procedures do not apply to any adjustment to pay arising out of an employee's selection of coverage or a change in coverage under a Federal benefits program requiring periodic deductions from pay if the amount to be recovered was accumulated over four pay periods or less. (d) These procedures do not preclude the compromise, suspension, or termination of collection action where appropriate under the standards implementing the revised Federal Claims Collection Standards (FCCS), 31 U.S.C. 3711 et seq., 31 CFR chapter IX, parts 900 through 904. (e) This part does not preclude an employee from requesting waiver of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716 or in any way questioning the amount or validity of the debt by submitting a subsequent claim to the NRC. This part does not preclude an employee from requesting a waiver pursuant to other statutory provisions applicable to the particular debt being collected. (f) The NRC is not limited to collection remedies contained in the revised FCCS. The FCCS is not intended to impair common law remedies. | ||||||
| 10:10:1.0.1.1.14.0.76.10 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.17 Refunds. | NRC | (a) The NRC will refund promptly any amounts deducted to satisfy debts owed to the NRC when the debt is waived, found not owed to the NRC, or when directed by an administrative or Judicial order. (b) The creditor agency will promptly return any amounts deducted by NRC to satisfy debts owed to the creditor agency when the debt is waived, found not owed, or when directed by an administrative or judicial order. (c) Unless required or permitted by law or contract, refunds under this section may not bear interest. | |||||||
| 10:10:1.0.1.1.14.0.76.11 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.19 Statute of limitations. | NRC | If a debt has been outstanding for more than 10 years after the agency's right to collect the debt first accrued, the agency may not collect by salary offset unless facts material to the Government's right to collect were not known and could not reasonably have been known by the NRC official or officials who were charged with the responsibility for discovery and collection of the debts. | |||||||
| 10:10:1.0.1.1.14.0.76.12 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.21 Non-waiver of rights. | NRC | An employee's involuntary payment of all or any part of a debt collected under these regulations will not be construed as a waiver of any rights that the employee may have under 5 U.S.C. 5514 or any other provision of contract or law, unless there are statutes or contract(s) to the contrary. | |||||||
| 10:10:1.0.1.1.14.0.76.13 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.23 Interest, penalties, and administrative charges. | NRC | [67 FR 57509, Sept. 11, 2002] | Charges may be assessed for interest, penalties, and administrative charges in accordance with the FCCS, 31 CFR Chapter IX, 901.9. | ||||||
| 10:10:1.0.1.1.14.0.76.2 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.3 Definitions. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57507, Sept. 11, 2002] | For the purposes of this part, the following definitions apply: Administrative charges are those amounts assessed by NRC to cover the costs of processing and handling delinquent debts due the Government. 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. Agency means any agency of the executive, legislative, and judicial branches of the Federal Government, including Government corporations. Centralized salary offset computer matching describes the computerized process used to match delinquent debt records with Federal salary payment records when the purpose of the match is to identify Federal employees who owe debt to the Federal Government. Creditor agency means the agency to which the debt is owed, including a debt collection center when acting in behalf of a creditor agency in matters pertaining to the collection of a debt. Debt and claim 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 debt and claim 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. Debt collection center means the Department of the Treasury or other Government agency or division designated by the Secretary of the Treasury with authority to collect debts on behalf of creditor agencies. Delinquent debt record refers to the information about a debt that an agency submits to Treasury when the agency refers the debt for collection by offset in accordance with the provision of 31 U.S.C. 3716. Di… | ||||||
| 10:10:1.0.1.1.14.0.76.3 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.5 Application. | NRC | The regulations in this part are to be followed when: (a) The NRC is owed a debt by an individual currently employed by another Federal agency; (b) The NRC is owed a debt by an individual who is a current employee of the NRC; or (c) The NRC employs an individual who owes a debt to another Federal agency. | |||||||
| 10:10:1.0.1.1.14.0.76.4 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.7 Notice requirements. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57508, Sept. 11, 2002] | (a) If the NRC is the creditor agency, deductions will not be made unless the NRC provides the employee with a signed written notice of the debt at least 30 days before salary offset commences. The notice will be delivered in person or by certified or registered mail, return receipt requested, with receipt returned as proof of delivery. (b) The written notice must contain: (1) A statement that the debt is owed and an explanation of its origin, nature, and amount; (2) The NRC's intention to collect the debt by deducting from the employee's current disposable pay account; (3) The amount and frequency of the intended deduction (stated as a fixed dollar amount or as a percentage of pay, not to exceed 15 percent of disposable pay) and the intention to continue the deduction until the debt is paid in full or otherwise resolved. (4) An explanation of interest, penalties, and administrative charges, including a statement that these charges will be assessed unless excused in accordance with the Federal Claims Collection Standards at 4 CFR parts 101-105; (5) The employee's right to inspect and copy government records pertaining to the debt or, if the employee or his or her representative cannot personally inspect the records, to request and receive a copy of these records; (6) If not previously provided, the opportunity (under terms agreeable to the NRC) to establish a schedule for the voluntary repayment of the debt or to enter into a written agreement to establish a schedule for repayment of the debt in lieu of offset (31 CFR Chapter IX, 901.2). The agreement must be in writing, signed by the employee and the NRC, and documented in the NRC's files. (7) The employee's right to a hearing conducted by an official arranged for by the NRC (an administrative law judge, or alternatively, a hearing official not under the control of the head of the agency) if a petition is filed as prescribed in § 16.9; (8) The methods and time period for petitioning for hearings; (9) A statement that the timely filing of a petition for… | ||||||
| 10:10:1.0.1.1.14.0.76.5 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.8 Information collection requirements: OMB approval. | NRC | [67 FR 57508, Sept. 11, 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. ). | ||||||
| 10:10:1.0.1.1.14.0.76.6 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.9 Hearing. | NRC | [56 FR 51830, Oct. 16, 1991, as amended at 67 FR 57508, Sept. 11, 2002] | (a) Request for hearing. (1) An employee shall file a petition for a hearing in accordance with the instructions outlined in the creditor agency's notice of offset. (2) If the NRC is the creditor agency, a hearing may be requested by filing a written petition stating why the employee disputes the existence or amount of the debt or the repayment schedule if it was not established by written agreement between the employee and the NRC. The employee shall sign the petition and fully identify and explain with reasonable specificity all the facts, evidence, and witnesses, if any, which the employee believes support his or her position. The petition for a hearing must be received no later than fifteen (15) calendar days after receipt of the notice of offset unless the employee can show that the delay in meeting the deadline date was because of circumstances beyond his or her control or because of failure to receive notice of the time limit (unless otherwise aware of it). (b) Hearing procedures. (1) The hearing will be presided over by a hearing official arranged by NRC (an administrative law judge or, alternatively, a hearing official not under the supervision or control of the head of the agency.) (2) The hearing must conform to procedures contained in the revised FCCS, 31 CFR Chapter IX, 901.3(e). The burden is on the employee to demonstrate either that the existence or the amount of the debt is in error or that the terms of the repayment schedule would result in undue financial hardship or would be against equity and good conscience. (3) An employee is entitled to representation of his or her choice at any stage of the proceeding. NRC attorneys may not be provided as representatives for the debtor. The NRC will not compensate the debtor for representation expenses, including hourly fees for attorneys, travel expenses, and costs for reproducing documents. | ||||||
| 10:10:1.0.1.1.14.0.76.7 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.11 Written decision. | NRC | (a) The hearing official will issue a written opinion no later than 60 days after the hearing. (b) The written opinion must include: (1) A statement of the facts presented to demonstrate the nature and origin of the alleged debt; (2) The hearing official's analysis, findings, and conclusions; (3) The amount and validity of the debt; and (4) The repayment schedule, where appropriate. | |||||||
| 10:10:1.0.1.1.14.0.76.8 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.13 Procedures for centralized administrative offset. | NRC | [67 FR 57508, Sept. 11, 2002] | (a) The NRC must notify Treasury of all debts that are delinquent as defined in the FCCS (over 180 days old) so that recovery may be made by centralized administrative offset. This includes those debts the NRC seeks to recover from the pay account of an employee of another agency via salary offset. The Treasury and other Federal disbursing officials will match payments, including Federal salary payments, against such debts. When a match occurs, and all the requirements for offset have been met, the payments will be offset to collect the debt. Prior to offset of the pay account of an employee, the NRC must comply with the requirements of 5 U.S.C. 5514, 5 CFR part 550, and 10 CFR part 15. Procedures for notifying Treasury of a debt for purposes of collection by centralized administrative offset are contained in 31 CFR part 285 and 10 CFR 15.33. Procedures for internal salary offset are contained in § 16.15 of this chapter. (b) When the NRC determines that an employee of another Federal agency owes a delinquent debt to the NRC, the NRC will, as appropriate: (1) Arrange for a hearing upon the proper petitioning by the employee; (2) Provide the Federal employee with a notice and an opportunity to dispute the debt as contained in 5 U.S.C. 5514 and 10 CFR 15.26. (3) Submit the debt to Treasury for centralized administrative offset and certify in writing that the debtor has been afforded the legally required due process notification. (4) If collection must be made in installments, the NRC must advise the paying agency of the amount or percentage of disposable pay to be collected in each installment. (c) Offset amount. (1) The amount offset from a salary payment under this section shall be the lesser of: (i) The amount of the debt, including any interest, penalties, and administrative costs; or (ii) An amount up to 15 percent of the debtor's disposable pay. (2) Alternatively, the amount offset may be an amount agreed upon, in writing, by the debtor and the NRC. (3) Offsets will continue until the debt, includi… | ||||||
| 10:10:1.0.1.1.14.0.76.9 | 10 | Energy | I | 16 | PART 16—SALARY OFFSET PROCEDURES FOR COLLECTING DEBTS OWED BY FEDERAL EMPLOYEES TO THE FEDERAL GOVERNMENT | § 16.15 Procedures for internal salary offset. | NRC | (a) Deductions to liquidate an employee's debt will be by the method and in the amount stated in the NRC's notice of intention to offset as provided in § 16.7. Debts will be collected in one lump sum where possible. If the employee is financially unable to pay in one lump sum, collection must be made in installments. (b) Debts will be collected by deduction at officially established pay intervals from an employee's current pay account unless alternative arrangements for repayment are made. (c) Installment deductions will be made over a period not greater than the anticipated period of employment. The size of installment deductions must bear a reasonable relationship to the size of the debt and the employee's ability to pay. The deduction for the pay intervals for any period may not exceed 15% of disposable pay unless the employee has agreed in writing to a deduction of a greater amount. (d) Offset against any subsequent payment due an employee who retires or resigns or whose employment or period of active duty ends before collection of the debt is completed is provided for in accordance with 31 U.S.C. 3716. These payments include but are not limited to final salary payment or lump-sum leave due the employee from the paying agency as of the date of separation to the extent necessary to liquidate the debt. | |||||||
| 14:14:1.0.1.2.8.1.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | A | Subpart A—General Provisions | § 16.1 Applicability and description of part. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56141, Sept. 12, 2013] | (a) General. The provisions of this part govern all Federal Aviation Administration (FAA) proceedings involving Federally-assisted airports, except for complaints or requests for determination filed with the Secretary under 14 CFR part 302, whether the proceedings are instituted by order of the FAA or by filing a complaint with the FAA under the following authorities: (1) 49 U.S.C. 40103(e), prohibiting the grant of exclusive rights for the use of any landing area or air navigation facility on which Federal funds have been expended (formerly section 308 of the Federal Aviation Act of 1958, as amended). (2) Requirements of the Anti-Head Tax Act, 49 U.S.C. 40116. (3) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Federal Airport Act of 1946, 49 U.S.C. 1101 et seq. (repealed 1970). (4) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Airport and Airway Development Act of 1970, as amended, 49 U.S.C. 1701 et seq. (5) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Airport and Airway Improvement Act of 1982 (AAIA), as amended and recodified, 49 U.S.C. 47101 et seq., specifically section 511(a), 49 U.S.C. 47107, and 49 U.S.C. 47133. (6) Section 505(d) of the Airport and Airway Improvement Act of 1982, and the requirements concerning civil rights and/or Disadvantaged Business Enterprise (DBE) issues contained in 49 U.S.C. 47107(e) and 49 U.S.C. 47113; 49 U.S.C. 47123; 49 U.S.C. 322, as amended; 49 CFR parts 23 and/or 26; and/or grant assurance 30 and/or grant assurance 37. (7) Obligations contained in property deeds for property transferred pursuant to section 16 of the Federal Airport Act (49 U.S.C. 1115), section 23 of the Airport and Airway Development Act (49 U.S.C. 1723), or section 516 of the Airport and Airway Improvement Act (49 U.S.C. 47125). (8) Obligations contained in property deeds for property transferred under the Surplus Property Act (49 U.… | |||
| 14:14:1.0.1.2.8.1.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | A | Subpart A—General Provisions | § 16.3 Definitions. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56141, Sept. 12, 2013] | Terms defined in the Acts are used as so defined. As used in this part: Act means a statute listed in § 16.1 and any regulation, agreement, or document of conveyance issued or made under that statute. Administrator means the Administrator of the FAA. Agency means the FAA. Agency attorney means the Deputy Chief Counsel; the Assistant Chief Counsel and attorneys in the Airports/Environmental Law Division of the Office of the Chief Counsel; the Assistant Chief Counsel and attorneys in an FAA region or center who represent the FAA during the investigation of a complaint or at a hearing on a complaint, and who prosecute on behalf of the FAA, as appropriate. An agency attorney shall not include the Chief Counsel; the Assistant Chief Counsel for Litigation, or any attorney on the staff of the Assistant Chief Counsel for Litigation, who advises the Associate Administrator regarding an initial decision of the hearing officer or any appeal to the Associate Administrator or who is supervised in that action by a person who provides such advice in an action covered by this part. Agency employee means any employee of the FAA. Associate Administrator means the FAA Associate Administrator for Airports or a designee. For the purposes of this part only, Associate Administrator also means the Assistant Administrator for Civil Rights or a designee for complaints that the FAA Associate Administrator for Airports transfers to the Assistant Administrator for Civil Rights. Complainant means the person submitting a complaint. Complaint means a written document meeting the requirements of this part and filed under this part: (1) By a person directly and substantially affected by anything allegedly done or omitted to be done by any person in contravention of any provision of any Act, as defined in this section, as to matters within the jurisdiction of the Administrator, or (2) By a person under 49 CFR 26.105(c) against a recipient of FAA funds alleged to have violated a provision of 49 CFR parts 23 and/or 26. Decisional … | |||
| 14:14:1.0.1.2.8.1.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | A | Subpart A—General Provisions | § 16.5 Separation of functions. | FAA | (a) Proceedings under this part, including hearings under subpart F of this part, will be prosecuted by an agency attorney. (b) After issuance of an initial determination in which the FAA provides the opportunity for a hearing, an agency employee engaged in the performance of investigative or prosecutorial functions in a proceeding under this part will not, in that case or a factually related case, participate or give advice in an initial decision by the hearing officer, or a final decision by the Associate Administrator or designee on written appeal, and will not, except as counsel or as witness in the public proceedings, engage in any substantive communication regarding that case or a related case with the hearing officer, the Associate Administrator on written appeal, or agency employees advising those officials in that capacity. (c) The Chief Counsel, the Assistant Chief Counsel for Litigation, or an attorney on the staff of the Assistant Chief Counsel for Litigation advises the Associate Administrator regarding an initial decision, an appeal, or a final decision regarding any case brought under this part. | ||||
| 14:14:1.0.1.2.8.2.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | B | Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals | § 16.11 General processes. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56142, Sept. 12, 2013] | (a) Under the authority of 49 U.S.C. 40113 and 47121, the Director may conduct investigations, issue orders, and take such other actions as are necessary to fulfill the purposes of this part. This includes the extension of any time period prescribed, where necessary or appropriate for a fair and complete consideration of matters before the agency, prior to issuance of the Director's Determination. (b) Notwithstanding any other provision of this part, upon finding that circumstances require expedited handling of a particular case or controversy, the Director may issue an order directing any of the following prior to the issuance of the Director's Determination: (1) Shortening the time period for any action under this part consistent with due process; (2) If other adequate opportunity to respond to pleadings is available, eliminating the reply, rebuttal, or other actions prescribed by this part; (3) Designating alternative methods of service; or (4) Directing such other measures as may be required. (c) Other than those matters concerning a Corrective Action Plan, the jurisdiction of the Director terminates upon the issuance of the Director's Determination. All matters arising during the appeal period, such as requests for extension of time to make an appeal, will be addressed by the Associate Administrator. (d) The Director may transfer to the FAA Deputy Assistant Administrator for Civil Rights or Office of Civil Rights designee the authority to prepare and issue Director's Determinations pursuant to § 16.31 for complaints alleging violations of section 505(d) of the Airport and Airway Improvement Act of 1982, and the requirements concerning civil rights and/or Disadvantaged Business Enterprise (DBE) issues contained in 49 U.S.C. 47107(e) and 49 U.S.C. 47113; 49 U.S.C. 47123; 49 U.S.C. 322, as amended; 49 CFR parts 23 and/or 26; and/or grant assurance 30 and/or grant assurance 37. | |||
| 14:14:1.0.1.2.8.2.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | B | Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals | § 16.13 Filing of documents. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56142, Sept. 12, 2013] | Except as otherwise provided in this part, documents shall be filed with the FAA during a proceeding under this part as follows: (a) Filing address. Documents filed under this Part shall be filed with the Office of the Chief Counsel, Attention: FAA Part 16 Docket Clerk, AGC-600, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591. Documents to be filed with a hearing officer shall be filed at the address and in the manner stated in the hearing order. (b) Date and method of filing. Filing of any document shall be by personal delivery or mail as defined in this part, by facsimile (when confirmed by filing on the same date by one of the foregoing methods), or electronically as set forth in paragraph (h) of this section. Unless the date is shown to be inaccurate, documents filed with the FAA shall be deemed to be filed on the date of personal delivery, on the mailing date shown on the certificate of service, on the date shown on the postmark if there is no certificate of service, on the send date shown on the facsimile (provided filing has been confirmed through one of the foregoing methods), or on the mailing date shown by other evidence if there is no certificate of service and no postmark. Unless the date is shown to be inaccurate, documents filed electronically shall be deemed to be filed on the date shown on the certificate of service or, if none, the date of electronic transmission to the last party required to be served. (c) Number of copies. With the exception of electronic filing or unless otherwise specified, an executed original and three copies of each document shall be filed with the FAA Part 16 Docket Clerk. One of the three copies shall not be stapled, bound or hole-punched. Copies need not be signed, but the name of the person signing the original shall be shown. If a hearing order has been issued in the case, one of the three copies shall be filed with the hearing officer unless otherwise prescribed by the hearing officer. (d) Form. Documents filed under thi… | |||
| 14:14:1.0.1.2.8.2.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | B | Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals | § 16.15 Service of documents on the parties and the agency. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56143, Sept. 12, 2013] | Except as otherwise provided in this part, documents shall be served as follows: (a) Whom must be served. Copies of all documents filed with the FAA Part 16 Docket Clerk shall be served by the persons filing them on all parties to the proceeding. A certificate of service shall accompany all documents when they are tendered for filing and shall certify concurrent service on the FAA and all parties. Certificates of service shall be in substantially the following form: I hereby certify that I have this day served the foregoing [name of document] on the following persons at the following addresses, facsimile numbers (if also served by facsimile), or email address (if served electronically in accordance with § 16.13(h)), by [specify method of service]: [list persons, addresses, facsimile numbers, email addresses (as applicable)] Dated this _day of _, 20_. [signature], for [party] I hereby certify that I have this day served the foregoing [name of document] on the following persons at the following addresses, facsimile numbers (if also served by facsimile), or email address (if served electronically in accordance with § 16.13(h)), by [specify method of service]: [list persons, addresses, facsimile numbers, email addresses (as applicable)] Dated this _day of _, 20_. [signature], for [party] (b) Method of service. Except as otherwise agreed by the parties and, if applicable, the hearing officer, the method of service is the same as set forth in § 16.13(b) for filing documents. (c) Where service shall be made. Service shall be made to the persons identified in accordance with § 16.13(f). If no such person has been designated, service shall be made on the party. (d) Presumption of service. There shall be a presumption of lawful service— (1) When acknowledgment of receipt is by a person who customarily or in the ordinary course of business receives mail at the address of the party or of the person designated under § 16.13(f); (2) When a properly addressed envelope, sent to the most current address … | |||
| 14:14:1.0.1.2.8.2.11.4 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | B | Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals | § 16.17 Computation of time. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56143, Sept. 12, 2013] | This section applies to any period of time prescribed or allowed by this part, by notice or order of the hearing officer, or by an applicable statute. (a) The date of an act, event, or default, after which a designated time period begins to run, is not included in a computation of time under this part. (b) The last day of a time period is included in a computation of time unless it is a Saturday, Sunday, or legal holiday for the FAA, in which case, the time period runs until the end of the next day that is not a Saturday, Sunday, or legal holiday. (c) Whenever a party has the right or is required to do some act within a prescribed period after service of a document upon the party, and the document is served on the party by first class mail or certified mail, 5 days shall be added to the prescribed period. | |||
| 14:14:1.0.1.2.8.2.11.5 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | B | Subpart B—General Rules Applicable to Complaints, Proceedings Initiated by the FAA, and Appeals | § 16.19 Motions. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56143, Sept. 12, 2013] | (a) General. An application for an order or ruling not otherwise specifically provided for in this part shall be by motion. Unless otherwise ordered by the agency, the filing of a motion will not stay the date that any action is permitted or required by this part. (b) Form and contents. Unless made during a hearing, motions shall be made in writing, shall state with particularity the relief sought and the grounds for the relief sought, and shall be accompanied by affidavits or other evidence relied upon. Motions introduced during hearings may be made orally on the record, unless the hearing officer directs otherwise. (c) Answers to motions. Except as otherwise provided in this part, or except when a motion is made during a hearing, any party may file an answer in support of or in opposition to a motion, accompanied by affidavits or other evidence relied upon, provided that the answer to the motion is filed within 10 days after the motion has been served upon the person answering, or any other period set by the hearing officer. Where a motion is made during a hearing, the answer and the ruling thereon may be made at the hearing, or orally or in writing within the time set by the hearing officer. (d) Deferred actions on motions. A ruling on a motion made before the time set for the issuance of the Director's Determination may be deferred to and included with the Director's Determination. (e) Extension by motion. A party shall file a written motion for an extension of time not later than 3 business days before the document is due unless good cause for the late filing is shown. A party filing a motion for extension should attempt to obtain the concurrence of the opposing party. A party filing a written motion for an extension of time shall file the motion as required under § 16.13, and serve a copy of the motion on all parties and the docket clerk as required under § 16.15. | |||
| 14:14:1.0.1.2.8.3.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.21 Pre-complaint resolution. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56143, Sept. 12, 2013] | (a) Except for those persons filing under 49 CFR 26.105(c), prior to filing a complaint under this part, a person directly and substantially affected by the alleged noncompliance shall initiate and engage in good faith efforts to resolve the disputed matter informally with those individuals or entities believed responsible for the noncompliance. These efforts at informal resolution may include, without limitation, at the parties' expense, mediation, arbitration, or the use of a dispute resolution board, or other form of third party assistance. The FAA Airports District Office, FAA Airports Field Office, FAA Regional Airports Division responsible for administering financial assistance to the sponsor, or the FAA Office of Civil Rights will be available upon request to assist the parties with informal resolution. (b) Except for complaints filed under 49 CFR 26.105(c), a complaint will be dismissed under § 16.27 unless the person or authorized representative filing the complaint certifies that: (1) The complainant has made substantial and reasonable good faith efforts to resolve the disputed matter informally prior to filing the complaint; and (2) There is no reasonable prospect for practical and timely resolution of the dispute. (c) The certification required under paragraph (b) of this section, shall include a brief description of the party's efforts to obtain informal resolution but shall not include information on monetary or other settlement offers made but not agreed upon in writing by all parties. Such efforts to resolve informally should be relatively recent and be demonstrated by pertinent documentation. There is no required form or process for informal resolution, but in each case the requirements to resolve the matter informally must meet the requirements of this paragraph. | |||
| 14:14:1.0.1.2.8.3.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.23 Pleadings. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56143, Sept. 12, 2013] | (a) A person directly and substantially affected by any alleged noncompliance or a person qualified under 49 CFR 26.105(c) may file a complaint under this part. A person doing business with an airport and paying fees or rentals to the airport shall be considered directly and substantially affected by alleged revenue diversion as defined in 49 U.S.C. 47107(b). (b) Complaints filed under this part shall— (1) State the name and address of each person who is the subject of the complaint and, with respect to each person, the specific provisions of each Act that the complainant believes were violated; (2) Include all documents then available in the exercise of reasonable diligence, to be offered in support of the complaint, and to be served upon all persons named in the complaint as persons responsible for the alleged action(s) or omission(s) upon which the complaint is based; (3) Provide a concise but complete statement of the facts relied upon to substantiate each allegation; and (4) Except for complaints filed under 49 CFR 26.105(c), describe how the complainant was directly and substantially affected by the things done or omitted to be done by the respondents. (c) Unless the complaint is dismissed pursuant to § 16.25 or § 16.27, the FAA notifies the complainant and respondent in writing within 20 days after the date the FAA receives the complaint that the complaint has been docketed. (d) The respondent shall file an answer within 20 days of the date of service of the FAA notification or, if a motion is filed under § 16.26, within 20 days of the date of service of an FAA order denying all or part of that motion. (e) The complainant may file a reply within 10 days of the date of service of the answer. (f) The respondent may file a rebuttal within 10 days of the date of service of the complainant's reply. (g) The answer, reply, and rebuttal shall, like the complaint, be accompanied by supporting documentation upon which the parties rely. (h) The answer shall deny or admit the allegations made in the complai… | |||
| 14:14:1.0.1.2.8.3.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.25 Dismissals. | FAA | [Amdt. 16-1, 78 FR 56144, Sept. 12, 2013] | (a) Within 20 days after the receipt of the complaint, unless a motion has been filed under § 16.26, the Director will dismiss a complaint, or any claim made in a complaint, with prejudice if: (1) It appears on its face to be outside the jurisdiction of the Administrator under the Acts listed in § 16.1; (2) On its face it does not state a claim that warrants an investigation or further action by the FAA; or (3) The complainant lacks standing to file a complaint under §§ 16.3 and 16.23. (b) A dismissal under this section will include the reasons for the dismissal. | |||
| 14:14:1.0.1.2.8.3.11.4 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.26 Motions to dismiss and motions for summary judgment. | FAA | [Amdt. 16-1, 78 FR 56144, Sept. 12, 2013] | (a) In lieu of an answer, the respondent may file a motion to dismiss the complaint or a motion for summary judgment on the complaint. The respondent may move for dismissal of the entire complaint or move for dismissal of particular issues from adjudication. The motion must be filed within 20 days after the date of service of the FAA notification of docketing. (b) Motions to dismiss. (1) A motion to dismiss shall be accompanied by a concise statement of the reasons for seeking dismissal. The respondent must show that the complaint should be dismissed, with prejudice, if: (i) It appears on its face to be outside the jurisdiction of the Administrator under the Acts listed in § 16.1; (ii) On its face it does not state a claim that warrants an investigation or further action by the FAA; or (iii) The complainant lacks standing to file a complaint under §§ 16.3 and 16.23. (2) A motion to dismiss may seek dismissal of the entire complaint or the dismissal of specified claims in the complaint. A motion to dismiss shall be accompanied by a supporting memorandum of points and authorities. (3) A complainant may file an answer to the motion to dismiss within 10 days of the date the motion is served on the complainant, or within any other period set by the Director. The answer shall be accompanied by a concise statement of reasons for opposing dismissal, and may be accompanied by affidavits and other documentary evidence in support of that contention. (4) Within 30 days of the date an answer to a motion to dismiss is due under this section, the Director may issue an order disposing of the motion. If the Director denies the motion to dismiss in whole or in part, or grants the motion in part, then within 20 days of when the order is served on the respondent, the respondent shall file an answer to the complaint. (5) If the Director does not act on the motion to dismiss within 30 days of the date an answer to a motion is due under this section, the respondent shall file an answer to the complaint within the next 20 days… | |||
| 14:14:1.0.1.2.8.3.11.5 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.27 Incomplete complaints. | FAA | [Amdt. 16-1, 78 FR 56144, Sept. 12, 2013] | (a) If a complaint is not dismissed pursuant to § 16.25, but is deficient as to one or more of the requirements set forth in § 16.21 or § 16.23(b), the Director will dismiss the complaint within 20 days after receiving it. Dismissal will be without prejudice to the refiling of the complaint after amendment to correct the deficiencies. The Director's dismissal will include the reasons for the dismissal. (b) Dismissals under this section are not initial determinations, and appeals from decisions under this section will not be permitted. | |||
| 14:14:1.0.1.2.8.3.11.6 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.29 Investigations. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1 78 FR 56145, Sept. 12, 2013] | (a) If, based on the pleadings, there appears to be a reasonable basis for further investigation, the FAA investigates the subject matter of the complaint. (b) The investigation may include one or more of the following, at the sole discretion of the FAA: (1) A review of the written submissions or pleadings of the parties, as supplemented by any informal investigation the FAA considers necessary and by additional information furnished by the parties at FAA request. In rendering its initial determination, the FAA may rely entirely on the complaint and the responsive pleadings provided under this subpart. Each party shall file documents that it considers sufficient to present all relevant facts and argument necessary for the FAA to determine whether the sponsor is in compliance. (2) Obtaining additional oral and documentary evidence by use of the agency's authority to compel production of such evidence under 49 U.S.C. 40113 and 46104, and 49 U.S.C. 47122. The Administrator's statutory authority to issue compulsory process has been delegated to the Chief Counsel, the Deputy Chief Counsel, the Assistant Chief Counsel for Airports and Environmental Law, and each Assistant Chief Counsel for a region or center. (3) Conducting or requiring that a sponsor conduct an audit of airport financial records and transactions as provided in 49 U.S.C. 47107 and 47121. | |||
| 14:14:1.0.1.2.8.3.11.7 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.31 Director's Determinations after investigations. | FAA | [Amdt. 16-1, 78 FR 56145, Sept. 12, 2013] | (a) After consideration of the pleadings and other information obtained by the FAA after investigation, the Director will render an initial determination and serve it upon each party within 120 days of the date the last pleading specified in § 16.23 was due. (b)(1) The Director's Determination shall include findings of fact and conclusions of law, accompanied by explanations and based upon all material issues of fact, credibility of the evidence, law and discretion presented on the record, together with a statement of the reasons therefor. (2) The Director shall issue a determination or rule in a party's favor only if the determination or ruling is in accordance with law and supported by a preponderance of the reliable, probative, and substantial evidence contained in the record. (c) A party adversely affected by the Director's Determination may appeal the initial determination as provided in § 16.33. However, if the Director's Determination that is appealed contains a Corrective Action Plan, the Director has the discretion to suspend the Corrective Action Plan until the appeal is resolved. (d) If the Director's Determination finds the respondent in noncompliance and proposes the issuance of a compliance order, the initial determination will include notice of opportunity for a hearing under subpart F of this part if a hearing is required by statute or otherwise provided by the FAA. A hearing may be required by statute if the FAA determination would terminate eligibility for grants under 49 U.S.C. 47114(c) or (e), or terminate payments on a grant agreement under 49 U.S.C. subchapter 471. The respondent may elect or waive a hearing, as provided in subpart E of this part. (e) The Director will not consider requests for rehearing, reargument, reconsideration, or modification of a Director's Determination without a finding of good cause. | |||
| 14:14:1.0.1.2.8.3.11.8 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.33 Final decisions without hearing. | FAA | [Amdt. 16-1, 78 FR 56145, Sept. 12, 2013] | (a) The Associate Administrator may transfer to the FAA Assistant Administrator for Civil Rights the responsibility to prepare and issue Final Agency Decisions pursuant to this section for appeals with issues concerning civil rights. (b) The Associate Administrator will issue a final decision on appeal from the Director's Determination, without a hearing, where— (1) The complaint is dismissed after investigation; (2) A hearing is not required by statute and is not otherwise made available by the FAA; or (3) The FAA provides opportunity for a hearing to the respondent and the respondent waives the opportunity for a hearing as provided in subpart E of this part. (c) In the cases described in paragraph (b) of this section, within 30 days after the date of service of the initial determination, a party adversely affected by the Director's Determination may file in accordance with § 16.13 and serve in accordance with § 16.15 a simultaneous Notice of Appeal and Brief. (d) A reply to an appeal brief may be filed within 20 days after the date of service of the appeal. (e) On appeal, the Associate Administrator will consider the issues addressed in any order on a motion to dismiss or motion for summary judgment and any issues accepted in the Director's Determination using the following analysis: (1) Are the findings of fact each supported by a preponderance of reliable, probative, and substantial evidence contained in the record? (2) Are conclusions made in accordance with law, precedent and policy? (3) Are the questions on appeal substantial? (4) Have any prejudicial errors occurred? (f) Any new issues or evidence presented in an appeal or reply will not be considered unless accompanied by a petition and good cause found as to why the new issue or evidence was not presented to the Director. Such a petition must: (1) Set forth the new matter; (2) Contain affidavits of prospective witnesses, authenticated documents, or both, or an explanation of why such substantiation is unavailable; and (3) Contain a statem… | |||
| 14:14:1.0.1.2.8.3.11.9 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | C | Subpart C—Special Rules Applicable to Complaints | § 16.34 Consent orders. | FAA | [Amdt. 16-1, 78 FR 56145, Sept. 12, 2013] | (a) The parties may agree at any time before the issuance of a final agency decision to dispose of the case by proposing a consent order. Good faith efforts to resolve a complaint through issuance of a consent order may continue throughout the administrative process. However, except as provided in § 16.11(a), such efforts may not serve as the basis for extensions of the times set forth in this part. (b) A proposal for a consent order, specified in paragraph (a) of this section, shall include: (1) A proposed consent order; (2) An admission of all jurisdictional facts; and (3) An express waiver of the right to further procedural steps and of all rights of judicial review. (c) If the parties agree to dispose of a case by issuance of a consent order before the FAA issues a Director's Determination, the proposal for a consent order is submitted jointly by the parties to the Director, together with a request to adopt the consent order and dismiss the case. The Director may issue the consent order as an order of the FAA and terminate the proceeding. | |||
| 14:14:1.0.1.2.8.4.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | D | Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA | § 16.101 Basis for the initiation of agency action. | FAA | The FAA may initiate its own investigation of any matter within the applicability of this part without having received a complaint. The investigation may include, without limitation, any of the actions described in § 16.29(b). | ||||
| 14:14:1.0.1.2.8.4.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | D | Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA | § 16.103 Notice of investigation. | FAA | Following the initiation of an investigation under § 16.101, the FAA sends a notice to the person(s) subject to investigation. The notice will set forth the areas of the agency's concern and the reasons therefor; request a response to the notice within 30 days of the date of service; and inform the respondent that the FAA will, in its discretion, invite good faith efforts to resolve the matter. | ||||
| 14:14:1.0.1.2.8.4.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | D | Subpart D—Special Rules Applicable to Proceedings Initiated by the FAA | § 16.105 Failure to resolve informally. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56146, Sept. 12, 2013] | If the matters addressed in the FAA notices are not resolved informally, the FAA may issue a Director's Determination under § 16.31. | |||
| 14:14:1.0.1.2.8.5.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | E | Subpart E—Proposed Orders of Compliance | § 16.109 Orders terminating eligibility for grants, cease and desist orders, and other compliance orders. | FAA | [Amdt. 16-1, 78 FR 56146, Sept. 12, 2013] | (a) The agency will provide the opportunity for a hearing if, in the Director's determination, the agency issues or proposes to issue an order terminating eligibility for grants pursuant to 49 U.S.C. 47106(d), an order suspending the payment of grant funds pursuant to 49 U.S.C. 47111(d); an order withholding approval of any new application to impose a passenger facility charge pursuant to 49 U.S.C. 47111(e); a cease and desist order; an order directing the refund of fees unlawfully collected; or any other compliance order issued by the Administrator to carry out the provisions of the Acts, and required to be issued after notice and opportunity for a hearing. In cases in which a hearing is not required by statute, the FAA may provide opportunity for a hearing at its discretion. (b) In a case in which the agency provides the opportunity for a hearing, the Director's Determination issued under § 16.31 will include a statement of the availability of a hearing under subpart F of this part. (1) Within 20 days after service of a Director's Determination under § 16.31 that provides an opportunity for a hearing a person subject to the proposed compliance order may— (i) Request a hearing under subpart F of this part; (ii) Waive hearing and appeal the Director's Determination in writing, as provided in § 16.33; (iii) File, jointly with a complainant, a motion to withdraw the complaint and to dismiss the proposed compliance action; or (iv) Submit, jointly with the agency, a proposed consent order under § 16.34(c). (2) If the respondent fails to file an appeal in writing within the time periods provided in paragraph (c) of this section, the Director's Determination becomes final. (c) The Director may either direct the respondent to submit a Corrective Action Plan or initiate proceedings to revoke and/or deny the respondent's application for Airport Improvement Program discretionary grants under 49 U.S.C. 47115 and general aviation airport grants under 49 U.S.C. 47114(d) when a Director's Determination finds a responde… | |||
| 14:14:1.0.1.2.8.6.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.201 Notice and order of hearing. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56146, Sept. 12, 2013] | (a) If a respondent is provided the opportunity for hearing in an initial determination and does not waive hearing, the Deputy Chief Counsel within 10 days after the respondent elects a hearing will issue and serve on the respondent and complainant a hearing order. The hearing order will set forth: (1) The allegations in the complaint, or notice of investigation, and the chronology and results of the investigation preliminary to the hearing; (2) The relevant statutory, judicial, regulatory, and other authorities; (3) The issues to be decided; (4) Such rules of procedure as may be necessary to supplement the provisions of this part; (5) The name and address of the person designated as hearing officer, and the assignment of authority to the hearing officer to conduct the hearing in accordance with the procedures set forth in this part; and (6) The date by which the hearing officer is directed to issue an initial decision. (b) Where there are no genuine issues of material fact requiring oral examination of witnesses, the hearing order may contain a direction to the hearing officer to conduct a hearing by submission of briefs and oral argument without the presentation of testimony or other evidence. | |||
| 14:14:1.0.1.2.8.6.11.10 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.219 Subpoenas. | FAA | (a) Request for subpoena. A party may apply to the hearing officer, within the time specified for such applications in the prehearing conference report, for a subpoena to compel testimony at a hearing or to require the production of documents only from the following persons: (1) Another party; (2) An officer, employee, or agent of another party; (3) Any other person named in the complaint as participating in or benefiting from the actions of the respondent alleged to have violated any Act; (4) An officer, employee, or agent of any other person named in the complaint as participating in or benefiting from the actions of the respondent alleged to have violated any Act. (b) Issuance and service of subpoena. (1) The hearing officer issues the subpoena if the hearing officer determines that the evidence to be obtained by the subpoena is relevant and material to the resolution of the issues in the case. (2) Subpoenas shall be served by personal service, or upon an agent designated in writing for the purpose, or by certified mail, return receipt addressed to such person or agent. Whenever service is made by registered or certified mail, the date of mailing shall be considered as the time when service is made. (3) A subpoena issued under this part is effective throughout the United States or any territory or possession thereof. (c) Motions to quash or modify subpoena. (1) A party or any person upon whom a subpoena has been served may file a motion to quash or modify the subpoena with the hearing officer at or before the time specified in the subpoena for the filing of such motions. The applicant shall describe in detail the basis for the application to quash or modify the subpoena including, but not limited to, a statement that the testimony, document, or tangible evidence is not relevant to the proceeding, that the subpoena is not reasonably tailored to the scope of the proceeding, or that the subpoena is unreasonable and oppressive. (2) A motion to quash or modify the subpoena stays the effect of the sub… | ||||
| 14:14:1.0.1.2.8.6.11.11 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.221 Witness fees. | FAA | (a) The party on whose behalf a witness appears is responsible for paying any witness fees and mileage expenses. (b) Except for employees of the United States summoned to testify as to matters related to their public employment, witnesses summoned by subpoena shall be paid the same fees and mileage expenses as are paid to a witness in a court of the United States in comparable circumstances. | ||||
| 14:14:1.0.1.2.8.6.11.12 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.223 Evidence. | FAA | (a) General. A party may submit direct and rebuttal evidence in accordance with this section. (b) Requirement for written testimony and evidence. Except in the case of evidence obtained by subpoena, or in the case of a special ruling by the hearing officer to admit oral testimony, a party's direct and rebuttal evidence shall be submitted in written form in advance of the oral hearing pursuant to the schedule established in the hearing officer's prehearing conference report. Written direct and rebuttal fact testimony shall be certified by the witness as true and correct. Subject to the same exception (for evidence obtained by subpoena or subject to a special ruling by the hearing officer), oral examination of a party's own witness is limited to certification of the accuracy of written evidence, including correction and updating, if necessary, and reexamination following cross-examination by other parties. (c) Subpoenaed testimony. Testimony of witnesses appearing under subpoena may be obtained orally. (d) Cross-examination. A party may conduct cross-examination that may be required for disclosure of the facts, subject to control by the hearing officer for fairness, expedition and exclusion of extraneous matters. (e) Hearsay evidence. Hearsay evidence is admissible in proceedings governed by this part. The fact that evidence is hearsay goes to the weight of evidence and does not affect its admissibility. (f) Admission of evidence. The hearing officer admits evidence introduced by a party in support of its case in accordance with this section, but may exclude irrelevant, immaterial, or unduly repetitious evidence. (g) Expert or opinion witnesses. An employee of the FAA or DOT may not be called as an expert or opinion witness for any party other than the agency except as provided in Department of Transportation regulations at 49 CFR part 9. | ||||
| 14:14:1.0.1.2.8.6.11.13 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.225 Public disclosure of evidence. | FAA | (a) Except as provided in this section, the hearing shall be open to the public. (b) The hearing officer may order that any information contained in the record be withheld from public disclosure. Any person may object to disclosure of information in the record by filing a written motion to withhold specific information with the hearing officer. The person shall state specific grounds for nondisclosure in the motion. (c) The hearing officer shall grant the motion to withhold information from public disclosure if the hearing officer determines that disclosure would be in violation of the Privacy Act, would reveal trade secrets or privileged or confidential commercial or financial information, or is otherwise prohibited by law. | ||||
| 14:14:1.0.1.2.8.6.11.14 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.227 Standard of proof. | FAA | [Amdt. 16-1, as amended at 78 FR 56147, Sept. 12, 2013] | The hearing officer shall issue an initial decision or rule in a party's favor only if the decision or ruling is in accordance with law and supported by a preponderance of the reliable, probative, and substantial evidence contained in the record. | |||
| 14:14:1.0.1.2.8.6.11.15 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.229 Burden of proof. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | As used in this subpart, the burden of proof is as follows: (a) The burden of proof of noncompliance with an Act or any regulation, order, agreement or document of conveyance issued under the authority of an Act is on the agency. (b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof. (c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense. | |||
| 14:14:1.0.1.2.8.6.11.16 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.231 Offer of proof. | FAA | A party whose evidence has been excluded by a ruling of the hearing officer may offer the evidence on the record when filing an appeal. | ||||
| 14:14:1.0.1.2.8.6.11.17 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.233 Record. | FAA | [Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) Exclusive record. The transcript of all testimony in the hearing, all exhibits received into evidence, all motions, applications requests and rulings, all documents included in the hearing record and the Director's Determination shall constitute the exclusive record for decision in the proceedings and the basis for the issuance of any orders. (b) Examination and copy of record. A copy of the record will be filed by the FAA Part 16 Docket Clerk in the Federal Docket Management System (FDMS). Any person desiring to review the record may then do so at http://www.regulations.gov. | |||
| 14:14:1.0.1.2.8.6.11.18 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.235 Argument before the hearing officer. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) Argument during the hearing. During the hearing, the hearing officer shall give the parties reasonable opportunity to present oral argument on the record supporting or opposing motions, objections, and rulings if the parties request an opportunity for argument. The hearing officer may direct written argument during the hearing if the hearing officer finds that submission of written arguments would not delay the hearing. (b) Posthearing briefs. The hearing officer may request or permit the parties to submit posthearing briefs. The hearing officer may provide for the filing of simultaneous reply briefs as well, if such filing will not unduly delay the issuance of the hearing officer's initial decision. Posthearing briefs shall include proposed findings of fact and conclusions of law; exceptions to rulings of the hearing officer; references to the record in support of the findings of fact; and supporting arguments for the proposed findings, proposed conclusions, and exceptions. | |||
| 14:14:1.0.1.2.8.6.11.19 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.237 Waiver of procedures. | FAA | (a) The hearing officer shall waive such procedural steps as all parties to the hearing agree to waive before issuance of an initial decision. (b) Consent to a waiver of any procedural step bars the raising of this issue on appeal. (c) The parties may not by consent waive the obligation of the hearing officer to enter an initial decision on the record. | ||||
| 14:14:1.0.1.2.8.6.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.202 Powers of a hearing officer. | FAA | In accordance with the rules of this subpart, a hearing officer may: (a) Give notice of, and hold, prehearing conferences and hearings; (b) Administer oaths and affirmations; (c) Issue subpoenas authorized by law and issue notices of deposition requested by the parties; (d) Limit the frequency and extent of discovery; (e) Rule on offers of proof; (f) Receive relevant and material evidence; (g) Regulate the course of the hearing in accordance with the rules of this part to avoid unnecessary and duplicative proceedings in the interest of prompt and fair resolution of the matters at issue; (h) Hold conferences to settle or to simplify the issues by consent of the parties; (i) Dispose of procedural motions and requests; (j) Examine witnesses; and (k) Make findings of fact and conclusions of law, and issue an initial decision. | ||||
| 14:14:1.0.1.2.8.6.11.20 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.241 Initial decisions, order, and appeals. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) The hearing officer shall issue an initial decision based on the record developed during the proceeding and shall send the initial decision to the parties not later than 110 days after the Director's Determination unless otherwise provided in the hearing order. (b) Each party adversely affected by the hearing officer's initial decision may file an appeal with the Associate Administrator within 15 days of the date the initial decision is issued. Each party may file a reply to an appeal within 10 days after it is served on the party. Filing and service of appeals and replies shall be by personal delivery. (c) If an appeal is filed, the Associate Administrator reviews the entire record and issues a final agency decision and order within 60 days of the due date of the reply. If no appeal is filed, the Associate Administrator may take review of the case on his or her own motion. If the Associate Administrator finds that the respondent is not in compliance with any Act or any regulation, agreement, or document of conveyance issued or made under such Act, the final agency order includes, in accordance with § 16.245(d), a statement of corrective action, if appropriate, and identifies sanctions for continued noncompliance. (d) If no appeal is filed, and the Associate Administrator does not take review of the initial decision on the Associate Administrator's own motion, the initial decision shall take effect as the final agency decision and order on the sixteenth day after the actual date the initial decision is issued. (e) The failure to file an appeal is deemed a waiver of any rights to seek judicial review of an initial decision that becomes a final agency decision by operation of paragraph (d) of this section. | |||
| 14:14:1.0.1.2.8.6.11.21 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.243 Consent orders. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) The agency attorney and the respondents may agree at any time before the issuance of a final decision and order to dispose of the case by issuance of a consent order. Good faith efforts to resolve a complaint through issuance of a consent order may continue throughout the administrative process. Except as provided in § 16.209, such efforts may not serve as the basis for extensions of the times set forth in this part. (b) A proposal for a consent order, specified in paragraph (a) of this section, shall include: (1) A proposed consent order; (2) An admission of all jurisdictional facts; (3) An express waiver of the right to further procedural steps and of all rights of judicial review; and (4) The hearing order, if issued, and an acknowledgment that the hearing order may be used to construe the terms of the consent order. (c) If the issuance of a consent order has been agreed upon by all parties to the hearing, the proposed consent order shall be filed with the hearing officer, along with a draft order adopting the consent decree and dismissing the case, for the hearing officer's adoption. (d) The deadline for the hearing officer's initial decision and the final agency decision is extended by the amount of days elapsed between the filing of the proposed consent order with the hearing officer and the issuance of the hearing officer's order continuing the hearing. (e) If the agency attorney and sponsor agree to dispose of a case by issuance of a consent order before the FAA issues a hearing order, the proposal for a consent order is submitted jointly to the official authorized to issue a hearing order, together with a request to adopt the consent order and dismiss the case. The official authorized to issue the hearing order issues the consent order as an order of the FAA and terminates the proceeding. | |||
| 14:14:1.0.1.2.8.6.11.22 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.245 Associate Administrator review after a hearing. | FAA | [Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) The Associate Administrator may transfer to the FAA Assistant Administrator for Civil Rights the authority to prepare and issue Final Agency Decisions pursuant to § 16.241 for appeals from a hearing concerning civil rights issues. (b) After a hearing is held, and, after considering the issues as set forth in § 16.245(e), if the Associate Administrator determines that the hearing officer's initial decision or order should be changed, the Associate Administrator may: (1) Make any necessary findings and issue an order in lieu of the hearing officer's initial decision or order, or (2) Remand the proceeding for any such purpose as the Associate Administrator may deem necessary. (c) If the Associate Administrator takes review of the hearing officer's initial decision on the Associate Administrator's own motion, the Associate Administrator will issue a notice of review within 20 days of the actual date the initial decision is issued. (1) The notice sets forth the specific findings of fact and conclusions of law in the initial decision that are subject to review by the Associate Administrator. (2) Parties may file one brief on review to the Associate Administrator or rely on their posthearing brief to the hearing officer. A brief on review shall be filed not later than 10 days after service of the notice of review. Filing and service of a brief on review shall be by personal delivery. (3) The Associate Administrator issues a final agency decision and order within 30 days of the due date of the brief. If the Associate Administrator finds that the respondent is not in compliance with any Act or any regulation, agreement or document of conveyance issued under such Act, the final agency order includes a statement of corrective action, if appropriate. (d) When the final agency decision finds a respondent in noncompliance, and where a respondent fails to properly seek judicial review of the final agency decision as set forth in subpart G of this part, the Associate Administrator will issue an order remanding the ca… | |||
| 14:14:1.0.1.2.8.6.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.203 Appearances, parties, and rights of parties. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56146, Sept. 12, 2013] | (a) Appearances. Any party may appear and be heard in person. (1) Any party may be accompanied, represented, or advised by an attorney licensed by a State, the District of Columbia, or a territory of the United States to practice law or appear before the courts of that State or territory, or by another person authorized by the hearing officer to be the party's representative. (2) An attorney, or other duly authorized representative, who represents a party shall file a notice of appearance in accordance with § 16.13. (b) Parties and agency participation. (1) The parties to the hearing are the complainant(s) and respondent(s) named in the hearing order, and the agency. The style of any pleadings filed under this Subpart shall name the respondent as the Appellant, and the Federal Aviation Administration as the Agency. (2) Unless otherwise specified in the hearing order, the agency attorney will serve as prosecutor for the agency from the date of issuance of the Director's Determination providing an opportunity for hearing. | |||
| 14:14:1.0.1.2.8.6.11.4 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.207 Intervention and other participation. | FAA | [Amdt. 16-1, 78 FR 56146, Sept. 12, 2013] | (a) Intervention and participation by other persons are permitted only at the hearing stage of the complaint process and with the written approval of the hearing officer. (b) A person may submit a written motion for leave to intervene as a party. Except for good cause shown, a motion for leave to intervene shall be submitted not later than 10 days after the notice of hearing and hearing order. (c) If the hearing officer finds that intervention will not unduly broaden the issues or delay the proceedings and, if the person has an interest that will benefit the proceedings, the hearing officer may grant a motion for leave to intervene. The hearing officer may determine the extent to which an intervenor may participate in the proceedings. (d) Other persons may petition the hearing officer for leave to participate in the hearing. Participation is limited to the filing of a posthearing brief and reply to the hearing officer and the Associate Administrator. Such a brief shall be filed and served on all parties in the same manner as the parties' posthearing briefs are filed. (e) Participation under this section is at the discretion of the hearing officer, and no decision permitting participation shall be deemed to constitute an expression that the participant has such a substantial interest in the proceeding as would entitle it to judicial review of such decision. | |||
| 14:14:1.0.1.2.8.6.11.5 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.209 Extension of time. | FAA | (a) Extension by oral agreement. The parties may agree to extend for a reasonable period of time for filing a document under this part. If the parties agree, the hearing officer shall grant one extension of time to each party. The party seeking the extension of time shall submit a draft order to the hearing officer to be signed by the hearing officer and filed with the hearing docket. The hearing officer may grant additional oral requests for an extension of time where the parties agree to the extension. (b) Extension by motion. A party shall file a written motion for an extension of time with the hearing officer not later than 7 days before the document is due unless good cause for the late filing is shown. A party filing a written motion for an extension of time shall serve a copy of the motion on each party. (c) Failure to rule. If the hearing officer fails to rule on a written motion for an extension of time by the date the document was due, the motion for an extension of time is deemed denied. (d) Effect on time limits. In a hearing required by section 519(b) of the Airport and Airways Improvement Act, as amended in 1987, 49 U.S.C. 47106(e) and 47111(d), the due date for the hearing officer's initial decision and for the final agency decision are extended by the length of the extension granted by the hearing officer only if the hearing officer grants an extension of time as a result of an agreement by the parties as specified in paragraph (a) of this section or, if the hearing officer grants an extension of time as a result of the sponsor's failure to adhere to the hearing schedule. In any other hearing, an extension of time granted by the hearing officer for any reason extends the due date for the hearing officer's initial decision and for the final agency decision by the length of time of the hearing officer's decision. | ||||
| 14:14:1.0.1.2.8.6.11.6 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.211 Prehearing conference. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) Prehearing conference notice. The hearing officer schedules a prehearing conference and serves a prehearing conference notice on the parties promptly after being designated as a hearing officer. (1) The prehearing conference notice specifies the date, time, place, and manner (in person or by telephone) of the prehearing conference. (2) The prehearing conference notice may direct the parties to exchange proposed witness lists, requests for evidence and the production of documents in the possession of another party, responses to interrogatories, admissions, proposed procedural schedules, and proposed stipulations before the date of the prehearing conference. (b) The prehearing conference. The prehearing conference is conducted by telephone or in person, at the hearing officer's discretion. The prehearing conference addresses matters raised in the prehearing conference notice and such other matters as the hearing officer determines will assist in a prompt, full and fair hearing of the issues. (c) Prehearing conference report. At the close of the prehearing conference, the hearing officer rules on any requests for evidence and the production of documents in the possession of other parties, responses to interrogatories, and admissions; on any requests for depositions; on any proposed stipulations; and on any pending applications for subpoenas as permitted by § 16.219. In addition, the hearing officer establishes the schedule, which shall provide for the issuance of an initial decision not later than 110 days after issuance of the Director's Determination order unless otherwise provided in the hearing order. | |||
| 14:14:1.0.1.2.8.6.11.7 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.213 Discovery. | FAA | (a) Discovery is limited to requests for admissions, requests for production of documents, interrogatories, and depositions as authorized by § 16.215. (b) The hearing officer shall limit the frequency and extent of discovery permitted by this section if a party shows that— (1) The information requested is cumulative or repetitious; (2) The information requested may be obtained from another less burdensome and more convenient source; (3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or (4) The method or scope of discovery requested by the party is unduly burdensome or expensive. | ||||
| 14:14:1.0.1.2.8.6.11.8 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.215 Depositions. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996, as amended at Amdt. 16-1, 78 FR 56147, Sept. 12, 2013] | (a) General. For good cause shown, the hearing officer may order that the testimony of a witness may be taken by deposition and that the witness produce documentary evidence in connection with such testimony. Generally, an order to take the deposition of a witness is entered only if: (1) The person whose deposition is to be taken would be unavailable at the hearing; (2) The deposition is deemed necessary to perpetuate the testimony of the witness; or (3) The taking of the deposition is necessary to prevent undue and excessive expense to a party and will not result in undue burden to other parties or in undue delay. (b) Application for deposition. Any party desiring to take the deposition of a witness shall make application therefor to the hearing officer in writing, with a copy of the application served on each party. The application shall include: (1) The name and residence of the witness; (2) The time and place for the taking of the proposed deposition; (3) The reasons why such deposition should be taken; and (4) A general description of the matters concerning which the witness will be asked to testify. (c) Order authorizing deposition. If good cause is shown, the hearing officer, in his or her discretion, issues an order authorizing the deposition and specifying the name of the witness to be deposed, the location and time of the deposition and the general scope and subject matter of the testimony to be taken. (d) Procedures for deposition. (1) Witnesses whose testimony is taken by deposition shall be sworn or shall affirm before any questions are put to them. Each question propounded shall be recorded and the answers of the witness transcribed verbatim. (2) Objections to questions or evidence shall be recorded in the transcript of the deposition. The interposing of an objection shall not relieve the witness of the obligation to answer questions, except where the answer would violate a privilege. (3) The written transcript shall be subscribed by the witness, unless the parties by stipulation… | |||
| 14:14:1.0.1.2.8.6.11.9 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | F | Subpart F—Hearings | § 16.217 Witnesses. | FAA | (a) Each party may designate as a witness any person who is able and willing to give testimony that is relevant and material to the issues in the hearing case, subject to the limitation set forth in paragraph (b) of this section. (b) The hearing officer may exclude testimony of witnesses that would be irrelevant, immaterial, or unduly repetitious. (c) Any witness may be accompanied by counsel. Counsel representing a nonparty witness has no right to examine the witness or otherwise participate in the development of testimony. | ||||
| 14:14:1.0.1.2.8.7.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | G | Subpart G—Judicial Review | § 16.247 Judicial review of a final decision and order. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996. Redesignated and amended by Amdt. 16-1, 78 FR 56148, Sept. 12, 2013] | (a) A person may seek judicial review, in a United States Court of Appeals, of a final decision and order of the Associate Administrator, and of an order of dismissal with prejudice issued by the Director, as provided in 49 U.S.C. 46110 or 49 U.S.C. 47106(d) and 47111(d). A party seeking judicial review shall file a petition for review with the Court not later than 60 days after the order has been served on the party or within 60 days after the entry of an order under 49 U.S.C. 46110. (b) The following do not constitute final decisions and orders subject to judicial review: (1) An FAA decision to dismiss a complaint without prejudice, as set forth in § 16.27; (2) A Director's Determination; (3) An initial decision issued by a hearing officer at the conclusion of a hearing; (4) A Director's Determination or an initial decision of a hearing officer becomes the final decision of the Associate Administrator because it was not appealed within the applicable time periods provided under §§ 16.33(c) and 16.241(b). | |||
| 14:14:1.0.1.2.8.8.11.1 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | H | Subpart H—Ex Parte Communications | § 16.301 Prohibited ex parte communications. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996. Redesignated at Amdt. 16-1, 78 FR 56148, Sept. 12, 2013] | (a) The prohibitions of this section shall apply from the time a proceeding is noticed for hearing unless the person responsible for the communication has knowledge that it will be noticed, in which case the prohibitions shall apply at the time of the acquisition of such knowledge. (b) Except to the extent required for the disposition of ex parte matters as authorized by law: (1) No interested person outside the FAA and no FAA employee participating as a party shall make or knowingly cause to be made to any decisional employee an ex parte communication relevant to the merits of the proceeding; (2) No FAA employee shall make or knowingly cause to be made to any interested person outside the FAA an ex parte communication relevant to the merits of the proceeding; or (3) Ex parte communications regarding solely matters of agency procedure or practice are not prohibited by this section. | |||
| 14:14:1.0.1.2.8.8.11.2 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | H | Subpart H—Ex Parte Communications | § 16.303 Procedures for handling ex parte communications. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996. Redesignated at Amdt. 16-1, 78 FR 56148, Sept. 12, 2013] | A decisional employee who receives or who makes or knowingly causes to be made a communication prohibited by § 16.303 shall place in the public record of the proceeding: (a) All such written communications; (b) Memoranda stating the substance of all such oral communications; and (c) All written responses, and memoranda stating the substance of all oral responses, to the materials described in paragraphs (a) and (b) of this section. | |||
| 14:14:1.0.1.2.8.8.11.3 | 14 | Aeronautics and Space | I | B | 16 | PART 16—RULES OF PRACTICE FOR FEDERALLY-ASSISTED AIRPORT ENFORCEMENT PROCEEDINGS | H | Subpart H—Ex Parte Communications | § 16.305 Requirement to show cause and imposition of sanction. | FAA | [Doc. No. 27783, 61 FR 54004, Oct. 16, 1996. Redesignated at Amdt. 16-1, 78 FR 56148, Sept. 12, 2013] | (a) Upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of § 16.303, the Associate Administrator or his designee or the hearing officer may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the party to show cause why his or her claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on account of such violation. (b) The Associate Administrator may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the FAA, consider a violation of this subpart sufficient grounds for a decision adverse to a party who has knowingly committed such violation or knowingly caused such violation to occur. | |||
| 17:17:1.0.1.1.15.0.7.1 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | § 16.00 Clearing member reports. | CFTC | [46 FR 54526, Nov. 3, 1981, as amended at 46 FR 63036, Dec. 30, 1981; 47 FR 57014, Dec. 22, 1982; 51 FR 4717, Feb. 7, 1986; 52 FR 18910, May 20, 1987; 62 FR 24031, May 2, 1997; 69 FR 76398, Dec. 21, 2004; 71 FR 37818, July 3, 2006; 77 FR 66333, Nov. 2, 2012] | (a) Information to be provided. Each reporting market shall submit to the Commission, in accordance with paragraph (b) of this section, a report for each business day, showing for each clearing member, by proprietary and customer account, the following information separately for futures by commodity and by future, and, for options, by underlying futures contract (for options on futures contracts) or by underlying commodity (for other commodity options), and by put, by call, by expiration date and by strike price: (1) The total of all long open contracts and the total of all short open contracts carried at the end of the day covered by the report, excluding from open futures contracts the number of contracts against which delivery notices have been stopped or against which delivery notices have been issued by the clearing organization of the reporting market; (2) The quantity of contracts bought and the quantity of contracts sold during the day covered by the report; (3) [Reserved] (4) The quantity of purchases of futures for commodities or for derivatives positions and the quantity of sales of futures for commodities or for derivatives positions which are included in the total quantity of contracts bought and sold during the day covered by the report, and the names of the clearing members who made the purchases or sales; (5) For futures, the quantity of the commodity for which delivery notices have been issued by the clearing organization of the reporting market and the quantity for which notices have been stopped during the day covered by the report. (b) Form, manner and time of filing reports. Unless otherwise approved by the Commission or its designee, reporting markets shall submit the information required by paragraph (a) of this section as follows: (1) Using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission or its designee; provided however , the information shall be made available to the Commission or its designee in hard copy upon r… | ||||||
| 17:17:1.0.1.1.15.0.7.2 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | § 16.01 Publication of market data on futures, swaps and options thereon: trading volume, open contracts, prices, and critical dates. | CFTC | [77 FR 36696, June 19, 2012, as amended at 77 FR 66333, Nov. 2, 2012] | (a) Trading volume and open contracts. (1) Each reporting market, as defined in part 15 of this chapter, must separately record for each business day the information prescribed in paragraphs (a)(2)(i) through (vi) of this section for each of the following contract categories: (i) For futures, by commodity and by futures expiration date; (ii) For options, by underlying futures contracts for options on futures contracts or by underlying commodity for options on commodities, and by put, by call, by expiration date and by strike price; (iii) For swaps or class of swaps, by product type and by term life of the swap; and (iv) For options on swaps or classes of options on swaps, by underlying swap contracts for options on swap contracts or by underlying commodity for options on swaps on commodities, and by put, by call, by expiration date and by strike price. (2) Each reporting market must record for each trading session the following trading volume and open interest summary data: (i) The option delta, where a delta system is used; (ii) The total gross open contracts for futures, excluding those contracts against which delivery notices have been stopped; (iii) For futures products that specify delivery, open contracts against which delivery notices have been issued on that business day; (iv) The total volume of trading, excluding transfer trades or office trades: (A) For swaps and options on swaps, trading volume shall be reported in terms of the number of contracts traded for standard-sized contracts ( i.e. , contracts with a set contract size for all transactions) or in terms of notional value for non-standard-sized contracts ( i.e. , contracts whose contract size is not set and can vary for each transaction). (B) [Reserved] (v) The total volume of futures/options/swaps/swaptions exchanged for commodities or for derivatives positions that are included in the total volume of trading; and (vi) The total volume of block trades included in the total volume of trading. (b) Prices. (1) Each reporting marke… | ||||||
| 17:17:1.0.1.1.15.0.7.3 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | § 16.02 Daily trade and supporting data reports. | CFTC | [74 FR 12190, Mar. 23, 2009] | Reporting markets shall provide trade and supporting data reports to the Commission on a daily basis. Such reports shall include transaction-level trade data and related order information for each futures or options contract. Reports shall also include time and sales data, reference files and other information as the Commission or its designee may require. All reports must be submitted at the time, and in the manner and format, and with the specific content specified by the Commission or its designee. Upon request, such information shall be accompanied by data that identifies or facilitates the identification of each trader for each transaction or order included in a submitted trade and supporting data report if the reporting market maintains such data. | ||||||
| 17:17:1.0.1.1.15.0.7.4 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | §§ 16.03-16.05 [Reserved] | CFTC | ||||||||
| 17:17:1.0.1.1.15.0.7.5 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | § 16.06 Errors or omissions. | CFTC | [71 FR 37819, July 3, 2006] | Unless otherwise approved by the Commission or its designee, reporting markets shall file corrections to errors or omissions in data previously filed with the Commission pursuant to §§ 16.00 and 16.01 in the format and using the coding structure and electronic data submission procedures approved in writing by the Commission or its designee. | ||||||
| 17:17:1.0.1.1.15.0.7.6 | 17 | Commodity and Securities Exchanges | I | 16 | PART 16—REPORTS BY CONTRACT MARKETS AND SWAP EXECUTION FACILITIES | § 16.07 Delegation of authority to the Director of the Division of Data and to the Director of the Division of Market Oversight. | CFTC | [82 FR 28767, June 26, 2017, as amended at 89 FR 71809, Sept. 4, 2024] | (a) The Commission hereby delegates, until the Commission orders otherwise, the authority set forth in paragraphs (b) and (c) of this section to the Director of the Division of Data, with the concurrence of the Director of the Division of Market Oversight, or such other employee or employees as the Directors each may designate. The Commission hereby delegates, until the Commission orders otherwise, the authority set forth in paragraph (d) of this section 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 may be designated by the Director. The Directors 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) Pursuant to §§ 16.00(b) and 16.01(d), as applicable, the authority to determine whether reporting markets must submit data in hard copy, and the time that such data may be submitted where the Director determines that a reporting market is unable to meet the requirements set forth in the regulations. (c) Pursuant to §§ 16.00(b)(1), 16.01(d)(1), and 16.06, the authority to approve the format, coding structure and electronic data transmission procedures used by reporting markets. (d) Pursuant to § 16.02, the authority to determine the specific content of any daily trade and supporting data report, request that such reports be accompanied by data that identifies or facilitates the identification of each trader for each transaction or order included in a submitted trade and supporting data report, and establish the time for the submission of and the manner and format of such reports. | ||||||
| 21:21:1.0.1.1.13.1.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | A | Subpart A—General Provisions | § 16.1 Scope. | FDA | [44 FR 22367, Apr. 13, 1979] | The procedures in this part apply when: (a) The Commissioner is considering any regulatory action, including a refusal to act, and concludes, as a matter of discretion, on the Commissioner's initiative or at the suggestion of any person, to offer an opportunity for a regulatory hearing to obtain additional information before making a decision or taking action. (b) The act or a regulation provides a person with an opportunity for a hearing on a regulatory action, including proposed action, and the act or a regulation either specifically provides an opportunity for a regulatory hearing under this part or provides an opportunity for a hearing for which no procedures are specified by regulation. Listed below are the statutory and regulatory provisions under which regulatory hearings are available: (1) Statutory provisions: Section 304(g) of the act relating to the administrative detention of devices and drugs (see §§ 800.55(g) and 1.980(g) of this chapter). Section 304(h) of the act relating to the administrative detention of food for human or animal consumption (see part 1, subpart k of this chapter). Section 419(c)(2)(D) of the Federal Food, Drug, and Cosmetic Act relating to the modification or revocation of a variance from the requirements of section 419 (see part 112, subpart P of this chapter). Section 515(e)(1) of the act relating to the proposed withdrawal of approval of a device premarket approval application. Section 515(e)(3) of the act relating to the temporary suspension of approval of a premarket approval application. Section 515(f)(6) of the act relating to a proposed order revoking a device product development protocol or declaring a protocol not completed. Section 515(f)(7) of the act relating to revocation of a notice of completion of a product development protocol. Section 516(b) of the act regarding a proposed regulation to ban a medical device with a special effective date. Section 518(b) of the act relating to a determination that a device is subject to a repair, replacement, or refu… | |||
| 21:21:1.0.1.1.13.1.98.2 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | A | Subpart A—General Provisions | § 16.5 Inapplicability and limited applicability. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 57 FR 58403, Dec. 10, 1992; 65 FR 76110, Dec. 5, 2000; 74 FR 33095, July 9, 2009; 89 FR 83781, Oct. 18, 2024] | (a) This part does not apply to the following: (1) Informal presentation of views before reporting a criminal violation under section 305 of the act and section 5 of the Federal Import Milk Act and § 1210.31. (2) A hearing on a refusal of admission of a food, drug, device, or cosmetic under section 801(a) of the act and § 1.94, or of an electronic product under section 360(a) of the Public Health Service Act and § 1005.20. (3) Factory inspections, recalls (except mandatory recalls of medical devices intended for human use), regulatory letters, and similar compliance activities related to law enforcement. (4) A hearing on an order for relabeling, diversion, or destruction of shell eggs under section 361 of the Public Health Service Act (42 U.S.C. 264) and §§ 101.17(h) and 115.50 of this chapter. (5) A hearing on an order for diversion or destruction of shell eggs under section 361 of the Public Health Service Act (42 U.S.C. 264), and § 118.12 of this chapter. (b) If a regulation provides a person with an opportunity for hearing and specifies some procedures for the hearing but not a comprehensive set of procedures, the procedures in this part apply to the extent that they are supplementary and not in conflict with the other procedures specified for the hearing. Thus, the procedures in subpart A of part 108 relating to emergency permit control are supplemented by the nonconflicting procedures in this part, e.g., the right to counsel, public notice of the hearing, reconsideration and stay, and judicial review. | |||
| 21:21:1.0.1.1.13.2.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | B | Subpart B—Initiation of Proceedings | § 16.22 Initiation of regulatory hearing. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 49 FR 32173, Aug. 13, 1984] | (a) A regulatory hearing is initiated by a notice of opportunity for hearing from FDA. The notice will— (1) Be sent by mail, telegram, telex, personal delivery, or any other mode of written communication; (2) Specify the facts and the action that are the subject of the opportunity for a hearing; (3) State that the notice of opportunity for hearing and the hearing are governed by this part; and (4) State the time within which a hearing may be requested, and state the name, address, and telephone number of the FDA employee to whom any request for hearing is to be addressed. (5) Refer to FDA's guideline on electronic media coverage of its administrative proceedings (21 CFR part 10, subpart C). (b) A person offered an opportunity for a hearing has the amount of time specified in the notice, which may not be less than 3 working days after receipt of the notice, within which to request a hearing. The request may be filed by mail, telegram, telex, personal delivery, or any other mode of written communication, addressed to the designated FDA employee. If no response is filed within that time, the offer is deemed to have been refused and no hearing will be held. (c) If a hearing is requested, the Commissioner will designate a presiding officer, and the hearing will take place at a time and location agreed upon by the party requesting the hearing, the FDA, and the presiding officer or, if agreement cannot be reached, at a reasonable time and location designated by the presiding officer. (d) A notice of opportunity for hearing under this section will not operate to delay or stay any administrative action, including enforcement action by the agency unless the Commissioner, as a matter of discretion, determines that delay or a stay is in the public interest. | |||
| 21:21:1.0.1.1.13.2.98.2 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | B | Subpart B—Initiation of Proceedings | § 16.24 Regulatory hearing required by the act or a regulation. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 47 FR 26375, June 18, 1982; 54 FR 9037, Mar. 3, 1989] | (a) A regulatory hearing required by the act or a regulation under § 16.1(b) will be initiated in the same manner as other regulatory hearings subject to the additional procedures in this section. (b) [Reserved] (c) The notice will state whether any action concerning the matter that is the subject of the opportunity for hearing is or is not being taken pending the hearing under paragraph (d) of this section. (d) The Commissioner may take such action pending a hearing under this section as the Commissioner concludes is necessary to protect the public health, except where expressly prohibited by statute or regulation. A hearing to consider action already taken, and not stayed by the Commissioner, will be conducted on an expedited basis. (e) The hearing may not be required to be held at a time less than 2 working days after receipt of the request for hearing. (f) Before the hearing, FDA will give to the party requesting the hearing reasonable notice of the matters to be considered at the hearing, including a comprehensive statement of the basis for the decision or action taken or proposed that is the subject of the hearing and a general summary of the information that will be presented by FDA at the hearing in support of the decision or action. This information may be given orally or in writing, in the discretion of FDA. (g) FDA and the party requesting the hearing will, if feasible, at least 1 day before the hearing provide to each other written notice of any published articles or written information to be presented at or relied on at the hearing. A copy will also be provided in advance if the other participant could not reasonably be expected to have or be able to obtain a copy. If written notice or a copy is not provided, the presiding officer may, if time permits, allow the party who did not receive the notice or copy additional time after the close of the hearing to make a submission concerning the article or information. | |||
| 21:21:1.0.1.1.13.2.98.3 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | B | Subpart B—Initiation of Proceedings | § 16.26 Denial of hearing and summary decision. | FDA | [53 FR 4615, Feb. 17, 1988, as amended at 69 FR 17290, Apr. 2, 2004] | (a) A request for a hearing may be denied, in whole or in part, if the Commissioner or the FDA official to whom authority is delegated to make the final decision on the matter determines that no genuine and substantial issue of fact has been raised by the material submitted. If the Commissioner or his or her delegate determines that a hearing is not justified, written notice of the determination will be given to the parties explaining the reason for denial. (b) After a hearing commences, the presiding officer may issue a summary decision on any issue in the hearing if the presiding officer determines from the material submitted in connection with the hearing, or from matters officially noticed, that there is no genuine and substantial issue of fact respecting that issue. For the purpose of this paragraph, a hearing commences upon the receipt by FDA of a request for hearing submitted under § 16.22(b). (c) The Commissioner or his or her delegate may review any summary decision of the presiding officer issued under paragraph (b) of this section at the request of a party or on the Commissioner's or his or her delegate's own initiative. | |||
| 21:21:1.0.1.1.13.3.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | C | Subpart C—Commissioner and Presiding Officer | § 16.40 Commissioner. | FDA | [69 FR 17290, Apr. 2, 2004] | Whenever the Commissioner has delegated authority on a matter for which a regulatory hearing is available under this part, the functions of the Commissioner under this part may be performed by any of the officials to whom the authority has been delegated, e.g., a center director. | |||
| 21:21:1.0.1.1.13.3.98.2 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | C | Subpart C—Commissioner and Presiding Officer | § 16.42 Presiding officer. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 54 FR 9037, Mar. 3, 1989; 67 FR 53306, Aug. 15, 2002] | (a) An FDA employee to whom the Commissioner delegates such authority, or any other agency employee designated by an employee to whom such authority is delegated, or, consistent with 5 CFR 930.209(b) or (c), an administrative law judge to whom such authority is delegated, may serve as the presiding officer and conduct a regulatory hearing under this part. (b) In a regulatory hearing required by the act or a regulation, the presiding officer is to be free from bias or prejudice and may not have participated in the investigation or action that is the subject of the hearing or be subordinate to a person, other than the Commissioner, who has participated in such investigation or action. (c)(1) The Commissioner or the delegate under § 16.40 is not precluded by this section from prior participation in the investigation or action that is the subject of the hearing. If there has been prior participation, the Commissioner or the delegate should, if feasible, designate a presiding officer for the hearing who is not a subordinate. Thus, if the Commissioner's authority to make a final decision has been delegated to a center director, the presiding officer may be an official in another center or the office of the Commissioner. The exercise of general supervisory responsibility, or the designation of the presiding officer, does not constitute prior participation in the investigation or action that is the subject of the hearing so as to preclude the Commissioner or delegate from designating a subordinate as the presiding officer. (2) The party requesting a hearing may make a written request to have the Commissioner or the delegate under § 16.40 be the presiding officer, notwithstanding paragraph (c)(1) of this section. If accepted, as a matter of discretion, by the Commissioner or the delegate, the request is binding upon the party making the request. (3) A different presiding officer may be substituted for the one originally designated under § 16.22 without notice to the parties. | |||
| 21:21:1.0.1.1.13.3.98.3 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | C | Subpart C—Commissioner and Presiding Officer | § 16.44 Communication to presiding officer and Commissioner. | FDA | (a) Regulatory hearings are not subject to the separation of functions rules in § 10.55. (b) Those persons who are directly involved in the investigation or presentation of the position of FDA or any party at a regulatory hearing that is required by the act or a regulation should avoid any off-the-record communication on the matter to the presiding officer or the Commissioner or their advisors if the communication is inconsistent with the requirement of § 16.95(b)(1) that the administrative record be the exclusive record for decision. If any communication of this type occurs, it is to be reduced to writing and made part of the record, and the other party provided an opportunity to respond. (c) A copy of any letter or memorandum of meeting between a participant in the hearing and the presiding officer or the Commissioner, e.g., a response by the presiding officer to a request for a change in the time of the hearing, is to be sent to all participants by the person writing the letter or the memorandum. | ||||
| 21:21:1.0.1.1.13.4.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | D | Subpart D—Procedures for Regulatory Hearing | § 16.60 Hearing procedure. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 66 FR 6469, Jan. 22, 2001; 66 FR 12850, Mar. 1, 2001] | (a) A regulatory hearing is public, except when the Commissioner determines that all or part of a hearing should be closed to prevent a clearly unwarranted invasion of personal privacy; to prevent the disclosure of a trade secret or confidential commercial or financial information that is not available for public disclosure under § 20.61; or to protect investigatory records complied for law enforcement purposes that are not available for public disclosure under § 20.64. (1) The Commissioner may determine that a regulatory hearing is closed either on the Commissioner's initiative or on a request by the party asking for a regulatory hearing, in the request for the hearing. (2) If the hearing is a private hearing, no persons other than the party requesting the hearing, counsel and witnesses, and an employee or consultant or other person subject to a commercial arrangement as defined in § 20.81(a) and FDA representatives with a direct professional interest in the subject matter of the proceeding are entitled to attend. (b) A regulatory hearing will be conducted by a presiding officer. Employees of FDA will first give a full and complete statement of the action which is the subject of the hearing, together with the information and reasons supporting it, and may present any oral or written information relevant to the hearing. The party requesting the hearing may then present any oral or written information relevant to the hearing. All parties may confront and conduct reasonable cross-examination of any person (except for the presiding officer and counsel for the parties) who makes any statement on the matter at the hearing. (c) 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 will be made or considered, but any other party may comment upon or rebut all such data, information, and views. (d) The presiding officer may order the hearing to be transcribed. The party requesting the hearing may have the hearing tran… | |||
| 21:21:1.0.1.1.13.4.98.2 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | D | Subpart D—Procedures for Regulatory Hearing | § 16.62 Right to counsel. | FDA | Any party to a hearing under this part has the right at all times to be advised and accompanied by counsel. | ||||
| 21:21:1.0.1.1.13.5.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | E | Subpart E—Administrative Record and Decision | § 16.80 Administrative record of a regulatory hearing. | FDA | (a) The administrative record of the regulatory hearing consists of the following: (1) The notice of opportunity for hearing and the response. (2) All written information and views submitted to the presiding officer at the hearing or after if specifically permitted by the presiding officer. (3) Any transcript of the hearing. (4) The presiding officer's report of the hearing and comments on the report under § 16.60(e). (5) All letters and memoranda of meetings or communications between participants and the presiding officer or the Commissioner referred to in § 16.44(c). (b) The record of the regulatory hearing is closed to the submission of information and views, at the close of the hearing, unless the presiding officer specifically permits additional time for a further submission. | ||||
| 21:21:1.0.1.1.13.5.98.2 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | E | Subpart E—Administrative Record and Decision | § 16.85 Examination of administrative record. | FDA | Part 20 governs the availability for public disclosure of each document that is a part of the administrative record of a regulatory hearing. | ||||
| 21:21:1.0.1.1.13.5.98.3 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | E | Subpart E—Administrative Record and Decision | § 16.95 Administrative decision and record for decision. | FDA | (a) With respect to a regulatory hearing at the Commissioner's initiative under § 16.1(a), the Commissioner shall consider the administrative record of the hearing specified in § 16.80(a) together with all other relevant information and views available to FDA in determining whether regulatory action should be taken and, if so, in what form. (b) With respect to a regulatory hearing required by the act or a regulation under § 16.1(b)— (1) The administrative record of the hearing specified in § 16.80(a) constitutes the exclusive record for decision; (2) On the basis of the administrative record of the hearing, the Commissioner shall issue a written decision stating the reasons for the Commissioner's administrative action and the basis in the record; and (3) For purposes of judicial review under § 10.45, the record of the administrative proceeding consists of the record of the hearing and the Commissioner's decision. | ||||
| 21:21:1.0.1.1.13.6.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | F | Subpart F—Reconsideration and Stay | § 16.119 Reconsideration and stay of action. | FDA | [44 FR 22367, Apr. 13, 1979, as amended at 54 FR 9037, Mar. 3, 1989] | After any final administrative action that is the subject of a hearing under this part, any party may petition the Commissioner for reconsideration of any part or all of the decision or action under § 10.33 or may petition for a stay of the decision or action under § 10.35. | |||
| 21:21:1.0.1.1.13.7.98.1 | 21 | Food and Drugs | I | A | 16 | PART 16—REGULATORY HEARING BEFORE THE FOOD AND DRUG ADMINISTRATION | G | Subpart G—Judicial Review | § 16.120 Judicial review. | FDA | Section 10.45 governs the availability of judicial review concerning any regulatory action which is the subject of a hearing under this part | ||||
| 24:24:1.1.1.1.13.0.25.1 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.1 Purpose and statement of policy. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976] | (a) The purpose of this part is to establish policies and procedures for implementing the Privacy Act of 1974 (Pub. L. 93-579), 5 U.S.C. 552(a). The main objectives are to facilitate full exercise of rights conferred on individuals under the Act and to insure the protection of privacy as to individuals about whom the Department maintains records in systems of records under the Act. The Department accepts the responsibility to act promptly and in accordance with the Act upon receipt of any inquiry, request or appeal from a citizen of the United States or an alien lawfully admitted for permanent residence into the United States, regardless of the age of the individual. (b) Further, the Department accepts the obligations to maintain only such information on individuals as is relevant and necessary to the performance of its lawful functions, to maintain that information with such accuracy, relevancy, timeliness and completeness as is reasonably necessary to assure fairness in determinations made by the Department about the individual, to obtain information from the individual to the extent practicable, and to take every reasonable step to protect that information from unwarranted disclosure. The Department will maintain no record describing how an individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity. (c) This part applies to all organizational components in the Department in order to assure the maximum amount of uniformity and consistency within the Department in its implementation of the Act. (d) The Assistant Secretary for Administration shall be responsible for carrying out the requirements of this part, for issuing such orders and directives internal to the Department as are necessary for full compliance with the Act, and for effecting publication of all required notices concerning systems of records. (e) Requests involvi… | |||||||
| 24:24:1.1.1.1.13.0.25.10 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.10 Appeal of initial adverse agency determination on correction or amendment. | HUD | (a) Appeal shall be available only from a written denial of a request for correction or amendment of a record issued under § 16.9, and only if a written appeal is filed within thirty calendar days after the issuance of the written denial. (b) Each appeal shall be addressed to the Privacy Appeals Officer identified in the written denial. The envelope containing the appeal and the letter itself should both clearly indicate that the subject is PRIVACY ACT APPEAL. (c) When an appeal is misdirected by the requester, or not addressed as specified in paragraph (b) of this section, the Department official receiving same shall promptly refer it to the appropriate Privacy Appeals Officer and the time of receipt for processing purposes will be the time when it is received by the appropriate official. (d) When an appeal fails to provide the necessary information as set forth in paragraph (e) of this section, the requester shall be advised that the time for receipt for processing purposes will be the time when the additional necessary information is received by the appropriate official. (e) The individual's appeal papers shall include the following: A copy of the original request for correction or amendment; a copy of the initial denial; and a statement of the reasons why the initial denial is believed to be in error. The appeal shall be signed by the individual. The record which the individual requests be corrected or amended will be supplied by the Privacy Act Officer who issued the initial denial. While the foregoing normally will comprise the entire record on appeal, the Privacy Appeals Officer may seek additional information necessary to assure that the final determination is fair and equitable and, in such instances, the additional information will be disclosed to the individual to the greatest extent possible and an opportunity provided for comment thereon. (f) No hearing on appeal will be allowed. (g) The Privacy Appeals Officer shall act upon the appeal and issue a final Department determination in writing not … | ||||||||
| 24:24:1.1.1.1.13.0.25.11 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.11 Disclosure of record to person other than the individual to whom it pertains. | HUD | (a) The Department may disclose a record pertaining to an individual to a person other than the individual only in the following instances: (1) Upon written request by the individual, including authorization under § 16.5(e); (2) With the prior written consent of the individual; (3) To a parent or legal guardian under 5 U.S.C. 552a(h); and, (4) When required by the Act and not covered explicitly by the provisions of 5 U.S.C. 552a(b); and, (5) When permitted under 5 U.S.C. 552a(b) (1) through (11), which read as follows: (1) To those officers and employees of the agency which maintains the record who have a need for the record in the performance of their duties; (2) Required under section 552 of this title; (3) For a routine use as defined in subsection (a)(7) of this section and described under subsection (e)(4)(D) of this section; (4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of title 13; (5) To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable; (6) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value; (7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought; (8) To a person pursu… | ||||||||
| 24:24:1.1.1.1.13.0.25.12 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.12 Fees. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 42 FR 29479, June 9, 1977] | (a) The only fees to be charged to or collected from an individual under the provisions of this part are for copying records at the request of the individual. (1) No fees shall be charged or collected for the following: Search for and retrieval of the records; review of the records; copying at the initiative of the Department without a request from the individual; transportation of records and personnel; and first class postage. (2) It is the policy of the Department to provide an individual with one copy of each record corrected or amended pursuant to his or her request without charge as evidence of the correction or amendment. (3) As requested by the United States Civil Service Commission in its published regulations implementing the Act, the Department will charge no fee to an individual who requests copies of a personnel record covered by that Commission's Government-wide published notice of systems of records. However, when such records are voluminous and the cost of copying would be in excess of five dollars ($5) the Department may, in its discretion, charge a fee. (b) The copying fees prescribed by paragraph (a) of this section are: $0.10 Each copy of each page, up to 8 1/2 ″ × 14″ made by photocopy or similar process. $0.20 Each page of computer printout without regard to the number of carbon copies concurrently printed. $0.10 Each copy of each page, up to 8 1/2 ″ × 14″ made by photocopy or similar process. $0.20 Each page of computer printout without regard to the number of carbon copies concurrently printed. (c) Payment of fees under this section shall be made in cash, or preferably by check or money order payable to the “Treasurer of the United States.” Payment shall be delivered or sent to the office stated in the billing notice or, if none is stated, to the Privacy Act Officer processing the request. Payment may be required in the form of a certified check in appropriate circumstances. Postage stamps will not be accepted. (d) A copying fee totaling $1 or less shall be waived, but the c… | |||||||
| 24:24:1.1.1.1.13.0.25.13 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.13 Penalties. | HUD | (a) The Act provides, in pertinent part: Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretences shall be guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C. 552a(i)(3)) Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretences shall be guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C. 552a(i)(3)) (b) A person who falsely or fraudulently attempts to obtain records under the Act may also be subject to prosecution under such other criminal statutes as 18 U.S.C. 494, 495 and 1001. | ||||||||
| 24:24:1.1.1.1.13.0.25.14 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.14 General exemptions. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 49 FR 20486, May 15, 1984] | (a) Individuals may not have access to records maintained by the Department but which were provided by another agency which has determined by regulation that such information is subject to general exemption under 5 U.S.C. 552a(j). If such exempt records are within a request for access, the Department will advise the individual of their existence and of the name and address of the source agency. For any further information concerning the record and the exemption, the individual must contact that source agency. (b) The Secretary of Housing and Urban Development has determined that the Office of the Assistant Inspector General for Investigation performs, as its principal function, activities pertaining to the enforcement of criminal laws. The records maintained by that office in a system identified as “HUD/DEPT-24, Investigation Files,” primarily consist of information compiled for the purpose of criminal investigations and are associated with identifiable individuals. Therefore, the Secretary has determined that this system of records shall be exempt, consistent with 5 U.S.C. 552a(j)(2), from all requirements of the Privacy Act except 5 U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i) unless elsewhere exempted. | |||||||
| 24:24:1.1.1.1.13.0.25.15 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.15 Specific exemptions. | HUD | [42 FR 49810, Sept. 28, 1977, as amended at 59 FR 9407, Feb. 28, 1994] | Whenever the Secretary of Housing and Urban Development determines it to be necessary and proper, with respect to any system of records maintained by the Department, to exercise the right to promulgate rules to exempt such systems in accordance with the provisions of 5 U.S.C. 552a(k), each specific exemption, including the parts of each system to be exempted, the provisions of the Act from which they are exempted, and the justification for each exemption shall be published in the Federal Register as part of the Department's Notice of Systems of Records. (a) Exempt under 5 U.S.C. 552a(k)(2) from the requirements of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), (I), and (f). This exemption allows the Department to withhold records compiled for law enforcement purposes. The reasons for adopting this exemption are to prevent individuals, who are the subjects of investigation, from frustrating the investigatory process, to ensure the integrity of the investigatory process, to ensure the integrity of law enforcement activities, to prevent disclosure of investigative techniques, and to protect the confidentiality of sources of information. The names of systems correspond to those published in the Federal Register as part of the Department's Notice of Systems of Records. (1) HUD/DEPT-15. Equal Opportunity Housing Complaints. (2) HUD/DEPT-24. Investigation Files in the Office of the Inspector General. (3) HUD/DEPT-25. Legal Action Files. (b) Exempt under 5 U.S.C. 552(k)(5) from the requirements of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4), (G), (H), and (I), and (f). This exemption allows the Department to withhold records compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal contracts, or access to classified material. The reasons for adopting this exemption are to insure the proper functioning of the investigatory process, to insure effective determination of suitability, eligibility and qualification for employment and to protect the confidentiality of sou… | |||||||
| 24:24:1.1.1.1.13.0.25.2 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.2 Definitions. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 41 FR 13917, Apr. 1, 1976; 61 FR 5204, Feb. 9, 1996; 83 FR 26361, June 7, 2018] | (a) The definitions of 5 U.S.C. 552a apply in this part. (b) As used in this part: (1) Act means the Privacy Act of 1974, Pub. L. 93-579. (2) Privacy Act Officer means those officials, or their designees, who are authorized to receive and act upon inquiries, requests for access, and requests for correction or amendment. (3) Privacy Appeals Officer means the General Counsel. (4) Inquiry means a request by an individual that the Department determine whether it has any record in a system of records which pertains to that individual. (5) Request for access means a request by an individual or guardian to inspect and/or copy and/or obtain a copy of a record which is in a particular system of records and which pertains to that individual. (6) Request for correction or amendment means the request by an individual or guardian that the Department change (either by correction, addition or deletion) a particular record in a system of records which pertains to that individual. (7) Appeal means the request by an individual that an initial denial of a request for access or correction or amendment by that individual be reviewed and reversed. | |||||||
| 24:24:1.1.1.1.13.0.25.3 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.3 Procedures for inquiries. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 83 FR 26361, June 7, 2018] | (a) Any individual, regardless of age, may submit an inquiry to the Department. The inquiry should be made either in person at the office of, or by mail addressed to, the appropriate Privacy Act Officer. Although oral requests may be honored, a requester may be asked to submit his request in writing. The envelope containing the request and the letter itself should both clearly indicate that the subject is a “PRIVACY ACT INQUIRY”. If an individual believes the Department maintains a record pertaining to that individual but does not know which system of records might contain such a record and/or which organizational component of the Department maintains the system of records, assistance in person or by mail will be provided at the following address: Privacy Act Officer, Department of Housing and Urban Development, 451 7th St. SW, Room 10139, Washington, DC 20410. (b)(1) An inquiry should contain the following information: (i) Name, address and telephone number of the individual making the request; (ii) Name, address and telephone number of the individual to whom the record pertains, if the requesting individual is either the parent of a minor or the legal guardian of the individual to whom the record pertains; (iii) A certified or authenticated copy of documents establishing parentage or guardianship; (iv) Whether the individual to whom the record pertains is a citizen of the United States or an alien lawfully admitted for permanent residence in to the United States; (v) Name of the system of records, as published in the Federal Register ; (vi) Location of the system of records, as published in the Federal Register ; (vii) Such additional information as the individual knows will or believes might assist the Department in responding to the inquiry (for example, the individual's past or present relationship with the Department, e.g. mortgagor, contractor, employee, including relevant dates) and in verifying the individual's identity (for example, date of birth, place of birth, names of parents, place of wor… | |||||||
| 24:24:1.1.1.1.13.0.25.4 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.4 Requests for access; requirements. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 83 FR 26361, June 7, 2018] | (a) Any individual, regardless of age, may submit to the Department a request for access to records of the Department. The request should be made either in person at the Office of, or by mail addressed to, the responsible Privacy Act Officer. Although oral requests may be honored, a requester may be asked to submit his request in writing. The envelope containing the request and the letter itself should both clearly indicate that the subject is a PRIVACY ACT REQUEST FOR ACCESS TO RECORDS. (b) When a request for access to records is misdirected by the requester, or not addressed as specified in paragraph (a) of this section, the Department official receiving same shall promptly refer it to the appropriate Privacy Act Officer and the time of receipt for processing purposes will be the time when it is received by that official. (c) When a request for access to records fails to provide necessary information as set forth in paragraph (b) of this section the requester shall be advised that the time of receipt for processing purposes will be the time when the additional necessary information is received by the appropriate official. (d) The requirements for identification of individuals seeking access to records are as follows: (1) In person. Each individual making a request in person shall be required to present satisfactory proof of identity. The means of proof, in the order of preference and priority, are: (i) A document bearing the individual's photograph (for example, passport or military or civilian identification card); (ii) A document bearing the individual's signature (for example, driver's license, social security card, unemployment insurance book, employer's identification card, national credit card and professional, craft or union membership card); and (iii) A document bearing neither the photograph nor the signature of the individual (for example, a Medicaid card). In the event the individual can provide no suitable documentation of identity, the Department will require a signed statement asserting t… | |||||||
| 24:24:1.1.1.1.13.0.25.5 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.5 Disclosure of requested information to individuals. | HUD | (a) Each request received shall be acted upon promptly by the responsible Privacy Act Officer. Every effort will be made to respond within ten days (excluding Saturdays, Sundays and holidays) of the date of receipt. If a response cannot be made within ten days due to unusual circumstances, the Privacy Act Officer shall send an acknowledgement during that period providing information on the status of the request and asking for such further information as may be necessary to process the request. Unusual circumstances shall include circumstances where a search for and collection of requested records from inactive storage, field facilities or other establishments are required, cases where a voluminous amount of data is involved, instances where information on other individuals must be separated or expunged from the particular record, and cases where consultations with other agencies having a substantial interest in the determination of the request are necessary. (b) Grant of access —(1) Notification. An individual shall be granted access to a record pertaining to him or her, except where the provisions of § 16.6 apply. The Privacy Act Officer shall notify the individual of such determination and provide the following information: (i) The methods of access, as set forth in paragraph (b)(2) of this section; (ii) The place at which the record may be inspected; (iii) The earliest date on which the record may be inspected and the period of time that the records will remain available for inspection and/or the estimated date by which a copy of the record could be mailed and the estimate of fees pursuant to § 16.12; (iv) The fact that the individual, if he or she wishes, may be accompanied by another individual during personal access, subject to procedures set forth in paragraph (e) of this section; and (v) Any additional requirements needed to grant access to a specific record. (2) Methods of access. The following methods of access to records by an individual may be available depending on the circumstances of … | ||||||||
| 24:24:1.1.1.1.13.0.25.6 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.6 Initial denial of access. | HUD | [40 FR 39729, Aug. 28, 1975, as amended at 42 FR 20297, Apr. 19, 1977] | (a) Grounds. Access by an individual to a record which pertains to that individual will be denied only upon a determination by the Privacy Act Officer that: (1) The record is subject to an exemption under § 16.14, § 16.15 or to an exemption determined by another agency noticing the system of records; (2) The record is information compiled in reasonable anticipation of a civil action or proceeding; or (3) The individual unreasonably has failed to comply with the procedural requirements of this part. (b) Notification. The Privacy Act Officer shall give notice of denial of access to records to the individual in writing and shall include the following information: (1) The Privacy Act Officer's name and title or position; (2) The date of the denial; (3) The reasons for the denial, including citation to the appropriate section of the Act and/or this part; (4) The individual's opportunities, if any, for further administrative consideration, including the identity and address of the appropriate Privacy Appeals Officer. If no further administrative consideration within the Department is available, the notice shall state that the denial is administratively final; and, (5) If stated to be administratively final; and, within the Department, the individual's right to judicial review under 5 U.S.C. 552a(g)(1), as amended by 5 U.S.C. 552a(g)(5). | |||||||
| 24:24:1.1.1.1.13.0.25.7 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.7 Administrative review of initial denial of access. | HUD | (a) Review shall be available only from a written denial of a request for access issued under § 16.6(a) (2) or (3) and only if a written request for review is filed within thirty calendar days after the issuance of the written denial. (b) A request for review shall be addressed to the Privacy Appeals Officer identified in the initial denial, which official is authorized to make final determinations. The envelope containing the request for review and the letter itself should both clearly indicate that the subject is a PRIVACY ACT REQUEST FOR REVIEW. (c) When a request for review is misdirected by the requester, or not addressed as specified in paragraph (b) of this section, the Department official receiving same shall promptly refer it to the Privacy Appeals Officer and the time of receipt for processing purposes will be the time when it is received by the appropriate official. (d) When a request for review fails to provide necessary information as set forth in paragraph (e) of this section, the requester shall be given reasonable opportunity to amend the request and shall be advised that the time of receipt for processing purposes will be the time when the additional necessary information is received by the appropriate official. (e) The filing of a request for review may be accomplished by mailing to the Privacy Appeals Officer a copy of the request for access, if in writing; a copy of the written denial issued under § 16.6; and a statement of the reasons why the initial denial is believed to be in error. The appeal shall be signed by the individual. (f) No hearing will be allowed in connection with administrative review of an initial denial of access. (g) The Privacy Appeals Officer shall act upon the appeal and issue a final determination in writing not later than thirty days (excluding Saturdays, Sundays and holidays) from the date on which the appeal is received; provided, that the Privacy Appeals officer may extend the thirty days upon deciding that a fair and equitable review cannot be made within tha… | ||||||||
| 24:24:1.1.1.1.13.0.25.8 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.8 Request for correction or amendment to record. | HUD | (a) Any individual, regardless of age, may submit to the Department a request for correction or amendment of a record pertaining to that individual. The request should be made either in person at the office of, or by mail addressed to, the Privacy Act Officer who processed the individual's request for access to the record. Although an oral request may be honored, a requester may be asked to submit his or her request in writing. The envelope containing the request and the letter itself should both clearly indicate that the subject is a PRIVACY ACT REQUEST FOR CORRECTION OR AMENDMENT. (b) When a request for correction or amendment is misdirected by the requester, or not addressed as specified in paragraph (a) of this section, the Department official receiving same shall make reasonable effort to identify, and promptly refer it to, the appropriate Privacy Act Officer and the time of receipt for processing purposes will be the time when it is received by the appropriate official. (c) When a request for correction or amendment fails to provide necessary information as set forth in paragraph (e) of this section, the requester shall be given reasonable opportunity to answer the request and shall be advised that the time of receipt for processing purposes will be the time when the additional necessary information is received by the appropriate official. (d) Since the request, in all cases, will follow a request for access under § 16.4, the individual's identity will be established by his or her signature on the request. (e) A request for correction or amendment should include the following: (1) A specific identification of the record sought to be corrected or amended (for example, description, title, date, paragraph, sentence, line and words); (2) The specific wording to be deleted, if any; (3) The specific wording to be inserted or added, if any, and the exact place at which it is to be inserted or added; and (4) A statement of the basis for the requested correction or amendment, with all available supporting do… | ||||||||
| 24:24:1.1.1.1.13.0.25.9 | 24 | Housing and Urban Development | 16 | PART 16—IMPLEMENTATION OF THE PRIVACY ACT OF 1974 | § 16.9 Agency procedures upon request for correction or amendment of record. | HUD | (a)(1) Not later than ten days (excluding Saturdays, Sundays and holidays) after receipt of a request to correct or amend a record, the Privacy Act Officer shall send an acknowledgment providing an estimate of time within which action will be taken on the request and asking for such further information as may be necessary to process the request. The estimate of time may take into account unusual circumstances as described in § 16.5(a). No acknowledgment will be sent if the request can be reviewed, processed, and the individual notified of the results of review (either compliance or denial) within the ten days. Requests filed in person will be acknowledged at the time submitted. (2) Promptly after acknowledging receipt of a request, or after receiving such further information as might have been requested, or after arriving at a decision within the time prescribed in § 16.9(a)(1), the Privacy Act Officer shall either: (i) Make the requested correction or amendment and advise the individual in writing of such action, providing either a copy of the corrected or amended record or a statement as to the means whereby the correction or amendment was effected in cases where a copy cannot be provided; or, (ii) Inform the individual in writing that his or her request is denied and provide the following information: (A) The Privacy Act Officer's name and title and position; (B) The date of the denial; (C) The reasons for the denial, including citation to the appropriate sections of the Act and this part; and, (D) The procedures for appeal of the denial as set forth in § 16.10, including the name and address of the Privacy Appeals Officer. The term promptly in this § 16.9 means within thirty days (excluding Saturdays, Sundays and holidays). If the Privacy Act Officer cannot make the determination within thirty days, the individual will be advised in writing of the reason therefor and of the estimated date by which the determination will be made. (b) Whenever an individual's record is corrected or amended pursuant to… | ||||||||
| 28:28:1.0.1.1.17.1.4.1 | 28 | Judicial Administration | I | 16 | PART 16—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | A | Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act | § 16.1 General provisions. | DOJ | [AG Order No. 3517-2015, 80 FR 18106, Apr. 3, 2015, as amended by AG Order 3803-2016, 82 FR 727, Jan. 4, 2017] | (a) This subpart contains the rules that the Department of Justice follows in processing requests for records under the Freedom of Information Act (“FOIA”), 5 U.S.C. 552. The rules in this subpart should be read in conjunction with the text of the FOIA and the Uniform Freedom of Information Fee Schedule and Guidelines published by the Office of Management and Budget (“OMB Guidelines”). Additionally, the Department's “FOIA Reference Guide” and its attachments contain information about the specific procedures particular to the Department with respect to making FOIA requests and descriptions of the types of records maintained by different Department components. This resource is available at http://www.justice.gov/oip/04_3.html. Requests made by individuals for records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a, are processed under subpart D of part 16 as well as under this subpart. (b) As referenced in this subpart, component means each separate bureau, office, division, commission, service, center, or administration that is designated by the Department as a primary organizational entity. (c) The Department has a decentralized system for processing requests, with each component handling requests for its records. | ||||
| 28:28:1.0.1.1.17.1.4.10 | 28 | Judicial Administration | I | 16 | PART 16—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | A | Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act | § 16.10 Fees. | DOJ | [AG Order No. 3517-2015, 80 FR 18106, Apr. 3, 2015, as amended by AG Order 3803-2016, 82 FR 728, Jan. 4, 2017] | (a) In general. Components shall charge for processing requests under the FOIA in accordance with the provisions of this section and with the OMB Guidelines. In order to resolve any fee issues that arise under this section, a component may contact a requester for additional information. Components shall ensure that searches, review, and duplication are conducted in the most efficient and the least expensive manner. A component ordinarily will collect all applicable fees before sending copies of records to a requester. Requesters must pay fees by check or money order made payable to the Treasury of the United States. (b) Definitions. For purposes of this section: (1) Commercial use request is a request that asks for information for a use or a purpose that furthers a commercial, trade, or profit interest, which can include furthering those interests through litigation. A component's decision to place a requester in the commercial use category will be made on a case-by-case basis based on the requester's intended use of the information. (2) Direct costs are those expenses that an agency incurs in searching for and duplicating (and, in the case of commercial use requests, reviewing) records in order to respond to a FOIA request. For example, direct costs include the salary of the employee performing the work ( i.e., the basic rate of pay for the employee, plus 16 percent of that rate to cover benefits) and the cost of operating computers and other electronic equipment, such as photocopiers and scanners. Direct costs do not include overhead expenses such as the costs of space, and of heating or lighting a facility. (3) Duplication is reproducing a copy of a record, or of the information contained in it, necessary to respond to a FOIA request. Copies can take the form of paper, audiovisual materials, or electronic records, among others. (4) Educational institution is any school that operates a program of scholarly research. A requester in this fee category must show that the request is made in connect… | ||||
| 28:28:1.0.1.1.17.1.4.11 | 28 | Judicial Administration | I | 16 | PART 16—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | A | Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act | § 16.11 Other rights and services. | DOJ | Nothing in this subpart shall be construed to entitle any person, as of right, to any service or to the disclosure of any record to which such person is not entitled under the FOIA. | |||||
| 28:28:1.0.1.1.17.1.4.2 | 28 | Judicial Administration | I | 16 | PART 16—PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION | A | Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act | § 16.2 Proactive disclosure of Department records. | DOJ | [AG Order No. 3517-2015, 80 FR 18106, Apr. 3, 2015, as amended by AG Order 3803-2016, 82 FR 727, Jan. 4, 2017] | Records that are required by the FOIA to be made available for public inspection in an electronic format may be accessed through the Department's Web site at http://justice.gov/oip/04_2.html. Each component is responsible for determining which of its records are required to be made publicly available, as well as identifying additional records of interest to the public that are appropriate for public disclosure, and for posting and indexing such records. Each component shall ensure that its Web site of posted records and indices is reviewed and updated on an ongoing basis. Each component has a FOIA Public Liaison who can assist individuals in locating records particular to a component. A list of the Department's FOIA Public Liaisons is available at http://www.justice.gov/oip/foiacontact/index-list.html. |
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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);