DOT 49 CFR PART 511-2010 ADJUDICATIVE PROCEDURES.pdf

1、32 49 CFR Ch. V (10110 Edition) 510.11 that information in the light of after acquired information, except: (1) The person or entity to whom the process is addressed shall supplement the response with respect to any ques-tion directly addressed to the identity and location of persons having knowl-ed

2、ge of information obtainable under this part. (2) The person or entity to whom the process is addressed shall seasonably amend a prior response if that person or entity obtains information upon the basis of which the person or entity knows that the response was incorrect when made or the person or e

3、ntity knows that the response, though cor-rect when made, is no longer true and the circumstances are such that a fail-ure to amend the response is in sub-stance a knowing concealment. (b) The requirement to supplement information set forth in paragraph (a) of this section terminates when: (1) The c

4、ompulsory process stated that it was issued in connection with a contemplated rulemaking action, and a final rule is issued on that subject or a notice is issued announcing that the rulemaking action has been suspended or terminated. (2) The compulsory process stated that it was issued in connection

5、 with an enforcement investigation, and the investigation is closed. (3) The compulsory process does not state that it is issued in connection with a specific rulemaking action or enforcement investigation, and 18 months have passed since the date of the original response. (c) This section in no way

6、 limits NHTSAs authority to obtain supple-mental information by specific de-mands through the means specified in 510.3. 510.11 Fees. Any person compelled to appear in person in response to a subpoena issued under this part at an information gath-ering hearing or an administrative dep-osition is paid

7、 the same attendance and mileage fees as are paid witnesses in the courts of the United States, in ac-cordance with title 28, U.S.C., section 1821. 510.12 Remedies for failure to comply with compulsory process. Any failure to comply with compul-sory process authorized by law and issued under this pa

8、rt is a violation of this part. In the event of such failure to comply, NHTSA may take appro-priate action pursuant to the authority conferred by the National Traffic and Motor Vehicle Safety Act or the Motor Vehicle Information and Cost Savings Act, as appropriate, including institu-tion of judicia

9、l proceedings to enforce the order and to collect civil penalties. PART 511ADJUDICATIVE PROCEDURES Subpart AScope of Rules; Nature of Adjudicative Proceedings, Definitions Sec. 511.1 Scope of the rules. 511.2 Nature of adjudicative proceedings. 511.3 Definitions. Subpart BPleadings; Form; Execution;

10、 Service of Documents 511.11 Commencement of proceedings. 511.12 Answer. 511.13 Amendments and supplemental plead-ings. 511.14 Form and filing of documents. 511.15 Time. 511.16 Service. 511.17 Public participation. 511.18 Joinder of proceedings. Subpart CPrehearing Procedures; Mo-tions; Interlocutor

11、y Appeals; Summary Judgment; Settlement 511.21 Prehearing conferences. 511.22 Prehearing briefs. 511.23 Motions. 511.24 Interlocutory appeals. 511.25 Summary decision and order. 511.26 Settlement. Subpart DDiscovery; Compulsory Process 511.31 General provisions governing dis-covery. 511.32 Written i

12、nterrogatories to parties. 511.33 Production of documents and things. 511.34 Requests for admission. 511.35 Testimony upon oral examination. 511.36 Motions to compel discovery. 511.37 Sanctions for failure to comply with order. 511.38 Subpoenas. VerDate Mar2010 14:39 Dec 20, 2010 Jkt 220217 PO 00000

13、 Frm 00042 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-33 Natl Highway Traffic Safety Admin., DOT 511.3 511.39 Orders requiring witnesses to testify or provide other info

14、rmation and grant-ing immunity. Subpart EHearings 511.41 General rules. 511.42 Powers and duties of Presiding Offi-cer. 511.43 Evidence. 511.44 Expert witnesses. 511.45 In camera materials. 511.46 Proposed findings, conclusions, and order. 511.47 Record. 511.48 Official docket. 511.49 Fees. Subpart

15、FDecision 511.51 Initial decision. 511.52 Adoption of initial decision. 511.53 Appeal from initial decision. 511.54 Review of initial decision in absence of appeal. 511.55 Final decision on appeal or review. 511.56 Reconsideration. 511.57 Effective date of order. Subpart GSettlement Procedure in Cas

16、es of Violation of Average Fuel Economy Standards 511.61 Purpose. 511.62 Definitions. 511.63 Criteria for settlement. 511.64 Petitions for settlement; timing, con-tents. 511.65 Public comment. 511.66 Confidential business information. 511.67 Settlement order. Subpart HAppearances; Standards of Condu

17、ct 511.71 Who may make appearances. 511.72 Authority for representation. 511.73 Written appearances. 511.74 Attorneys. 511.75 Persons not attorneys. 511.76 Qualifications and standards of con-duct. 511.77 Restrictions as to former members and employees. 511.78 Prohibited communications. APPENDIX I T

18、O PART 511FINAL PREHEARING ORDER AUTHORITY: 15 U.S.C. 2002; delegation of au-thority at 49 CFR 1.50. SOURCE: 45 FR 81578, Dec. 11, 1980, unless otherwise noted. Subpart AScope of Rules; Na-ture of Adjudicative Pro-ceedings, Definitions 511.1 Scope of the rules. This part establishes rules of practic

19、e and procedure for adjudicative pro-ceedings conducted pursuant to section 508(a)(2) of the Motor Vehicle Informa-tion and Cost Savings Act (15 U.S.C. Pub. L. 94163, 89 Stat. 911, section 2008(a)(2), which are required by stat-ute to be determined on the record after opportunity for a public hearin

20、g. 511.2 Nature of adjudicative pro-ceedings. Adjudicative proceedings shall be conducted in accordance with title 5, U.S.C., sections 551 through 559 and this part. It is the policy of the agency that adjudicative proceedings shall be conducted expeditiously and with due regard to the rights and in

21、terests of all persons affected, and to the public in-terest. Therefore, the presiding officer and all parties shall make every effort at each stage of a proceeding to avoid unnecessary delay. 511.3 Definitions. (a) As used in this part: (1) The term application means an ex parte request by a party

22、for an order that may be granted or denied without opportunity for response by any other party. (2) The term NHTSA means the Na-tional Highway Traffic Safety Admin-istration. (3) The term Administrator means the Administrator of the National Highway Traffic Safety Administration. (4) The term Compla

23、int Counsel means prosecuting counsel for the NHTSA. (5) The term motion means a request by a party for a ruling or order that may be granted or denied only after op-portunity for response by each affected party. (6) The term party means the NHTSA, and any person named as a respondent in a proceedin

24、g governed by this part. (7) The term person means any indi-vidual, partnership, corporation, asso-ciation, public or private organization, or Federal, State or municipal govern-mental entity. VerDate Mar2010 14:39 Dec 20, 2010 Jkt 220217 PO 00000 Frm 00043 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217

25、jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-34 49 CFR Ch. V (10110 Edition) 511.11 (8) The term petition means a written request, made by a person or a party and addressed to the Presiding Officer or the Administ

26、rator, that the ad-dressee take some action. (9) The term Presiding Officer means the person who conducts an adjudica-tive hearing under this part, who shall be an administrative law judge quali-fied under title 5, U.S.C., section 3105 and assigned by the Chief Administra-tive Law Judge, Office of H

27、earings, United States Department of Transpor-tation. (10) The term Respondent means any person against whom a complaint has been issued. (11) The term Office of Hearings means the Officer of Hearings, Depart-ment of Transportation. (12) The term staff means the staff of the National Highway Traffic

28、 Safety Administration. (13) The term Chief Administrative Law Judge means the Chief Administra-tive Law Judge of the Office of Hear-ings, Department of Transportation. (14) The term Docket Section means the Docket Section, Office of the Sec-retary of Transportation. 45 FR 81578, Dec. 11, 1980, as a

29、mended at 53 FR 15782, May 3, 1988 Subpart BPleadings; Form; Execution; Service of Documents 511.11 Commencement of pro-ceedings. (a) Notice of institution of an enforce-ment proceeding. An adjudicative pro-ceeding under this part is commenced by the issuance of a complaint by the NHTSA. (b) Form an

30、d content of complaint. The complaint shall be signed by the Com-plaint Counsel and shall contain the following: (1) Recital of the legal authority for instituting the proceeding, with spe-cific designation of the statutory pro-visions involved in each allegation. (2) Identification of each responde

31、nt. (3) A clear and concise statement of the charges, sufficient to inform each respondent with reasonable definite-ness of the factual basis of the allega-tions of violation. A list and summary of documentary evidence supporting the charges shall be attached. (4) A statement of the civil penalty wh

32、ich the Complaint Counsel believes is in the public interest, or which is re-quired by law. In the case of civil pen-alties assessed for violations of section 507(3) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2007(3), the amount of such penalty shall be calculated from the time

33、 of the alleged violation. In the case of civil penalties assessed for violations of section 507 (1) or (2) of that Act, any monetary credits available to offset those civil penalties shall be specified. (5) The right of the respondent to a hearing on the alleged violations. (c) Notice to the public

34、. Once a com-plaint is issued, notice of it shall be immediately submitted to the FEDERAL REGISTER for publication. The notice in the FEDERAL REGISTER shall briefly de-scribe the nature of the proceeding and state that petitions to participate in the proceeding must be filed no later than the first

35、prehearing conference. 511.12 Answer. (a) Time for filing. A respondent shall have twenty (20) days after service of a complaint within which to file an an-swer. (b) Content of answer. An answer shall conform to the following: (1) Request for hearing. Respondent shall state whether it requests a ful

36、l, adjudicatory hearing or whether it de-sires to proceed on the basis of written submissions. If a hearing is requested, respondent shall specify those issues on which a hearing is desired. (2) Contested allegations. An answer in which the allegations of a complaint are contested shall contain: (i)

37、 Specific admission or denial of each allegation in the complaint. If the respondent is without knowledge or in-formation sufficient to form a belief as to the truth of an allegation, respond-ent shall so state. Such a statement shall have the effect of a denial. Deni-als shall fairly meet the subst

38、ance of the allegations denied. Allegations not thus answered shall be deemed to have been admitted. (ii) A concise statement of the fac-tual and/or legal defenses to each alle-gation of the complaint. (3) Admitted allegations. If the re-spondent admits or fails to deny any VerDate Mar2010 14:39 Dec

39、 20, 2010 Jkt 220217 PO 00000 Frm 00044 Fmt 8010 Sfmt 8010 Y:SGML220217.XXX 220217jdjones on DSKHWCL6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-35 Natl Highway Traffic Safety Admin., DOT 511.15 factual allegation, he or she shall

40、be deemed to have waived a hearing as to such allegation. (c) Default. Failure of the respondent to file an answer within the time pro-vided (or within an extended time, if provided), shall be deemed to con-stitute a waiver of the right to appear and contest the allegations set forth in the complain

41、t and to authorize the Presiding Officer to make such findings of fact as are reasonable under the cir-cumstances. 511.13 Amendments and supple-mental pleadings. Whenever determination of a con-troversy on the merits will be facili-tated thereby, the Presiding Officer upon motion, may allow appropri

42、ate amendments and supplemental plead-ings which do not unduly broaden the issues in the proceeding or cause undue delay. 511.14 Form and filing of documents. (a) Filing. Except as otherwise pro-vided, all documents submitted to the Administrator or a Presiding Officer shall be filed with the Docket

43、 Section, Office of the Secretary, Department of Transportation, Room 4107, 400 Seventh Street, SW., Washington, DC 20590. Documents may be filed in person or by mail and shall be deemed filed on the day of filing or mailing. (b) Caption. Every document shall contain a caption setting forth the name

44、 of the action in connection with which it is filed, the docket number, and the title of the document. (c) Copies. An original and nine (9) copies of all documents shall be filed. Documents may be reproduced by printing or any other process, provided that all copies filed are clear and leg-ible. (d)

45、 Signature. (1) The original of each document filed shall be signed by a rep-resentative of record for the party; or in the case of parties not represented, by the party; or by a partner, officer, or regular employee of any corpora-tion, partnership, or association, who files an appearance on behalf

46、 of the party. (2) The act of signing a document constitutes a representation by the signer that the signer has read it; that to the best of the signers knowledge, information and belief, the statements made in it are true; and that it is not filed for purposes of delay. 45 FR 81578, Dec. 11, 1980,

47、as amended at 53 FR 15782, May 3, 1988 511.15 Time. (a) Computation. In computing any period of time prescribed or allowed by the rules in this part, the day of the act, event, or default from which the designated period of time begins to run shall not be included. The last day of the period so comp

48、uted shall be in-cluded, unless it is a Saturday, a Sun-day, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday. When the period of time prescribed or allowed is less than 7 days, intermediate Satur-days, Sundays, an

49、d legal holidays shall be excluded in the computation. As used in this part, legal holiday in-cludes New Years Day, Washingtons Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Vet-erans Day, Thanksgiving Day, Christ-mas Day, and any other day appointed as a holiday by the President or the Congress of the United States. (b) Additional time after service by mail. Whenever a party is required or per-mitted to do an act withi