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that delay or a stay is in the public interest. [44 FR 22367, Apr. 13, 1979, as amended at 49 FR 32173, Aug. 13, 1984]
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. [44 FR 22367, Apr. 13, 1979, as amended at 47 FR 26375, June 18, 1982; 54 FR 9037, Mar. 3, 1989]
§ 16.24 Regulatory hearing required by
the act or a regulation. (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.
(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
$ 16.26 Denial of hearing and summary
decision. (a) A request for a hearing may be denied, in whole or in part, if the Commissioner or the FDA official to whom the authority to make the final decision on the matter has been delegated under part 5 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.
[53 FR 4615, Feb. 17, 1988]
Subpart C-Commissioner and
$ 16.40 Commissioner.
Whenever the Commissioner has delegated authority under part 5 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. [44 FR 22367, Apr. 13, 1979, as amended at 54 FR 9037, Mar. 3, 1989)
$ 16.42 Presiding officer.
(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, 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 particip 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 he ng 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. [44 FR 22367, Apr. 13, 1979, as amended at 54 FR 9037, Mar. 3, 1989)
$ 16.44 Communication to presiding of
ficer and Commissioner. (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.
Subpart D-Procedures for
$ 16.60 Hearing procedure.
(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.
with a statement of reasons, unless the Commissioner directs otherwise.
(g) The presiding officer has the power to take such actions and make such rulings as are necessary or appropriate to maintain order and to conduct a fair, expeditious, and impartial hearing, and to enforce the requirements of this part concerning the conduct of hearings. The presiding officer may direct that the hearing be conducted in any suitable manner permitted by law and these regulations.
(h) The Commissioner or the presiding officer has the power under $ 10.19 to suspend, modify, or waive any provision of this part. [44 FR 22367, Apr. 13, 1979, as amended at 66 FR 6469, Jan. 22, 2001; 66 FR 12850, Mar. 1, 2001]
$ 16.62 Right to counsel.
Any party to a hearing under this part has the right at all times to be advised and accompanied by counsel.
(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 crossexamination 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 transcribed, at the party's expense, in which case a copy of the transcript is to be furnished to FDA. Any transcript of the hearing will be included with the presiding officer's report of the hearing.
(e) The presiding officer shall prepare a written report of the hearing. All written material presented at the hearing will be attached to the report. Whenever time permits, the parties to the hearing will be given the opportunity to review and comment on the presiding officer's report of the hearing.
(f) The presiding officer shall include as part of the report of the hearing a finding on the credibility of witnesses (other than expert witnesses) whenever credibility is a material issue, and shall include a recommended decision,
Subpart E-Administrative Record
$ 16.80 Administrative record of a reg
ulatory hearing. (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.
latory action which is the subject of a hearing under this part
$ 16.85 Examination of administrative
record. Part 20 governs the availability for public disclosure of each document that is a part of the administrative record of a regulatory hearing.
PART 17-CIVIL MONEY PENALTIES
$16.95 Administrative decision and
record for decision. (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) stitutes 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.
Sec. 17.1 Scope. 17.3 Definitions. 17.5 Complaint. 17.7 Service of complaint. 17.9 Answer. 17.11 Default upon failure to file an answer. 17.13 Notice of hearing. 17.15 Parties to the hearing. 17.17 Summary decisions. 17.18 Interlocutory appeal from ruling of
presiding officer. 17.19 Authority of the presiding officer. 17.20 Ex parte contacts. 17.21 Prehearing conferences. 17.23 Discovery. 17.25 Exchange of witness lists, witness
statements, and exhibits. 17.27 Hearing subpoenas. 17.28 Protective order. 17.29 Fees. 17.30 Computation of time. 17.31 Form, filing, and service of papers. 17.32 Motions. 17.33 The hearing and burden of proof. 17.34 Determining the amount of penalties
and assessments. 17.35 Sanctions. 17.37 Witnesses. 17.39 Evidence. 17.41 The administrative record. 17.43 Posthearing briefs. 17.45 Initial decision. 17.47 Appeals. 17.48 Harmless error. 17.51 Judicial review. 17.54 Deposit in the Treasury of the United
Subpart F-Reconsideration and
AUTHORITY: 21 U.S.C. 331, 333, 337, 351, 352, 355, 360, 3600, 360f, 360i, 360j, 371; 42 U.S.C. 262, 263b, 300aa-28; 5 U.S.C. 554, 555, 556, 557.
SOURCE: 60 FR 38626, July 27, 1995, unless otherwise noted.
$ 16.119 Reconsideration and stay of
action. 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. [44 FR 22367, Apr. 13, 1979, as amended at 54 FR 9037, Mar. 3, 1989]
$ 17.1 Scope.
This part sets forth practices and procedures for hearings concerning the administrative imposition of civil money penalties by FDA. Listed below are the statutory provisions that as of August 28, 1995, authorize civil money penalties that are governed by these procedures.
(a) Section 303 (b)(2) through (b)(4) of the Federal Food, Drug, and Cosmetic Act (the act) authorizing civil money penalties for certain violations of the
Subpart G-Judicial Review
$ 16.120 Judicial review.
Section 10.45 governs the availability of judicial review concerning any regu
act that relate to prescription drug marketing practices.
(b) Section 303(g) of the act authorizing civil money penalties for certain violations of the act that relate to medical devices.
(c) Section 307 of the act authorizing civil money penalties for certain actions in connection with an abbreviated new drug application or certain actions in connection with a person or individual debarred under section 306 of the act.
(d) Section 351(d)(2)(B) of the Public Health Service Act (the PHS Act) authorizing civil money penalties for violations of biologic recall orders. (e) Section 354(h)(2) of the PHS Act,
amended by the Mammography Quality Standards Act of 1992, authorizing civil money penalties for failure to obtain a certificate, failure to comply with established standards, among other things.
(f) Section 2128 of the PHS Act authorizing civil money penalties for intentionally destroying, altering, falsifying, or concealing any record or report required to be prepared, maintained, or submitted by vaccine manufacturers pursuant to that section of the PHS Act.
(4) Defective, for the purposes of interpreting 21 U.S.C. 333(g)(1)(B)(iii), includes any defect in performance, manufacture, construction, components, materials, specifications, design, installation, maintenance, or service of a device, or any defect in mechanical, physical, or chemical properties of a device.
(b) Person or respondent includes an individual, partnership, corporation, association, scientific or academic establishment, government agency or organizational unit thereof, or other legal entity, or as may be defined in the act or regulation pertinent to the civil penalty action being brought.
(c) Presiding officer means an administrative law judge qualified under 5 U.S.C. 3105.
(d) Any term that is defined in the act has the same definition for civil money penalty actions that may be brought under that act.
(e) Any term that is defined in Title 21 of the Code of Federal Regulations has the same definition for civil money penalty actions that may arise from the application of the regulation(s).
(f) Any term that is defined in the PHS Act has the same definition for civil money penalty actions that may be brought under that act.
(g) Departmental Appeals Board (DAB) means the Departmental Appeals Board of the Department of Health and Human Services.
$ 17.3 Definitions.
The following definitions are applicable in this part:
(a) For specific acts giving rise to civil money penalty actions brought under 21 U.S.C. 333(g)(1):
(1) Significant departure, for the purpose of interpreting 21 U.S.C. 333(g)(1)(B)(i), means a departure from requirements that is either a single major incident or a series of incidents that collectively are consequential.
(2) Knowing departure, for the purposes of interpreting 21 U.S.C. 333(g)(1)(B)(i), means a departure from a requirement taken: (a) With actual knowledge that the action is such a departure, or (b) in deliberate ignorance of a requirement, or (c) in reckless disregard of a requirement.
(3) Minor violations, for the purposes of interpreting 21 U.S.C. 333(g)(1)(B)(ii), means departures from requirements that do not rise to a level of a single major incident or a series of incidents that are collectively consequential.
§ 17.5 Complaint.
(a) The Center with principal jurisdiction over the matter involved shall begin all administrative civil money penalty actions by serving on the respondent(s) a complaint signed by the Office of the Chief Counsel attorney for the Center and by filing a copy of the complaint with the Dockets Management Branch (HFA-305), Food and Drug Administration, rm. 1-23, 12420 Parklawn Dr., Rockville, MD 20857.
(b) The complaint shall state:
(1) The allegations of liability against the respondent, including the statutory basis for liability, the identification of violations that are the basis for the alleged liability, and the reasons that the respondent is responsible for the violations;