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Part, and the place of filing is not speci deemed necessary, or upon fallure of the fied in this subpart or by role or order respondent to file an answer within the of the administrative law judge, the time prescribed in the complaint or as paper shall be filled with the Secretary, extended under $ 570.913(c) (5) (1), the Washington, D.C. 20410. All papers shall complaint (and answer, if one is filled) be filed in duplicate.
shall be referred to the administrative (iv) Motions and Requests. Motions law judge. Where an answer has been and requests shall be filled with the des filed, the administrative law judge shall ignated administrative law judge, ex set a time and place for hearing and cept that an application to extend the shall serve notice thereof upon the partime for filing an answer shall be filled ties at least 15 days in advance of the with the Secretary pursuant to $ 570.913 hearing date. (c) (4) (i).
(6) (1) If it appears to the Secretary (5) (1) Filing. The respondent's an that the respondent in its answer falsely swer shall be filed in writing within the and in bad faith, denies & material alletime specified in the complaint, unless gation of fact in the complaint or states on application the time is extended by that it has no knowledge sufficient to the Secretary. The respondent's answer form a belief, when in fact it does possess shall be filed in duplicate with the such information, or if it appears that Secretary.
the respondent has knowingly introduced (11) Contents. The answer shall con false testimony during the proceedings, tain a statement of facts which consti the Secretary may thereupon file suppletute the grounds of defense, and it shall mental charges against the respondent. specifically admit or deny each allegation Such supplemental charges may be tried set forth in the complaint, except that with other charges in the case, provided the respondent shall not deny a material the respondent is given due notice allegation in the complaint which it thereof and is afforded an opportunity knows to be true; nor shall a respondent to prepare its defense thereto. state that it is without sufficient infor (11) In the case of a variance between mation to form a belief when in fact the allegations in a pleading and the it possesses such information. The re evidence adduced in support of the pleadspondent may also state affirmatively ing, the administrative law judge may special matters of defense.
order or authorize amendment of the (1) Failure to deny or answer allega- pleading to conform to the evidence: tion in the complaint. Every allegation Provided, The party that would otherin the complaint which is not denied in wise be prejudiced by the amendment is the answer shall be deemed to be ad given reasonable opportunity to meet the mitted and may be considered as proved, allegation of the pleading as amended. and no further evidence in respect of The administrative law judge shall make such allegation need be adduced at a findings on any issue presented by the hearing.
pleadings as so amended. (iv) Failure to Alle answer. Failure to (111) A respondent may appear in perfile an answer within the time prescribed son through its chief executive officer in the complaint, except as the time for and must be represented by counsel. Reanswer is extended under $ 570.913(c) (5) spondent's counsel may also appear as a (1), shall constitute an admission of the witness in the proceeding. The Secretary allegations of the complaint and a waiver shall be represented by the General of hearing, and the administrative law Counsel of HUD. judge shall make his findings and deci (d) Administrative Law judge; powers. sion by default without a hearing or (1) Appointment. An administrative law further procedure.
judge, appointed as provided by Section (V) Reply to answer. No reply to the 11 of the Administrative Procedure Act respondent's answer is required unless (5 U.S.C. 3105), shall conduct proceedthe administrative law judge so requests. ings upon complaints filed under this Otherwise, the Secretary may file a reply subpart. in his discretion, but in any event within (2) Powers of administrative law 10 days from his receipt of respondent's judge. Among other powers provided by answer.
law, the administrative law judge's au(vi) Referral to administrative law thority, in connection with any proceedjudge. Upon receipt of the answer by the ing under this subpart, shall include Secretary or upon filing a reply if one is authority to:
(i) Administer oaths and affirmations;
(ii) Making ruling upon motions and requests. Prior to the close of the hearing no appeal shall lie from any such ruling except, at the discretion of the administrative law judge, in extraordinary circumstances;
(iii) Determine the time and place of hearing and regulate its course and conduct. In determining the place of hearing the administrative law judge may take into consideration the requests and convenience of the respondent or its counsel;
(iv) Adopt rules of procedure and modify the same from time to time as occasion requires for the orderly disposition of proceedings;
(v) Rule upon offers of proof, receive relevant evidence, and examine witnesses;
(vi) Take or authorize the taking of dispositions;
(vii) Receive and consider oral or written arguments on facts or law;
(viii) Hold or provide for the holding of conferences for the settlement or simplification of the issues by consent of the parties;
(ix) Perform such acts and take such measures as are necessary or appropriate to the efficient conduct of any proceeding; and
(x) Make initial findings and decision.
(e) Hearings. (1) In general: The administrative law judge shall preside at the hearing on a complaint. Testimony of witnesses shall be given under oath or affirmation. The hearing shall be stenographically recorded and transcribed. Hearings will be conducted pursuant to section 7 of the Administrative Procedure Act (5 U.S.C. 556).
(2) Failure to appear: If, after proper service and notice, a respondent fails to appear at the hearings, it shall be deemed to have waived the right to a hearing and the administrative law judge shall make his findings and decision against the respondent by default.
(3) Waiver of hearing: A respondent may waive the hearing by informing the administrative law judge, in writing on or before the date set for hearing, that it desires to waive hearing. In such event the administrative law judge shall make his findings and decision based upon the pleadings before him. The decision shall plainly show that the respondent waived hearing.
(4) The administrative law judge shall prior to or at the beginning of the
hearing require that the parties attempt to arrive at such stipulations as will eliminate the necessity of taking evidence with respect to allegations of facts concerning which there is no substantial dispute. The administrative law judge shall take similar action, where it appears appropriate, throughout the hearing and shall call and conduct any conferences which he deems advisable with a view to the simplification, clarification, and disposition of any of the issues involved.
(f) Evidence. (1) Any evidence which would be admissible under the rules of evidence governing proceedings in matters not involving trial by jury in the Courts of the United States, shall be admissible and controlling as far as possible. Provided that, the administrative law judge may relax such rules in any hearing when in his judgment, such relaxation would not impair the rights of either party and would more speedily conclude the hearing, or would better serve the ends of justice. Evidence which is irrelevant, immaterial or unduly repetitious shall be excluded by the administrative law judge.
(2) Depositions. The deposition of any witness may be taken pursuant to $ 570.913(g) and the deposition may be admitted.
(3) Proof of documents. Official documents, records and papers of a respondent shall be admissible as evidence without the production of the original provided that such documents, records and papers are evidenced as the original by a copy attested to or identified by the chief executive officer of the respondent or the custodian of the document, and contain the seal of the respondent.
(4) Exhibits. If any document, record, paper, or other tangible or material thing is introduced in evidence as an exhibit, the adminstratve law judge may authorize the withdrawal of the exhibit subject to any conditions he deems proper. An original document, paper or record need not be introduced and a copy duly certified (pursuant to paragraph (b) of this section) shall be deemed sufficient.
(5) Objections. Except as requested by counsel or the administrative law judge, oral or written objections to evidence shall be in short form, stating the grounds of objection relied upon, and the record shall not include subsequent argument thereon, except as permitted by the administrative law judge. Rulings on
such objections shall be a part of the
record. No exception to the ruling is of duplication. Copies of exhibits intronecessary to preserve the right of either duced at the hearings or at the taking of party to the proceeding.
depositions will be supplied to the parties (g) Depositions. (1) In general. Depo upon the payment of a reasonable fee sitions for use at a hearing may, with the (31 U.S.C. 483(a)). written approval of the administrative (i) Proposed findings and conclusions. law judge, be taken by either the Secre Except in cases where a respondent has tary or the respondent or their duly au failed to appear to answer the complaint thorized representatives. Depositions or has failed at the hearings, or has may be taken upon oral or written waived the hearing, the administrative interrogatories, upon not less than 15 law judge, prior to making his initial dedays written notice to the other party, cision, shall afford the parties a reasonbefore any officer duly authorized able opportunity to submit proposed to administer an oath for general pur findings and conclusions and supporting poses. Such written notice shall state the reasons therefor. names of the witnesses and the time and (j) Initial decision of the Administraplace where the depositions are to be tive Law Judge. Within 30 days after the taken. The requirement of 15 days writ conclusion of a hearing, the administraten notice may be waived by the parties tive law judge shall make his initial dein writing, and depositions may then be cision. However, where proposed findings taken from the persons and at times and and conclusions are timely submitted by places mutually agreed to by the parties. the parties, such decision shall be made
(2) Written interrogatories. When a within 30 days after receipt of the finddeposition is taken upon written inter ings and conclusions. The initial decision rogatories, any cross-examination shall shall include a statement of the findings be upon written interrogatories. Copies of of fact and the conclusions therefrom, such written interrogatories shall be as well as the reasons or basis therefor, served upon the other party with the upon all the material issues of fact, law notice, and copies of any written cross or discretion preserved on the record, interrogatories shall be mailed by first and may provide for one of the followclass mail or delivered to the opposing ing orders: party at least 10 days before the date of (1) An order that the respondent's taking the depositions, unless the parties payments be terminated, or mutually agree otherwise. A party upon
(2) An order that the respondent's whose behalf a deposition is taken must payments be reduced, or file with the administrative law judge (3) An order that the Secretary limit and serve one copy upon the opposing the availability of payments to activities party. Expenses in the reporting of depo not affected by respondent's failure to sitions shall be borne by the party at comply, or whose instance the deposition is taken.
(4) An order in favor of respondent. (h) Stenographic record; oath of re After reaching his initial decision the adporter, transcript. (1) In general. A ministrative law judge shall certify to the stenographic record shall be made of the complete record, together with a certified testimony and proceedings, including copy of his initial decision, to the Secstipulations and admissions of fact in all retary. The administrative law judge proceedings. Arguments of counsel may shall serve also a copy of the initial decibe heard on request. A transcript of sion upon the Secretary and the respondthe proceedings (and evidence) at the ent. The administrative law judge shall hearing shall be made in all cases.
serve also a copy of the initial decision (2) Oath of reporter. The reporter by certified mail to the chief executive making the stenographic record shall officer of the respondent or to its attorney subscribe an oath before the administra of record. tive law judge, to be filed in the record (k) What constitutes record. The of the case, that he (or she) will truly transcript of testimony, pleadings and and correctly report the oral testimony exhibits, all papers and requests filed in and proceedings at such hearing and the proceeding together with all findings, accurately transcribe the same to the decisions and orders, shall constitute the best of his (or her) ability.
exclusive record in the matter. (3) Transcript. Copies of the trans (1) Procedure on review of decision cript may be obtained from the reporter of administrative law judgem(1) Appeal at rates not to exceed the actual cost to the Secretary. Within 30 days from the
date of the initial decision and order of and made available for inspection by the the administrative law judge, the re public at the public documents room of spondent may appeal to the Secretary the Department. It practicable, the stateand file his exceptions to the initial deci ment of findings and the decisions of the sion and his reasons therefor. The re administrative law judge shall be pubspondent shall transmit a copy of his lished periodically by the Department appeal and reasons therefor to the HUD and offered for sale through the Supercounsel who may, within 30 days from intendent of Documents. receipt of the respondent's appeal, file (4) Based on written advice from the a reply brief in opposition to the appeal. Department of Justice that publicity of A copy of the reply brief, if one is filed, the proceedings or public release of the shall be transmitted to the respondent or record pursuant to (n) (1), (2), and (3) its counsel of record. Upon the filing of of this section would adversely affect an appeal and a reply brief, if any, the criminal prosecution, the Secretary may Secretary shall make the final agency deem the applicability of (n) (1), (2), decision on the record of the adminis and (3) stayed. trative law judge submitted to him.
(0) Judicial review. (1) Actions taken (2) Absence of appeal. In the absence under administrative proceedings purof exceptions by the respondent within suant to this subpart shall be subject to the time set forth in paragraph (1) (1) judicial review pursuant to Section of this section or a review initiated by 111(c) of the Act. If a respondent desires HUD counsel within 45 days after the to appeal a decision of the administrainitial decision, such initial decision of tive law judge which has become final, the administrative law judge shall con or a final order of the Secretary for restitute the final decision of the Depart view of appeal, to the U.S. Court of Apment.
peals, as provided by law, the Secretary, (m) Decision of the Secretary. On ap upon prior notification of the filing of peal from or review of the initial deci the petition for review, shall have presion of the administrative law judge, the pared in triplicate, a complete transcript Secretary will make the final agency de of the record of the proceedings, and cision. In making his decision the Secre shall certify to the correctness of the tary will review the record or such por record. The original certificate together tions thereof as may be cited by the par with the original record shall then be ties to permit limiting of the issues. The filed with the Court of Appeals which Secretary may afirm, modify, or revoke has jurisdiction. the findings and initial decision of the (2) Any recipient which receives the administrative law judge. A copy of the final agency decision of the termination, Secretary's decision shall be transmitted reduction or limitation of payments immediately to the chief executive officer under this title may, within sixty days of the respondent or its counsel of record. after receiving such notice, file with the
(n) Publicity of proceedings. (1) In United States Court of Appeals for the general. A proceeding conducted under circuit in which such State is located, or this subpart shall be open to the public in the United States Court of Appeals and to elements of the news media pro for the District of Columbia, a petition vided that in the judgment of the admin for review of the Secretary's action. The istrative law judge, the presence of the petitioner shall forthwith transmit media does not detract from the decorum copies of the petition to the Secretary and dignity of the proceeding.
and the Attorney General of the United (2) Availability of record. The record States, who, shall represent the Secreestablished in any proceeding conducted
tary in the litigation. under this subpart shall be made avail
(3) The Secretary shall file in the able to inspection by the public as pro
court the record of the proceeding on vided for and in accordance with regula
which he based his action, as provided tions of the Department of HUD pursu
in Section 2112 of Title 28, United States
Code. No objection to the action of the ant to 24 CFR Part 15.
Secretary shall be considered by the (3) Decisions of the administrative
court unless such objection has been law judge. The statement of findings and
urged before the Secretary. the initial decision of the administrative
(4) The court shall have jurisdiction law judge in any proceedings, whether to affirm or modify the action of the Secor not on appeal or review shall be in retary or to set it aside in whole or in dexed and maintained by the Secretary part. The findings of fact by the Secre
tary, if supported by substantial evi
Subpart A-General Provisions dence on the record considered as &
8 580.1 Applicability. whole, shall be conclusive. The court may order additional evidence to be taken by The purpose of this part is to prethe Secretary, and to be made part of scribe policies to be followed to complete the record. The Secretary may modify the program of Federal categorical grant his findings of fact, or make new find
assistance to comprehensive city demonings, by reason of the new evidence so stration programs provided under Title I taken and filed with the court, and he
of the Demonstration Cities and Metroshall also file such modified or new find
politan Development Act of 1966, Pub. L. ings, which findings with respect to ques
89–754. tions of fact shall be conclusive if
8 580.2 Deadline for approval of new supported by substantial evidence on the
projects and activities. record considered as a whole, and shall also file his recommendations, if any,
(a) General. The deadline for HUD for
approval of new projects and activities, the modification or setting aside of his
to be carried out with funds committed original action.
by tender letter from HUD to the city (5) Upon the filing of the record with
on or prior to December 31, 1974, is the court, the jurisdiction of the court
June 30, 1975. shall be exclusive and its judgment shall (b) Reprogramming. Prior to June 30, be final, except that such judgment 1975, grant funds may be reprogrammed shall be subject to review by the Supreme into both previously approved and new Court of the United States upon writ of projects and activities, as well as into certiorari or certification as provided in program administration. Thereafter, Section 1254 of Title 28, United States
model cities grant funds may only be reCode.
programmed into previously approved
(c) Budget revision requirements. In
revising budgets prior to June 30, 1975, Subpart A-General Provisions
the city shall adhere to existing budget Sec.
requirements. After June 30, 1975, the 580.1 Applicability.
budget revision requirements listed be580.2 Deadline for approval of new projects and activities.
low shall apply: 580.3 Deadline for city to obligate grant (1) HUD approval of budget revisions funds.
will be required only for substantial 580.4 Deadline for completion of model cities grant assistance to CCDP.
changes in the program and for changes 580.5 Exceptions to grant assistance com
in model neighborhood boundaries which pletion deadline.
add or subtract ten percent of the model Subpart B-Policies for Program Closeout neighborhood population. Substantial 580.8 Final HUD audit of CCDP.
changes, whether in key projects or ad580.7 Certification of program completion.
ministrative arrangements, are those 580.8 Reports on projects and activities which represent a major departure from
continuing after grant assistance the direction of the program as precompletion deadline.
viously approved. 580.9 Letter of credit adjustment and draw downs.
(2) The city shall report to HUD an 580.10 Final local evaluation of model cities increase of a program category budget program.
of more than the greater of 5 percent of 580.11 Citizen participation requirements. the model cities grant funded portion of Subpart C-Disposition of Property Purchased its budget or $25,000 in model cities With Model Cities Funds
grant funds. 580.12 Disposition of personal property.
(3) Any increase in program admin680.13 Assets held by economic and housing development corporations.
istration must take into consideration 580.14 Disposition of real property.
that the model cities grant shall not exAUTHORITY: Sec. 7(d) of the Department of
ceed 80 percent of the eligible costs for Housing and Urban Development Act (42 program administration. U.S.C. 3535(d)).
(4) No budget revisions may be made SOURCE: 40 FR 12073, Mar. 17, 1975, unless
which will cause the total amount of the otherwise noted.
model cities grant to be exceeded.