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<br />10798
<br />
<br />Sec.
<br />12.11-6 certification by officer.
<br />12.17-7 Use of depo81t.Ions.
<br />12.18 Fees of wLtnes.ses.
<br />AUTHORITY,-15 u.s.a. 1828: 7 CFR 2.35.
<br />2.41,2.51.
<br />~ 12.1 Meaning of word~.
<br />As used in this part, words in the singu-
<br />lar form shall be deemed to import the
<br />plural. and vice versa, as the case may
<br />require.
<br />~ 12.2 . Definition~.
<br />For purposes of this part, the follow-
<br />Ing terms shall be construed. respectively.
<br />to mean:
<br />(a) "Act" means the Horse Protection
<br />Act of 1970, approved December 9. 1970,
<br />and any legislation amendatory thereof
<br />(15 U.S.C. 1821 et seq.; Public Law 91-
<br />540) .
<br /><b) "Department" means the U.S. De-
<br />partment of Agriculture.
<br />(c) "Secretary" means the Secretary of
<br />Agriculture of the United States, or any
<br />officer or employee of the Department to
<br />whom authority has heretofore been
<br />delegated, or to whom authorny may
<br />hereafter be delegated, to act in his stead
<br />in connection with the function invoh'ed.
<br />(d) "Respondent" means the party
<br />proceeded against.
<br />(e) "Administrative Law Judge" means
<br />any judge in the Office of Administrative
<br />Law Judges of the Department.
<br />(f) "Hearing Clerk" means the Hear-
<br />ing Clerk. U.S. Department of Agricul-
<br />ture, Washington, D.C. 20250.
<br />(g) "Administrator" means t,he Ad-
<br />ministrator. Animal and Plant Health
<br />Inspection Service. or the Department, or
<br />nny officer or employee to whom author-
<br />ity has heretofore been delegated. or to
<br />whom authority may hereafter be dcle~
<br />gated. to act in his stead in connection
<br />with the function 111volved.
<br />(11) "Complaint" means the document
<br />issued by the Administrator instituting a
<br />proceedIng under t.his part.
<br />(i) "Hearing" means that part of a
<br />proceeding which involves the submission
<br />of evidence.
<br />~ 12.3 Scope ;]nd applicability.
<br />The rules of practice in this part are
<br />applicable to the assessment and com-
<br />promise of civil penalties, pursuant to
<br />section 6(e.) of the act (]5 U.S.C. ]825
<br />(a) ) r for violations of the act or the
<br />regulations issued thereunder.
<br />~ 12.4 Slipulalions regarding assess-
<br />menls or penahies.
<br />At any tIme prior to the Issuance of a
<br />complaint under ~ lZ.5, the Administra-
<br />tor, in his discretion, may enter into a
<br />stipulation with any person In which: (a)
<br />The Adm1zUstrator gives notice of an ap-
<br />parent violation of the act or the regula-
<br />tions Issued thereunder by such person
<br />and affords such person an opportunity
<br />for a hearing regarding the matter as
<br />provided by the act; (b) such person ex-
<br />pressly waives hearing and agrees to pay
<br />a specifted penalty within a. designated
<br />time; and (c) the Adml.n1.strator agrees
<br />to accept the specified penalty In settle-
<br />
<br />RULES AND REGULATIONS
<br />
<br />ment of the particular matter involved
<br />if it Is paId within the designated time. If
<br />the specified penalty is not paid within
<br />the time designated in such a stipulation,
<br />the amount of the stipulated penalty
<br />shall not be relevant in any respect to
<br />the penalty which may be assessed after
<br />issuance of a complaint under ~ 12.5.
<br />
<br />~ 12.5 Inlllilulion or proceeding.
<br />
<br />{; 12.5-1 Issuance of complaint.
<br />
<br />If the Administrator has reason to be-
<br />lieve that a person has violated allY pro~
<br />vision or the act or any regUlation issued
<br />thereunder. he may instIt.ute a proceed-
<br />ing by issuance of a complaint pursuant
<br />to the provisions of section 6(0.) of the
<br />act 05 U.S.C. 1825(0.)) relating to as~
<br />sessment of civil penalties.
<br />
<br />{; 12.5-2 Filing and ser\.icc or cOlllplainl.
<br />
<br />The complaint shall be filed with the
<br />hearing clerk, a copy of. which shall be
<br />served upon each respondent as prOVided
<br />in ! 12.16-2.
<br />
<br />~ 12.5-3 Dockel number.
<br />
<br />Each proceeding shall be assigned a
<br />docket nwnber by the hearing clerk and
<br />thereafter the proceeding shall be re-
<br />ferred to by such number.
<br />
<br />~ 12.5-4 Conlenlll of complaint.
<br />
<br />The complaint shall contain u. brief
<br />statement of the nature of t.he violation,
<br />including allegations of fact which con-
<br />stitute a baS1S for the action. The com-
<br />plaint shall offer t.he respondent the
<br />opportunity to submit. a written state-
<br />ment by way of answer and t.he opportu-
<br />nity to request an oral hearing, and shall
<br />state the'time within wh1ch such answer
<br />and request for hearing must be made,
<br />which shall not be less than 10 days after
<br />service of the complain t.
<br />
<br />€I12.5-5 Ame1\dmen'~.
<br />
<br />At any time prior to the closc of the
<br />hearing, the complaint may be amended;
<br />but, in case of an amendment a.dding
<br />new provisions, the hearing shall. on the
<br />request of the respondent, be adjourned
<br />for a periOd not exceeding 15 days.
<br />
<br />~ 12.6 Answer.
<br />
<br />~ 12.6-1 Gcneral.
<br />
<br />The respondent shall file, In triplicate.
<br />an answer to the allegations of the com-
<br />plaint with the hearing clerk. signed by
<br />the respondent or his attorney, within
<br />the period of time for answering set forth
<br />in the complaint.
<br />
<br />~ 12.6-2 Contents.
<br />
<br />(a) The answer shall 0) contaIn a
<br />concise st.atement of the facts which con-
<br />stitute the grounds of defense, and shall
<br />specifically admit, deny, or explain each
<br />of the allegations in the complaint. unless
<br />the respondent is without knowledge. In
<br />which case the answer shall so state; or
<br />(2) st.ate that the respondent admits all
<br />the facts alleged in the complaint; or
<br />(3) state that the respondent admIts the
<br />jurisdictional allegations of the com-
<br />plaint and neither admits nor denies the
<br />remaining allegations and consents to
<br />the issuance of an order assessing a pen-
<br />
<br />atty wit.hout further procedure. If the
<br />complainant recommends that the order
<br />consented to by the respondent not be
<br />Lssued, the respondent shan file an an-
<br />swer .in accordance with ~~ 12.6-1 and
<br />12.6-2(a) (1) or (2) within 20 days of
<br />service of such recommendation on the
<br />respondent.
<br />(b) The answer may contain a request
<br />for oral hearing or an express waiver of
<br />such hearing,
<br />
<br />~ 12.6-3 Failurc 10 filc.
<br />
<br />Faiiure to file an answer to, or plead
<br />specIfically to, any alIega tion in the com..
<br />plaint shall constitute an admission of
<br />such allegation, except as provided in
<br />, 12.6-2(al (3).
<br />
<br />912.7 Const"nl order.
<br />
<br />At any time after the institution of a
<br />proceeding, the respondent may file an
<br />an'i>WeI [If amended answer consenti.ng to
<br />an order as set forth in ~ 12.6-2(a) (3).
<br />Within 15 days after service of such an
<br />answer, the complainant shnll file its
<br />recommendation. If the complainant rec-
<br />ommends that the order consented to by
<br />the respondent be Issued, the adminis-
<br />trative law judge shall enter such order
<br />which shall have the same force and
<br />effect as an initial decision issued by
<br />an administrative law judge.
<br />
<br />~ 12.8 Procedure upon adU1ig~ion or
<br />facts.
<br />
<br />The admission, .in the answer or by
<br />failure to tile an answer, of all the mate-
<br />rial allegations of fact contained in the
<br />complaint shall constitute a waiver of
<br />hearing. Upon such admission of facts,
<br />the complu.inant shall file recommended
<br />findings of fact, conclusions, and order
<br />with a motion for adoption thereof,
<br />which motion and recommended findings
<br />of fact. conclusions, and order shall be
<br />served upon the respondent. R.el'opondent
<br />may, within 10 days nfter service thereof.
<br />file with the hearing clerk written reply
<br />to the recommended findings of fact,
<br />conclusions, and order suggesting cor-
<br />rected findings of fact, conclusions, and
<br />order, and stating in writing whether
<br />he desires to make an oral argumen t
<br />thereon; otherwise he shall be deemed to
<br />have waived such ornl argwnent. A brief
<br />in support of any reply may be .filed.
<br />After expiration of the period for filing
<br />a reply. to the proposed findings of fact,
<br />conclusions, and order, the administra-
<br />tive law judge, without further investi-
<br />gation 'or hearing, shall promptly issue
<br />an initial decision.
<br />
<br />~ 12.9 . Procedure upon dcninl of any
<br />Dlnlerial faCI.
<br />
<br />In the event the respondent denies
<br />any material :fact and fails to request a
<br />hearing within the time specified in the
<br />complaint. the matter shall be set down
<br />for hearing by the administ.rative law
<br />judge, at a place requested by the admin-
<br />istrator, in accordance with ~ 12.10-1.
<br />In all other instances the hearings shall
<br />be held at " place set by the adminIstra-
<br />tive law judge in accordance with
<br />II 12.10-1 and 12.13-4.
<br />
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<br />FEDERAL REGISTER, VOL. 38. NO. 84-WEDNESDAY, MAY 2, 1973
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