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subpoena requiring the appearance of an or of an appeals officer on the Interstate official or employee of the Office of Inter- Land Sales Board rests, in whole or in state Land Sales Registration shall be part, upon the taking of official notice of made in the form of a written motion a material fact not appearing in evidence filed in accordance with the provisions of of record opportunity to disprove such $ 1720.230.

noticed fact shall be granted any party (b) The motion shall specify as ex- making timely request therefor. actly as possible the material to be produced, the nature of the material to be

8 1720.320 Reporting and transcription. produced, the nature of the informa- Hearings shall be stenographically or tion to be disclosed or the expected testi

mechanically reported and transcribed mony of the official or employee of tho under the supervision of the hearing exOffice of Interstate Land Sales Registra- aminer. The original transcript shall be tion and shall contain a statement show- & part of the record and the sole official ing the general relevancy of the material, transcript. Copies of transcripts are information, or testimony and the rea- available from the reporter at rates not sonableness of the scope of the appli

to exceed the maximum rates fixed by cation, together with a showing that such contract between the Secretary or his material, information, or testimony is not designee and the reporter. available from other sources by voluntary

$ 1720.325 Corrections. methods or through other provisions of the rules in this subpart.

Corrections of the official transcript (c) Applications in the form of written

ordered by the administrative law judge motions shall be ruled upon by the ad

shall be included in the record. Correcministrative law judge and to the extent

tions shall not be ordered by the administhat such a motion is granted provision

trative law judge except upon notice and shall be made for such terms and condi

opportunity for the hearing of objections relating to the production of the

tions. Such corrections shall be made by material, the disclosure of the informa

the reporter by furnishing substitute tion or the appearance of the official or

pages, under the usual certificate of the employee of the Office of Interstate Land

reporter, for insertion in the official Sales Registration as may appear neces

record. sary and appropriate for the protection & 1720.330 Proposed findings, concluof the public interest.

sions, and order. (d) Appeals to the appeals officer on

The administrative law judge may fix the Interstate Land Sales Board from rulings on motions to limit or quash

a reasonable time, not to exceed 30 days

after the close of the evidence, during subpoenas within the scope of paragraph (a) of this section shall be made on the

which any party may file with the ad

ministrative law judge proposed findings record and shall be in the form of a brief not to exceed 30 pages in length which

of fact, conclusions of law and rules or

orders together with briefs in support shall be filed within 5 days after notice

thereof. Such proposals shall be in writof the ruling is received by the objecting

ing, shall be served upon all parties and party. Any answer to such appeal shall

shall contain adequate references to the be filled within 5 days after service of the record and to authorities relied on. The appeal brief. The appeal shall not operate record shall show the administrative law to suspend the hearing unless otherwise judge's ruling on each proposed finding ordered by the administrative law judge and conclusion, except when his rule or or the appeals officer.

order disposing of the proceeding other§ 1720.300 Official notice.

wise informs the parties of the action

taken by him thereon. Official notice may be taken of any material fact which might be judicially

$ 1720.345 Initial decisions: Time for noticed by a District Court of the United

filing; when effective. States, any matter in the public official (a) The administrative law judge records of the Office of Interstate Land shall make and file an initial decision Sales Registration or any matter which is within 60 days after the close of the takpeculiarly within the knowledge of the ing of evidence in cases in which a hearappeals officer on the Interstate Land ing is held. Sales Board; provided, that when any (b) The initial decision shall become decision of an administrative law judge the decision of the Secretary 30 days after service thereof upon the parties f 1720.380 Reply brief. unless one of the following occurs:

A brief in reply to an answering brief, (1) An appeal is perfected under limited to rebuttal of matters in the an$ 1720.365. (2) The appeals officer on the Inter

swering brief, may be filed and served

by & party within 7 days after restate Land Sales Board by order stays

ceipt of the answering brief or the day the effective date of the decision.

preceding oral argument whichever is § 1720.350 Initial decision-content. earlier. No answer to a reply brief will The initial decision shall include &

be permitted. statement of (a) findings, with specific

(88 FR 23899, Sept. 4, 1973; 38 FR 32445,

Nov. 26, 1973) references to principal supporting items of evidence in the record and conclusions, & 1720.385 Length and form of briefs. as well as the reasons or bases therefor,

(a) No brief shall exceed 60 pages in upon all of the material issues of fact,

length except with the permission of the law or discretion presented on the rec

administrative law judge or the appeals ord, and (b) an appropriate order. The

officer on the Interstate Land Sales initial decision shall be based upon a

Board and shall contain, in the order consideration of the whole record and

indicated, the following: supported by reliable, probative and sub

(1) The title of the proceeding, file stantial evidence.

number, the name of the party on whose 8 1720.360 Reopening of proceeding by behalf it is submitted and the name and

administrative law judge; termina- address of his attorney in the matter on tion of jurisdiction.

the front cover or title page. (a) At any time prior to the filing

(2) Subject index with page referof his initial decision, administrative law

ences. Judge may reopen the proceeding for the

(3) Table of cases alphabetically arreception of further evidence.

ranged, statutes, texts, and other author(b) Except for the correction of cler

ities and materials cited, with page

references. ical errors, the jurisdiction of the administrative law judge is terminated

(4) A concise statement of the facts upon the filing of his initial decision un

of the case, without argument. less and until the proceeding is remanded

(5) A concise statement of the questo him by the appeals officer on the

tions sought to be raised. Interstate Land Sales Board.

(6) The argument, presenting clearly

the points of fact and law relied upon $ 1720.365 Appeal from initial decision.

in support of the position taken on (a) Notice of intention. Any party to each question with specific page refera proceeding may appeal an initial de- ences to the record so far as available, cision to an appeals officer on the Inter- and to legal authority or other material state Land Sales Board: Provided, That relied upon in support of statements conwithin 10 days after the completion of tained in the agrument. service of the initial decision such party

f 1720.390 Oral argument. files a notice of intention to appeal.

(b) Appeal brief. The appeal shall be Oral arguments will not be heard in perfected by filing and serving on all cases on appeal to the appeals officer parties to the proceeding a brief con- on the Interstate Land Sales Board unless forming to § 1720.385 to be filled within the officer otherwise orders, and steno30 days after completion of service of graphic or mechanical record of such the initial decision. In addition, the ap- oral argument may be made, in the peal brief shall contain a proposed form officer's discretion. The purpose of oral of rule or order for the consideration of argument is to emphasize and clarify the the appeals officer on the Interstate Land written argument appearing in the briefs Sales Board in lieu of the rule or order and to answer questions. contained in the initial decision.

§ 1720.400 Decision on appeal or review. § 1720.375 Answering brief.

(a) Upon appeal from or review of an Within 20 days after service of an initial decision, the appeals officer on appeal brief upon a party, such party the Interstate Land Sales Board will conmay file an answering brief conforming sider such parts of the record as are to the requirements of $ 1720.385.

cited or as may be necessary to resolve

[blocks in formation]

the issues and, in addition, will, to the extent necessary or desirable, exercise all the powers which he could have exercised if he had made the initial decision. Unless exceptional circumstances are present, however, all appeals and reviews will be determined upon the record made before the administrative law judge.

(b) In rendering his decision, the appeals officer may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, the initial decision by the hearing officer, and shall include in his decision a statement of the reasons or bases for his action and any concurring or dissenting opinions.

(c) In those cases where the appeals oficer believes that he should have further information or additional arguments of the parties as to the form and content of the rule or order to be issued, he may withhold final decision pending the receipt of such additional information or argument under procedures specified.

(d) The decision of the appeals oficer shall be final, and shall become the decision of the Secretary 30 days after servico thereof upon the parties, unless the appeals oficer determines that the protection of the public interest necessitates an earlier effective date under the circumstances, in which event he will specify in the order his specific findings as to such eircumstances. 8 1720.405 Reconsideration.

Within 10 days after completion of service of a decision by an appeals officer on the Interstate Land Sales Board, any party may file with the Interstate Land Sales Board a petition for reconsideration of such decision, setting forth the relief desired and the grounds in support thereof. Any petition filed hereunder must relate to new questions raised by the decision or final order and upon which the petitioner had no opportunity to argue before an appeals officer on the Interstate Land Sales Board. Any party desiring to oppose such a petition shall file an answer thereto within 10 days after service upon him of the petition. The filing of a petition for reconsideration shall not operate to stay the effective date of the decision or order to toll the running of any statutory period affecting such decision or order unless specifically so ordered by the Interstate Land Sales Board.

(a) Members of the bar of a Federal Court or of the highest court of any state or of the United States are eligible to practice before the Secretary. No register of attorneys will be maintained.

(b) Any individual or member of a partnership involved in any proceeding or investigation may appear on behalf of himself or of such partnership upon adequate identification. A corporation or association may be represented by a bona fide officer thereof upon & showing of adequate authorization.

(c) A person shall not be represented except as stated in paragraphs (a) and (b) of this section unless otherwise permitted. 1720.415 Restrictions on appearances

as to former officers and employees. (a) Except as specifically authorized by the Secretary, no former officer or employee of the Department of Housing and Urban Development shall appear as attorney or counsel or otherwise participate through any form of professional consultation or assistance in any proceeding or investigation, formal or informal, which was pending in any manner in the Ofice of Interstate Land Sales Registration while such former officer or employee served with the Department of Housing and Urban Development.

(b) In cases to which paragraph (a) of this section is applicable, a former officer or employee of the Department of Housing and Urban Development may request authorization to appear or participate in a proceeding or investigation by filing with the Secretary a written application disclosing the following relevant information: (1) The nature and extent of the former officer's or employee's participation in, knowledge of, and connection with the proceeding or investigation during his service with the Department of Housing and Urban Development; (2) whether the files of the proceeding investigation came to his attention; (3) whether he was employed in the same office, division, or administrative unit in which the proceeding or investigation is or has been pending; (4) whether he worked directly or in close association with Office of Interstate Land Sales Registration personnel assigned to the proceeding or investigation; (5) whether during his service with the Department of Housing and Urban Development he was engaged in any matter concerning the individual, company, or industry in the proceeding or investigation.

(c) The requested authorization will not be given in any case (1) where it appears that the former officer or employee during his service with the Department of Housing and Urban Development participated personally and substantially in the proceeding or investigation, or (2) where the application is filed within one (1) year after termination of the former officer's or employee's service with the Department of Housing and Urban Development and it appears that within a period of one (1) year prior to the termination of his service the proceeding or investigation was within the official responsibility of the former officer or employee. In other cases, authorization will be given where the Secretary is satisfied that the appearance or participation will not involve any actual conflict of interest or impropriety thereof.

(d) In any case in which a former oficer or employee of the Department of Housing and Urban Development is prohibited under this section from appearing or participating in a proceeding or investigation, any partner or legal or business associate of such former oficer or employee shall likewise be so prohibited unless: (1) Such partner or legal or business associate files with the Secretary an affidavit that in connection with the matter the services of the disqualified former officer or employee will not be utilized in any respect and the matter will not be discussed with him in any manner, and that the disqualified former officer or employee shall not share, directly or indirectly, in any fees or retainers received for services rendered in connection with such proceeding or investigation; (2) the disqualified former officer or employee files an affidavit stating that he will not participate in the matter in any manner, and that he will not discuss it with any person involved in the matter; and (3) upon the basis of such afidavits, the Secretary determines that the appearance or participation by the partner or associate would not involve any actual conflict of interest or impropriety thereof.

8 1720.425 Standards of practice.

(a) Attorneys shall conform to the standards of professional and ethical conduct required by practitioners in the courts of the United States and by the bars of which the attorneys are members.

(b) The privilege of appearing or practicing may be denied, temporarily or permanently, to any person who is found after notice and opportunity for hearing which at his request or in the discretion of the Secretary may be private, and for presentation of oral argument in the matter (1) not to possess the requisite qualifications to represent others, or (2) to be lacking in character or integrity or (3) to have engaged in unethical or improper professional conduct.

(c) Contemptuous conduct at any hearing shall be grounds for summary exclusion from said hearing for the duration of the hearing. 8 1720.430 Form and filing require

ments. (a) Filing. Except as otherwise permitted, six copies of all documents shall be filed with the Ofice of Interstate Land Sales Registration, Department of HOUSing and Urban Development, Washington, D.C. 20411, on official work days between the hours of 8:45 a.m. and 5:15 p.m.

(b) Title. Documents shall clearly show the file, docket number, and title of the action in connection with which they are filed.

(c) Form. Except as otherwise permitted, all documents shall be printed, typewritten, or otherwise processed in clear legible form and on good unglazed paper. $ 1720.435 Time computation.

Computation of any period of time prescribed or allowed by the rules and regulations in this part, or by order of the Secretary or his designee or of an administrative law judge, shall begin with the first business day following that on which the act, event, development or default initiating such period of time shall have occurred. When the last day of the period so computed is a Saturday, Sunday, or national holiday, or other day on which the Department of Housing and Urban Development is closed, the period shall run until the end of the next following business day. Except when any prescribed or allowed period of time is 7


days or less, each of the Saturdays, Sun- serving the attorney, except that subdays, and national holidays shall be in- poenas and other orders by which such cluded in the computation of the pre- person may be brought in contempt shall scribed or allowed period.

be served upon him by one of the methods & 1720.440 Service.

described in paragraphs (b) and (c) of

this sectio In any case, copies of docuService of notices, orders, processes, ments not served by serving such attordeterminations and other documents re- ney shall be promptly sent to him; but quired or permitted to be served under service on such person shall be effective these rules may be effected as follows: without proof that copies so sent were

(a) Upon the Secretary. By personal received. delivery at the office, or by registered or (e) Proof of service. Proof of service certified mail addressed to the office of shall not be required unless the fact of any of the following officials in the Office service is seasonably put in Issue by apof Intrastate Land Sales Registration: propriate motion or objection on the part Administrator; Deputy Administrator; of the person allegedly served or other Assistant Deputy Administrator; Direc- party. In such cases, service may be tor, Examination Division; or Director, established by written admission signed Administrative Proceedings Division. by or on behalf of the person to be served,

(b) Upon any other person. By deliv- or may be established prima facie by ery of a copy of the documents to the affidavit or certificate of service or mailperson to be served wherever he may be ing, as appropriate. When service is by found, or by leaving such copy at his registered or certified mail, it is complete office or place of business with a person upon delivery of the document by the apparently in charge thereof, or, if there post ofice. is no one in charge or if the office is closed or if he has no ofice, by leaving &

Subpart F- Interstate Land Sales Board

and Appeals Officers copy at his residence with some person of suitable age and discretion then re- 8 1720.500 Functions of the Interstate siding therein, or by sending a copy by

Land Sales Board and appeals officers. registered or certified mail, return receipt There is hereby established within the requested, addressed to the person at his Department of Housing and Urban Delast known residence, or at his or its last velopment an Interstate Land Sales known principal office or place of busi- Board, the members of which are designess. If the address of the residence, nated as appeals officers and may be apprincipal office, or place of business is pointed from time to time by the Secreunknown and cannot with due diligence tary. The functions, powers, and responbe ascertained, service by mail may be sibilities delegated to an appeals officer made to any office at which the person to designated from the Board as the aube served is known to be employed. thorized representative of the Secretary

(c) Service on corporations, partner- shall be to hear, consider and determine ships, associations, other entities. Service fully and finally appeals from decisions may be made upon any corporation, part- made pursuant to the rules in this part nership, business association or other by administrative law judge and to conentity by serving any officer, director, duct hearings pursuant to 15 U.S.C. 1715. partner, trustee, agent for service or managing agent thereof. A managing

§ 1720.510 Composition of the Inter

state Land Sales Board. agent, within the meaning of this subsection, is an agent having the principal The Board shall consist of four (4) apmanagerial responsibility in connection pointed employees of the Department of with the regular operation of a distinct Housing and Urban Development desigoffice or activity of the enterprise. nated as appeals officers, other than em(d) Service through attorney. When a

ployees in the Office of Interstate Land person other than the Secretary and his

Sales Registration. An appeals officer on staff shall have appeared of record in a

the Board shall be available at all times proceeding, generally or specially, by

for the hearing of each appeal. Records attorney, all subsequent services of of proceedings before an appeals officer notices, orders, processes, and other doc- shall be kept by a Secretary to the Board uments in connection with such proceed- who shall be an employee of the Office ing may be made upon such person by of General Counsel.

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