94-2871. Limited Access Management of Fisheries off Alaska, Determinations and Appeals  

  • [Federal Register Volume 59, Number 27 (Wednesday, February 9, 1994)]
    [Unknown Section]
    [Page 0]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 94-2871]
    
    
    [[Page Unknown]]
    
    [Federal Register: February 9, 1994]
    
    
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    DEPARTMENT OF COMMERCE
    50 CFR Part 676
    
    [Docket No. 940103-4003; I.D. 122893B]
    RIN 0648-AD19
    
     
    
    Limited Access Management of Fisheries off Alaska, Determinations 
    and Appeals
    
    AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
    Atmospheric Administration (NOAA), Commerce.
    
    ACTION: Proposed rule; request for comments.
    
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    SUMMARY: This document proposes procedures to govern appeals of initial 
    administrative determinations under the Alaska fixed gear Pacific 
    halibut and sablefish Individual Fishing Quota (IFQ) limited access 
    program. This proposed rule sets forth: Who may appeal initial 
    administrative determinations; the time period for submitting appeals; 
    what must be included in appeals; procedures regarding acceptance of 
    appeals; the authority of appellate officers; the process for 
    disqualifying appellate officers; evidentiary procedures; the hearing 
    process, including discretionary pre-hearing conferences; post-hearing 
    decisions; and general procedures for appeals. The intended effect of 
    this action is to set forth proposed procedures for appeals from 
    initial administrative determinations made by NMFS management staff and 
    decisions issued by appellate officers under the IFQ program.
    
    DATES: Comments must be received at the following address no later than 
    March 28, 1994.
    
    ADDRESSES: Comments may be sent to Ronald J. Berg, Chief, Fisheries 
    Management Division, Alaska Region, NMFS, 709 W. 9th, room 453, Juneau, 
    AK 99801 or P.O. Box 21668, Juneau, AK 99802, Attention: Lori J. 
    Gravel. Copies of this proposed rule, and the final environmental 
    impact statement/supplementary environmental impact statement (FEIS/
    SEIS) for the halibut and sablefish IFQ programs, respectively, may be 
    obtained from the North Pacific Fishery Management Council, P.O. Box 
    103136, Anchorage, AK 99510.
    
    FOR FURTHER INFORMATION CONTACT: John Lepore, Fisheries Regulations 
    Specialist, Alaska Region, NMFS, at 907-586-7228.
    
    SUPPLEMENTARY INFORMATION:
    
    Background
    
        The IFQ program is a regulatory regime intended by the North 
    Pacific Fishery Management Council (Council) to promote the 
    conservation and management of halibut and sablefish resources, and to 
    further the objectives of the Magnuson Fishery Conservation and 
    Management Act (Magnuson Act) and the Northern Pacific Halibut Act 
    (Halibut Act).
        The Alaskan fisheries using fixed gear for Pacific halibut 
    (Hippoglossus stenolepis) and sablefish (Anoplopoma fimbria) in the 
    areas defined in 50 CFR 676.10 (b) and (c) will be managed through the 
    IFQ program beginning in 1995. Further information on the program is 
    contained in the preamble to the final regulations implementing the 
    program (50 CFR part 676) (58 FR 59375, November 9, 1993).
        This action proposes procedures for appeals under 50 CFR part 676. 
    Appeals would be available from initial administrative determinations 
    made by NMFS management staff and appellate officers' decisions. Final 
    action on this proposed rule will be taken by NMFS after review and 
    consideration of public comments.
    
    Initial Administrative Determinations
    
        Initial administrative determinations are the findings of NMFS 
    staff on eligibility for initial allocation, transfer and use of quota 
    share (QS) and IFQ under the IFQ program. Initial administrative 
    determinations become the final agency action within 90 days of its 
    issuance unless appealed under the procedure described below.
        Examples of initial administrative determinations that would be 
    made by NMFS staff are: (1) Whether applicants have submitted 
    sufficient documentation to demonstrate that they are qualified 
    persons, or their successors-in-interest, as defined in 50 CFR 
    676.20(a)(1); (2) whether to grant initial QS allocations to applicants 
    based on the documentation provided in applications; (3) whether 
    documentation submitted with applications, or documentation requested 
    by NMFS staff, supports the claims made on applications for initial QS 
    allocations; (4) whether to grant initial QS allocations based on 
    specific vessel categories and fishery statistical areas; and (5) other 
    issues that might arise under 50 CFR part 676.
        Prior to making initial administrative determinations, NMFS staff 
    would be able to request additional information from applicants to 
    support their applications. Applicants would be provided 90 days to 
    respond to these requests. Requests for additional information would 
    provide an opportunity for applicants to submit additional 
    documentation for claims not consistent with data contained in NMFS 
    files. Requests for additional information could not in themselves be 
    the subject of an administrative appeal. Appealable determinations 
    would not be made until: (1) An applicant has responded to the request 
    by providing additional information within the time period; (2) an 
    applicant has waived the right to respond to the request for additional 
    information, and instead has requested that a determination be made on 
    the application in its current form; or (3) an applicant has not 
    responded within the applicable time period.
    
    Appeals
    
        Persons, as defined in 50 CFR 676.11, whose interests are directly 
    and adversely affected by initial administrative determinations made by 
    NMFS staff or by decisions issued by appellate officers would be able 
    to appeal those determinations or decisions. The proposed rule would 
    establish a 2-tier appeals process (i.e., appeal of an initial 
    administrative determination to the appellate officer and appeal of an 
    appellate officer's decision to the Regional Director). This process 
    would provide applicants with a reasonable opportunity to be heard 
    concerning agency actions.
        Appeals would have to be in writing; appeals made orally, either in 
    person at NMFS, or over the telephone, would not be accepted. The 
    writing requirement protects the applicant (now appellant) by providing 
    a written record of the issues appealed and ensuring that the appeal 
    becomes part of the record. Appeals would also have to be in original 
    form. This means that NMFS would not accept appeals sent by electronic 
    transmission (telefacsimile). Appeals could be either mailed or 
    personally delivered to NMFS. Appeals submitted by mail may be sent 
    certified, return receipt requested, to provide the appellant with 
    evidence of mailing the appeal in case it becomes lost or destroyed.
        Addresses of record would be established from the addresses used by 
    persons on their first correspondence to NMFS, Restricted Access 
    Management, Juneau, AK. For most persons, this first correspondence 
    would be their request for an application for QS allocation. Any 
    changes to the address of record should be promptly provided to NMFS in 
    writing. The burden to notify NMFS of address changes would be on the 
    IFQ program applicant because the applicant is in the best position to 
    have knowledge of such changes. Supplying address changes ensures that 
    NMFS would have an accurate and current address for correspondence.
        Eligibility to appeal would begin on either the date initial 
    determinations were made by NMFS staff or on the date decisions were 
    issued by appellate officers. Appeals would have to be filed with NMFS 
    within 90 days of the date an initial administrative determination was 
    made, or within 45 days of the date an appellate officer's decision was 
    issued.
        Appellants would be required to submit a full written statement in 
    support of the appeal, including a concise statement of the reasons why 
    the initial administrative determination has a direct and adverse 
    effect on the appellant and should be reversed or modified. The 
    appellate officer may request additional information from the appellant 
    to resolve the appeal. Appeals merely challenging the IFQ regulations 
    would not be accepted.
        In addition to the written statement of appeal, an appellant may 
    request, in writing, a hearing on one or more issues material to the 
    appeal. A request for a hearing would have to be accompanied by a 
    concise statement: (1) Raising a genuine and substantial issue of 
    adjudicative fact for resolution; and (2) listing available and 
    specifically identified reliable evidence upon which the factual issue 
    can be resolved. A hearing would not be held on issues of policy or 
    law, or upon the basis of mere allegations, denials, or general 
    descriptions of positions and contentions.
        The appellant could, and would be encouraged to, supply evidence 
    supporting the statement of appeal and request for a hearing. By timely 
    submitting a complete appeal, and by providing sufficient supporting 
    evidence, the appellate officer could make a decision in the 
    appellant's favor without further proceedings. Alternatively, the 
    appellate officer could deny the appeal as unfounded, a decision that 
    would be appealable to the Regional Director. Finally, the appellate 
    officer could decide to order a hearing to aid in the disposition of 
    one or more of the issues presented on appeal.
    
    Hearings
    
        Written or oral hearings would be held at the appellate officer's 
    discretion to resolve genuine and substantial issues of adjudicative 
    fact, if such hearings would be useful to resolve those issues. The 
    decision of whether to hold a written or oral hearing would be solely 
    within the appellate officer's discretion and could not be appealed to 
    the Regional Director.
        The appellate officer could order a written hearing on a 
    determination that the issues presented in an appeal could be resolved 
    by allowing the appellant an opportunity to respond through written 
    submissions. The written hearing process would be the preferred method 
    of resolving issues unless the appellate officer determined that an 
    oral hearing is necessary. The appellate officer might decide to order 
    an oral hearing on one or more issues after beginning the written 
    hearing process.
        On ordering a written hearing, the appellate officer would provide 
    the appellant with notice that a written hearing has been ordered, 
    provide the appellant with a statement of issues to be determined, and 
    provide the appellant with 30 days to file a written response, which 
    might include affidavits from the appellant or other witnesses. The 
    statement of issues would provide the appellant with information 
    concerning the issues to be determined at hearing by the appellate 
    officer. This statement would help to focus the appellant on pertinent, 
    rather than extraneous, issues. The appellate officer might, at his/her 
    sole discretion, extend the 30-day filing period for the written 
    response if the appellant shows good cause for failing to meet the 
    deadline. This extension would be provided only in cases in which the 
    appellant could not respond within the time period. The success of the 
    IFQ program depends on the timely disposition of all appeals. 
    Extensions for an unjustified failure to meet filing deadlines would 
    not be allowed.
        The appellate officer would order an oral hearing on a 
    determination that an oral hearing is necessary to resolve one or more 
    issues presented in the appeal. As explained above, the decision to 
    order either an oral or written hearing lies solely within the 
    appellate officer's discretion. On ordering an oral hearing, the 
    appellate officer would provide the appellant with notice that an oral 
    hearing has been ordered, provide the appellant with a statement of 
    issues to be determined by the hearing process, and provide the 
    appellant with notice, at least 30 days in advance, of the place, date, 
    and time of the oral hearing. Hearings would be held in Juneau at the 
    prescribed date and time, unless the appellate officer determines, 
    based upon good cause shown, that a different place, date, or time 
    would better serve the interests of justice. As explained above, 
    routine delays would not be allowed, and the ordering of continuances, 
    like extensions, would be solely within the appellate officer's 
    discretion.
        The proposed rule would allow appellate officers to order pre-
    hearing conferences. The pre-hearing conference could be used to 
    simplify the issues, obtain stipulations and admissions of facts, and 
    discuss the possibility of settlement without further proceedings. 
    Simplifying the issues would increase the efficiency of the hearing 
    process by ensuring that the appellant's time and effort are not wasted 
    on extraneous issues. Stipulations, which are conditions that are 
    specified and agreed on in advance, and admissions of fact, which are 
    admissions that certain facts are not in dispute and do not need to be 
    proved, would assist in streamlining the hearing process. Settlements 
    could be beneficial to all parties concerned, allowing for the 
    resolution of some issues without the time and cost that would be 
    associated with using the entire hearing process. The formal rules of 
    evidence would not apply.
        The appellate officer would have authority to conduct hearings in 
    an orderly manner, including the powers specifically listed in proposed 
    Sec. 676.25(i). In addition, NMFS is considering whether the appellate 
    officers have the legal authority to (1) issue subpoenas to compel 
    testimony and the production of documentary evidence, and (2) take 
    depositions and cause depositions to be taken. Although these 
    additional powers are not specifically enumerated in proposed 
    Sec. 676.25(i), NMFS nevertheless requests public comment on the 
    authority for, and advisability of, granting appellate officers these 
    powers.
        To provide for the integrity of the process, appellate officers 
    would withdraw from an appeal at any time they deem themselves 
    disqualified. This could occur because of financial connection to the 
    case, ex parte communications, or some other personal bias. In 
    addition, appellants would be able to request withdrawal of the 
    appellate officer. An appellate officer might withdraw upon the 
    appellant's motion if it was entered prior to the issuance of a 
    decision and the appellant demonstrated personal bias or other basis 
    for disqualification. If the appellate officer denies the motion to 
    withdraw, he/she would have to do so on the record.
        At the conclusion of the hearing, whether oral or written, the 
    appellate officer would close the record and issue a decision. The 
    proposed rule would require that the appellate officer's decision be 
    based solely on the record of the proceedings, ensuring that the 
    appellant would have the opportunity to review all information that was 
    used in the decision-making process. This requirement would also 
    establish a record for review on appeal.
    
    Appeal to the Regional Director
    
        An appellant whose interests are directly and adversely affected by 
    an appellate officer's decision would have an opportunity to appeal 
    that decision to the Regional Director. A written appeal to the 
    Regional Director would have to be filed within 45 days of the issuance 
    of the appellate officer's decision. If the appellate officer's 
    decision was not appealed within this 45-day period, that decision 
    would become effective upon the expiration of the time period and would 
    be considered a final agency action. A 45-day period is proposed 
    because it is long enough to provide the appellant with reasonable time 
    to prepare an adequate appeal to the Regional Director, but not be too 
    long as to unduly delay the appeals process. An appeal to the Regional 
    Director would have to clearly and concisely state the reasons why the 
    appellate officer's decision has a direct and adverse effect on the 
    appellant, or other party, and should be modified, reversed, or 
    remanded.
        The Regional Director would resolve the appeal based solely on the 
    record as developed by the appellate officer and would not hold another 
    hearing. Another hearing at this stage of the process is unnecessary 
    because all evidence and testimony for the proper disposition of issues 
    should have been presented to the appellate officer and would be in the 
    record. The appellate officer's decision would be affirmed by either 
    the Regional Director denying the appeal or issuing an order affirming 
    the appellate officer's decision. The Regional Director could deny 
    appeals that are submitted after the 45-day period or appeals that did 
    not articulate a sufficient basis to modify, remand, or reverse the 
    appellate officer's decision. The Regional Director could also order 
    that an appellate officer's decision be modified or reversed, or 
    remanded to an appellate officer for further proceedings consistent 
    with the Regional Director's decision. In all cases, the Regional 
    Director would issue a written decision explaining the reasons for the 
    determination. Unless a remand was ordered, a decision by the Regional 
    Director would be a final agency action subject to judicial review. In 
    the case of a remand, the appellate officer would need to conduct 
    further proceedings consistent with the Regional Director's decision.
    
    Classification
    
        This proposed rule is designed to implement the appeals portion of 
    the IFQ program, a program intended by the Council to promote the 
    conservation and management of the halibut and sablefish resources, and 
    to further the objectives of the Magnuson Act and the Halibut Act. This 
    proposed rule is consistent with the national standards, other 
    provisions of the Magnuson Act, the Halibut Act, and other applicable 
    laws.
        A regulatory flexibility analysis was prepared for the IFQ program, 
    describing the effects of this program on small entities. This analysis 
    was contained in the FEIS for the IFQ program. The Secretary of 
    Commerce concluded that the IFQ program would have a significant 
    economic impact on a substantial number of small entities based on this 
    analysis. Any effect of this proposed rule, which implements the 
    appeals process for the IFQ program, was included in this prior 
    analysis.
        This proposed rule contains a collection of information requirement 
    subject to the Paperwork Reduction Act of 1980. The estimated response 
    time for the collection of information required to file an appeal to a 
    QS application is 4 hours. The collection of information has been 
    approved by the Office of Management and Budget, OMB control numbers 
    0648-0272 (IFQs for Pacific Halibut and Sablefish in the Alaska 
    Fisheries) and 0648-0269 (Western Alaska CDQ Program).
        This rule is not subject to review under E.O. 12866.
    
    List of Subjects in 50 CFR Part 676
    
        Fisheries; Reporting and recordkeeping requirements.
    
        Dated: February 3, 1994.
    Nancy Foster,
    Deputy Assistant Administrator for Fisheries, National Marine Fisheries 
    Service.
        For the reasons set out in the preamble, 50 CFR part 676 is 
    proposed to be amended as follows:
    
    PART 676--LIMITED ACCESS MANAGEMENT OF FEDERAL FISHERIES IN AND OFF 
    ALASKA
    
        1. The authority citation for 50 CFR part 676 continues to read as 
    follows:
    
    
        Authority: 16 U.S.C. 773 et seq. and 16 U.S.C. 1801 et seq.
    
        2. In Sec. 676.25, the text is added to read as follows:
    
    
    Sec. 676.25  Determinations and appeals.
    
        (a) General. The following section describes the procedure for 
    appealing initial administrative determinations and appellate officers' 
    decisions made under 50 CFR part 676.
        (b) Who May Appeal. Any person whose interest is directly and 
    adversely affected by either an initial administrative determination or 
    an appellate officer's decision may file a written appeal. For purposes 
    of this section, such a person will be referred to as ``applicant'' or 
    ``appellant''.
        (c) Submission of Appeals. Appeals must be in writing and must be 
    submitted in original form to NMFS, P.O. Box 21668, Juneau, AK 99802; 
    or to NMFS, 709 W 9th, room 413, Juneau, AK 99801. Appeals transmitted 
    by electronic means will not be accepted.
        (d) Time Periods for Appeals and Date of Filing. (1) Appeals must 
    be filed within the following time periods:
        (i) Appeals from initial administrative determinations must be 
    filed within 90 days of the date the determination was made; and
        (ii) Appeals from appellate officers' decisions must be filed 
    within 45 days of the date the decision was issued.
        (2) The time periods within which appeals must be filed begin to 
    run on the date of issuance of the initial administrative determination 
    or appellate officer's decision that gives rise to the appeal. 
    Saturdays, Sundays, and Federal holidays will not be included in 
    computing such time periods, which conclude at the close of business of 
    the final enumerated day, except that when such time periods conclude 
    on a Saturday, Sunday, or Federal holiday, such periods will be 
    extended to the close of business on the next business day.
        (3) For purposes of this section, the date of filing is the date 
    the appeal is received by NMFS.
        (4) All other time periods established under this section will be 
    computed in a manner consistent with the provisions of paragraphs 
    (d)(2) and (3) of this section.
        (e) Address of Record. NMFS will establish as the address of record 
    the address used by the applicant in initial correspondence to NMFS, 
    Restricted Access Management, after the application period has begun. 
    Notices of all actions affecting the applicant after establishing an 
    address of record will be mailed to that address unless the applicant 
    provides NMFS, in writing, with any changes to that address. NMFS bears 
    no responsibility if a notice is sent to the address of record and is 
    not received because the applicant's actual address has changed without 
    notification to NMFS.
        (f) Statement of Reasons for Appeals from Initial Determinations. 
    Applicants must timely submit a full written statement in support of 
    the appeal, including a concise statement of the reasons why the 
    initial administrative determination has a direct and adverse effect on 
    the applicant and should be reversed or modified. If the applicant 
    requests a hearing on any issue presented in the appeal, such request 
    for hearing must be accompanied by a concise written statement raising 
    genuine and substantial issues of adjudicative fact for resolution and 
    a list of available and specifically identified reliable evidence upon 
    which the factual issues can be resolved. The appellate officer will 
    limit his/her review to the issues stated in the appeal; all issues not 
    set out in the appeal will be waived.
        (g) Decision Whether to Order a Hearing. The appellate officer will 
    review the applicant's appeal and request for hearing and, at his/her 
    sole discretion, proceed as follows:
        (1) Deny the appeal. A decision to deny the appeal may be appealed 
    to the Regional Director as provided in paragraph (o) of this section;
        (2) Issue a decision on the merits of the appeal if the record 
    contains sufficient information on which to reach final judgment. A 
    decision on the merits of the appeal may be appealed to the Regional 
    Director as provided in paragraph (o) of this section; or
        (3) Order that a hearing be conducted. The appellate officer may so 
    order only if the appeal demonstrates the following:
        (i) There is a genuine and substantial issue of adjudicative fact 
    for resolution at a hearing. A hearing will not be ordered on issues of 
    policy or law;
        (ii) The factual issue can be resolved by available and 
    specifically identified reliable evidence. A hearing will not be 
    ordered on the basis of mere allegations or denials or general 
    descriptions of positions and contentions;
        (iii) The evidence described in the request for hearing, if 
    established at hearing, would be adequate to justify resolution of the 
    factual issue in the way sought by the applicant. A hearing will not be 
    ordered if the evidence described is insufficient to justify the 
    factual determination sought, even if accurate; and
        (iv) Resolution of the factual issue in the way sought by the 
    applicant is adequate to justify the action requested. A hearing will 
    not be ordered on factual issues that are not determinative with 
    respect to the action requested.
        (h) Types of Hearings. If the appellate officer determines that a 
    hearing should be held to resolve one or more genuine and substantial 
    issues of adjudicative fact, he/she may order:
        (1) A written hearing, as provided in paragraph (m) of this 
    section; or
        (2) An oral hearing, as provided in paragraph (n) of this section.
        (i) Authority of the Appellate Officer. The appellate officer is 
    vested with general authority to conduct all hearings in an orderly 
    manner, including the authority to:
        (1) Administer oaths;
        (2) Call and question witnesses; and
        (3) Issue a written decision based on the record.
        (j) Evidence. All evidence that is relevant, material, reliable, 
    and probative may be included in the record. Formal rules of evidence 
    do not apply to hearings conducted under this section.
        (k) Appellate Officer Decisions. The appellate officer will close 
    the record and issue a decision after he/she determines that there is 
    sufficient information on the record of the proceedings and all 
    procedural requirements have been met. The decision must be based 
    solely on the record of the proceedings. Appellate officers' decisions 
    will become effective 45 days after the date the decision is issued, 
    unless appellant files a timely appeal to the Regional Director in 
    accordance with paragraph (o) (1) and (2) of this section, or the 
    Regional Director orders review of the appellate officer's decision in 
    accordance with paragraph (o)(4) of this section.
        (l) Disqualification of an Appellate Officer. (1) The appellate 
    officer will withdraw from an appeal at any time he/she deems himself/
    herself disqualified.
        (2) The appellate officer may withdraw from an appeal on an 
    appellant's motion if:
        (i) The motion is entered prior to the appellate officer's issuance 
    of a decision; and
        (ii) The appellant demonstrates that the appellate officer has a 
    personal bias or any other basis for disqualification.
        (3) If the appellate officer denies a motion to withdraw, he/she 
    will so rule on the record.
        (m) Written Hearing. (1) An appellate officer may order a written 
    hearing under paragraph (h)(1) of this section if he/she:
        (i) Orders a hearing as provided in paragraph (g)(3) of this 
    section; and
        (ii) Determines that the issues to be resolved at hearing can be 
    resolved by allowing the appellant to present written materials to 
    support his/her position.
        (2) After ordering a written hearing, the appellate officer will:
        (i) Provide the appellant with notice that a written hearing has 
    been ordered;
        (ii) Provide the appellant with a statement of issues to be 
    determined at hearing; and
        (iii) Provide the appellant with 30 days to file a written 
    response. The appellant may also provide documentary evidence to 
    support his/her position. The period to file a written response may be 
    extended at the sole discretion of the appellate officer if the 
    appellant shows good cause for the extension.
        (3) The appellate officer may, after reviewing the appellant's 
    written response and documentary evidence:
        (i) Order that an oral hearing be held, as provided in paragraph 
    (h)(2) of this section, to resolve issues that cannot be resolved 
    through the written hearing process;
        (ii) Request supplementary evidence from the appellant before 
    closing the record; or
        (iii) Close the record.
        (4) The appellate officer will close the record and issue a 
    decision after he/she determines there is sufficient information on the 
    record. This decision will be considered final for purposes of appeal 
    to the Regional Director as provided in paragraph (o) of this section.
        (n) Oral Hearing. (1) The appellate officer may order an oral 
    hearing under paragraphs (h)(2) and (m)(3)(i) of this section if he/
    she:
        (i) Orders a hearing as provided in paragraph (g)(3) of this 
    section; and
        (ii) Determines that the issues to be resolved at hearing can best 
    be resolved through the oral hearing process.
        (2) After ordering an oral hearing, the appellate officer will:
        (i) Provide the appellant with notice that an oral hearing has been 
    ordered;
        (ii) Provide the appellant with a statement of issues to be 
    determined at hearing; and
        (iii) Provide the appellant with notice, at least 30 days in 
    advance, of the place, date, and time of the oral hearing. Oral 
    hearings will be held in Juneau at the prescribed date and time, unless 
    the appellate officer determines, based upon good cause shown, that a 
    different place, date, or time will better serve the interests of 
    justice. A continuance of the oral hearing may be ordered at the sole 
    discretion of the appellate officer if the appellant shows good cause 
    for the continuance.
        (3) The appellate officer may, either at his/her own discretion or 
    on the motion of the appellant, order a pre-hearing conference, either 
    in person or telephonically, to consider:
        (i) The simplification of issues;
        (ii) The possibility of obtaining stipulations, admissions of 
    facts, and agreements to the introduction of documents;
        (iii) The possibility of settlement or other means to facilitate 
    resolution of the case; and
        (iv) Such other matters as may aid in the disposition of the 
    proceedings.
        (4) The appellate officer must provide the appellant with notice of 
    a pre-hearing conference, if one is ordered, at least 30 days in 
    advance of the conference. All action taken at the pre-hearing 
    conference will be made part of the record.
        (5) At the beginning of the oral hearing, the appellate officer may 
    first seek to obtain stipulations as to material facts and the issues 
    involved and may state any other issues on which he/she may wish to 
    have evidence presented. Issues to be resolved at the hearing will be 
    limited to those identified by the appellate officer as provided in 
    paragraph (g)(3) of this section. The appellant will then be given an 
    opportunity to present his/her case.
        (6) During the oral hearing, the appellant has the right to present 
    reliable and material oral or documentary evidence and to conduct such 
    cross-examination as may be required in the interests of justice.
        (7) After the conclusion of the oral hearing the appellant may be 
    given time by the appellate officer to submit any supplementary 
    information that may assist in the resolution of the case.
        (8) The appellate officer will close the record and issue a 
    decision on the appeal after he/she determines there is sufficient 
    information on the record. This decision will be considered final for 
    purposes of appeal to the Regional Director as provided in paragraph 
    (o) of this section.
        (o) Appeals to the Regional Director. An appellant may appeal an 
    appellate officer's decision to the Regional Director. All such appeals 
    must be filed with the Regional Director within the time period 
    established in paragraph (d)(1)(ii) of this section.
        (1) An appeal to the Regional Director of an appellate officer's 
    decision must be accompanied by a full written statement in support of 
    the appeal, including a concise statement of the reasons why the 
    appellate officer's decision has a direct and adverse effect on the 
    appellant and should be modified, reversed, or remanded.
        (2) The Regional Director may order a review of the appellate 
    officer's decision and may issue a decision on review that modifies or 
    reverses the appellate officer's decision, or remands that decision to 
    the appellate officer for further proceedings consistent with the 
    decision on review. The Regional Director's decision will be based 
    solely on the record as developed by the appellate officer.
        (3) If the Regional Director denies the appeal, the appellate 
    officer's decision is affirmed, and the action is a final agency action 
    subject to judicial review under 5 U.S.C. 704.
        (4) Within 45 days of the date the appellate officer's decision is 
    issued, the Regional Director may, at his/her own discretion, order 
    review of any appellate officer's decision. If the Regional Director 
    orders review of an appellate officer's decision, the Regional Director 
    must notify the appellant and prepare an order that affirms, modifies, 
    reverses, or remands the decision to the appellate officer for further 
    proceedings consistent with the decision on review. If the appellate 
    officer's decision is modified or reversed, the Regional Director must 
    issue a written decision explaining the reasons for his/her 
    determination. Unless a remand is ordered, the Regional Director's 
    decision is a final agency action subject to judicial review under 5 
    U.S.C. 704.
    [FR Doc. 94-2871 Filed 2-8-94; 8:45 am]
    BILLING CODE 3510-22-P
    
    
    

Document Information

Published:
02/09/1994
Department:
Commerce Department
Entry Type:
Uncategorized Document
Action:
Proposed rule; request for comments.
Document Number:
94-2871
Pages:
0-0 (1 pages)
Docket Numbers:
Federal Register: February 9, 1994, Docket No. 940103-4003, I.D. 122893B
RINs:
0648-AD19
CFR: (2)
50 CFR 676.25(i)
50 CFR 676.25