30 C.F.R. Subpart C—Hearings
Title 30 - Mineral Resources
Within 5 days after receipt of a referral of a request for hearing in a petition for modification proceeding, the Chief Administrative Law Judge shall designate an administrative law judge appointed under section 3105 of Title 5 of the United States Code to preside over the hearing. [55 FR 53442, Dec. 28, 1990] (a) Where to file. After a petition has been referred to the Office of the Chief Administrative Law Judge, the parties will be notified of the name and address of the administrative law judge assigned to the case. All further documents shall be filed with the administrative law judge at the address designated or with the Chief Administrative Law Judge, if the assignment has not been made. While the petition is before the Assistant Secretary at any stage of the proceeding, all documents should be filed with the Assistant Secretary of Labor for Mine Safety and Health, 1100 Wilson Blvd., Room 2322, Arlington, Virginia 22209–3939. (b) Caption, title and signature. (1) The documents filed in any proceeding under this part shall be captioned in the name of the operator of the mine to which the proceeding relates and in the name of the mine or mines affected. After a docket number has been assigned to the proceeding by the Office of the Chief Administrative Law Judge, the caption shall contain such docket number. (2) After the caption each such document shall contain a title which shall be descriptive of the document and which shall identify the party by whom the document is submitted. (3) The original of all documents filed shall be signed at the end by the party submitting the document or, if the party is represented by an attorney, by such attorney. The address of the party or the attorney shall appear beneath the signature. [43 FR 29518, July 7, 1978, as amended at 67 FR 38384, June 4, 2002] (a) Powers. An administrative law judge designated to preside over a hearing shall have all powers necessary or appropriate to conduct a fair, full, and impartial hearing, including the following: (1) To administer oaths and affirmations; (2) To issue subpoenas on his own motion or upon written application of a party; (3) To rule upon offers of proof and receive relevant evidence; (4) To take depositions or have depositions taken when the ends of justice would be served; (5) To provide for discovery and determine its scope; (6) To regulate the course of the hearing and the conduct of parties and their counsel; (7) To consider and rule upon procedural requests; (8) To hold conferences for settlement or simplification of issues by consent of the parties; (9) To make decisions in accordance with the Act, this part, and section 557 of title 5 of the United States Code; and (10) To take any other appropriate action authorized by this part, section 556 of title 5 of the United States Code, or the Act. (b) Disqualification. (1) When an administrative law judge deems himself disqualified to preside over a particular hearing, he shall withdraw therefrom by notice on the record directed to the Chief Administrative Law Judge. (2) Any party who deems an administrative law judge for any reason to be disqualified to preside or continue to preside over a particular hearing, may file with the Chief Administrative Law Judge of the Department of Labor a motion to be supported by affidavits setting forth the alleged grounds for disqualification. The Chief Administrative Law Judge shall rule upon the motion. (c) Contumacious conduct; failure or refusal to appear or obey rulings of a presiding administrative law judge. (1) Contumacious conduct at any hearing before the administrative law judge shall be grounds for exclusion from the hearing. (2) If a witness or party refuses to answer a question after being directed to do so or refuses to obey an order to provide or permit discovery, the administrative law judge may make such orders with regard to the refusal as are just and appropriate, including an order denying the application of a petitioner or regulating the contents of the record of the hearing. (d) Referral to Federal Rules of Civil Procedure and Evidence. On any procedural question not regulated by this part, the act, or the Administrative Procedure Act, an administrative law judge shall be guided to the extent practicable by any pertinent provisions of the Federal Rules of Civil Procedure or Federal Rules of Evidence, as appropriate. (e) Remand. The presiding administrative law judge shall be authorized to remand the petition for modification proceeding to the appropriate Administrator based upon new evidence which was not available to the Administrator and which may have materially affected the Administrator's proposed decision and order. Remand may be upon the judge's own motion or the motion of any party, and shall be granted in the discretion of the presiding administrative law judge. [43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990] (a) Convening a conference. Upon his own motion or the motion of a party, the administrative law judge may direct the parties or their counsel to meet with him for a conference to consider: (1) Simplification of issues; (2) Necessity or desirability of amendments to documents for clarification, simplification, or limitation; (3) Stipulations and admissions of facts; (4) Limitation of the number of parties and expert witnesses; and (5) Such other matters as may tend to expedite the disposition of the proceeding and assure a just conclusion thereof. (b) Record of conference. The administrative law judge may, where appropriate, issue an order which recites the action taken at the conference, amendments allowed to any filed documents, and agreements made between the parties as to any of the matters considered. The order shall limit the issues for hearing to those not disposed of by admissions or agreements. Such an order controls the subsequent course of the hearing, unless modified at the hearing to prevent manifest injustice. Parties shall be governed in their conduct of discovery by appropriate provisions of the Federal Rules of Civil Procedure, except as provided in §44.25 of this part. After consultation with the parties, the administrative law judge shall prescribe a time of not more than 45 days to complete discovery. Alternative periods of time for discovery may be prescribed by the presiding administrative law judge upon the request of any party. As soon as is practicable after completion of discovery, the administrative law judge shall schedule a hearing in accordance with §44.28 of this part. [55 FR 53442, Dec. 28, 1990] (a) Purpose. For reasons of unavailability or for purpose of discovery, the testimony of any witness may be taken by deposition. (b) Form. Depositions may be taken before any person having the power to administer oaths. Each witness testifying upon deposition shall be sworn, and the parties not calling him shall have the right to cross-examine him. Questions propounded and answers thereto, together with all objections made, shall be reduced to writing, read to or by the witness, subscribed by him, and certified by the officer before whom the deposition is taken. The officer shall send copies by registered mail to the Chief Administrative Law Judge or the presiding administrative law judge. (a) Except as provided in paragraph (b) of this section, the Chief Administrative Law Judge or the presiding administrative law judge, as appropriate, shall issue subpoenas upon written application of a party requiring attendance of witnesses and production of relevant papers, books, documents, or tangible things in their possession and under their control. A subpoena may be served by any person who is not a party and is not less than 18 years of age, and the original subpoena bearing a certificate of service shall be filed with the administrative law judge. A witness may be required to attend a deposition or hearing at a place not more than 100 miles from the place of service. (b) If a party's written application for subpoena is submitted 3 working days or less before the hearing to which it relates, a subpoena shall issue at the discretion of the Chief Administrative Law Judge or presiding administrative law judge, as appropriate. (c) Any person served with a subpoena may move in writing to revoke or modify the subpoena. All motions to revoke or modify shall be served on the party at whose request the subpoena was issued. The administrative law judge shall revoke or modify the subpoena if in his opinion the evidence required to be produced does not relate to any matter under investigation or in question in the proceedings; the subpoena does not describe with sufficient particularity the evidence required to be produced; or if for any other reason, sufficent in law, the subpoena is found to be invalid or unreasonable. The administrative law judge shall make a simple statement of procedural or other grounds for the ruling on the motion to revoke or modify. The motion to revoke or modify, any answer filed thereto, and any ruling thereon shall become a part of the record. (d) Witnesses subpoened by any party shall be paid the same fees for attendance and mileage as are paid in the District Courts of the United States. The fees shall be paid by the party at whose instance the witness appears. (a) General. At any time after a request for hearing is filed in accordance with §44.14, a reasonable opportunity may be afforded to permit negotiation by the parties of an agreement containing consent findings and a rule or order disposing of the whole or any part of the proceedings. Allowance of such opportunity and the duration thereof shall be in the discretion of the Chief Administrative Law Judge, if no administrative law judge has been assigned, or of the presiding administrative law judge. In deciding whether to afford such an opportunity, the administrative law judge shall consider the nature of the proceeding, requirements of the public interest, representations of the parties, and probability of an agreement which will result in a just disposition of the issues involved. (b) Contents. Any agreement containing consent findings and rule or order disposing of a proceeding shall also provide: (1) That the rule or order shall have the same effect as if made after a full hearing; (2) That the record on which any rule or order may be based shall consist of the petition and agreement, and all other pertinent information, including: any request for hearing on the petition; the investigation report; discovery; motions and requests, filed in written form and rulings thereon; any documents or papers filed in connection with prehearing conferences; and, if a hearing has been held, the transcript of testimony and any proposed findings, conclusions, rules or orders, and supporting reasons as may have been filed. (3) A waiver of further procedural steps before the administrative law judge and Assistant Secretary; and (4) A waiver of any right to challenge or contest the validity of the findings and rule or order made in accordance with the agreement. (c) Submission. On or before expiration of the time granted for negotiations, the parties or their counsel may: (1) Submit the proposed agreement to the Chief Administrative Law Judge or presiding administrative law judge, as appropriate, for his consideration; or (2) Inform the Chief Administrative Law Judge or presiding administrative law judge, as appropriate, that agreement cannot be reached. (d) Disposition. In the event an agreement containing consent findings and rule or order is submitted within the time allowed, the Chief Administrative Law Judge or presiding administrative law judge, as appropriate, may accept the agreement by issuing his decision based upon the agreed findings. [43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990] (a) The administrative law judge shall fix a place and date for the hearing and notify all parties at least 30 days in advance of the date set, unless at least one party requests and all parties consent to an earlier date, or the hearing date has been otherwise advanced in accordance with this part. The notice shall include: (1) The time, place, and nature of the hearing; and (2) The legal authority under which the hearing is to be held. (b) In accordance with the provisions of section 554 of title 5 of the United States Code, a party may move for transfer of a hearing on the basis of convenience to parties and witnesses. Such motion should be filed with the administrative law judge assigned to the case. Each motion filed shall be in writing and shall contain a short and plain statement of the grounds upon which it is based. A statement in opposition to the motion may be filed by any party within 10 days after the date of service. The administrative law judge may permit oral motions during proceedings. (a) Order of proceeding. Except as may be ordered otherwise by the administrative law judge, the petitioner shall proceed first at a hearing. (b) Burden of proof. The petitioner shall have the burden of proving his case by a preponderance of the evidence. (c) Evidence—(1) Admissibility. A party shall be entitled to present its case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for full and true disclosure of the facts. Any oral or documentary evidence may be received, but the administrative law judge shall exclude evidence which is irrelevant, immaterial, or unduly repetitious. (2) Testimony of witnesses. The testimony of a witness shall be upon oath or affirmation administered by the administrative law judge. (3) Objections. If a party objects to admission or rejection of any evidence, limitation of the scope of any examination or cross-examination, or failure to limit such scope, he shall state briefly the grounds for such objection. Rulings on such objections shall appear in the record. (4) Exceptions. Formal exception to an adverse ruling is not required. (d) Official notice. Official notice may be taken of any material fact not appearing in evidence in the record, which is among the traditional matters of judicial notice or concerning which the Department of Labor by reason of its functions is presumed to be expert: Provided, That the parties shall be given adequate notice at the hearing or by reference in the presiding administrative law judge's decision of the matters so noticed and shall be given adequate opportunity to show the contrary. (e) Transcript. Copies of the transcript of the hearing may be obtained by the parties upon written application filed with the reporter and payment of fees at the rate provided in the agreement with the reporter. After consultation with the parties, the administrative law judge may prescribe a time period of 30 days within which each party may file proposed findings of fact, conclusions of law, and rule or order, together with a supporting brief expressing the reasons for such proposals. Such time may be expedited or extended upon request and at the discretion of the Administrative Law Judge. Proposals and briefs shall be served on all other parties and shall refer to all portions of the record and to all authorities relied upon in support of each proposal. [55 FR 53442, Dec. 28, 1990] (a) Within 60 days after the time allowed for the filing of proposed findings of fact and conclusions of law, the administrative law judge shall make and serve upon each party a decision, which shall become final upon the 30th day after service thereof, unless an appeal is filed as provided in §44.33 of this part. After consultation with the parties, the administrative law judge may expedite or extend the time for issuing the decision. The decision of the administrative law judge shall include: (1) A statement of findings of fact and conclusions of law, with reasons therefor, upon each material issue of fact, law, or discretion presented on the record; and (2) The appropriate rule, order, relief, or denial thereof. (b) The decision of the administrative law judge shall be based upon a consideration of the whole record and shall state all facts officially noticed and relied upon. It shall be made on the basis of a preponderance of reliable and probative evidence. [43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990] (a) Notice of appeal. Any party may appeal from the initial decision of the administrative law judge by filing with the Assistant Secretary a notice of appeal within 30 days after service of the initial decision. The Assistant Secretary may consolidate related appeals. Copies of a notice of appeal shall be served on all parties to the proceeding in accordance with §44.6 of this part. (b) Statement of objections. Within 20 days after filing the notice of appeal, the appellant shall file his statement of objections to the decision of the administrative law judge and serve copies on all other parties to the proceeding. The statement shall refer to the specific findings of fact, conclusions of law, or terms of the order objected to in the initial decision. Where any objection is based upon evidence of record, the objection need not be considered by the Assistan( Secretary if specific record citations to the pertinent evidence are not contained in the statement of objections. (c) Responding statements. Within 20 days after service of the statement of objections, any other party to the proceeding may file a statement in response. [43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990] If an appeal is filed, the administrative law judge shall, as soon thereafter as is practicable, transmit the record of the proceeding to the Assistant Secretary for review. The record shall include: the petition; the MSHA investigation report; any request for hearing on the petition; the transcript of testimony taken at the hearing, together with exhibits admitted in evidence; any documents or papers filed in connection with prehearing conferences; such proposed findings of fact, conclusions of law, rules or orders, and supporting reasons, as may have been filed; and the administrative law judge's decision. [55 FR 53442, Dec. 28, 1990] Appeals from a decision rendered pursuant to §44.32 of this part shall be decided by the Assistant Secretary within 120 days after the time for filing responding statements under §44.33 of this part. The Assistant Secretary's decision shall be based upon consideration of the entire record of the proceedings transmitted, together with the statements submitted by the parties. The decision may affirm, modify, or set aside, in whole or part, the findings, conclusions, and rule or order contained in the decision of the presiding administrative law judge and shall include a statement of reasons for the action taken. The Assistant Secretary may also remand the petition to the administrative law judge for additional legal or factual determinations. Any party may request that the time for the Assistant Secretary's decision be expedited. Such requests shall be granted in the discretion of the Assistant Secretary. [55 FR 53442, Dec. 28, 1990]
Title 30: Mineral Resources
PART 44—RULES OF PRACTICE FOR PETITIONS FOR MODIFICATION OF MANDATORY SAFETY STANDARDS
Subpart C—Hearings
§ 44.20 Designation of administrative law judge.
§ 44.21 Filing and form of documents.
§ 44.22 Administrative law judges; powers and duties.
§ 44.23 Prehearing conferences.
§ 44.24 Discovery.
§ 44.25 Depositions.
§ 44.26 Subpoenas; witness fees.
§ 44.27 Consent findings and rules or orders.
§ 44.28 Notice of hearing.
§ 44.29 Motions.
§ 44.30 Hearing procedures.
§ 44.31 Proposed findings of fact, conclusions, and orders.
§ 44.32 Initial decision.
§ 44.33 Departmental review.
§ 44.34 Transmission of record.
§ 44.35 Decision of the Assistant Secretary.
