Subpart C—Distinguishing Flag Subpart D-Unauthorized Uses g 1002.21 Description of distinguishing $1002.31 Unauthorized uses of the seal flag.

and flag. (a) The base or field of the flag shall

The official seal and distinguishing be white, and a replica of the official flag shall not be used except as authorseal shall appear on both sides thereof. ized by the Director of Administration (b)(1) The indoor flag shall be of

in connection with: rayon banner, measure 4'4" on hoist by

(a) Contractor-operated facilities. 5'6" on the fly, exclusive of heading and

(b) Souvenir or novelty items. hems, and be fringed on three edges

(c) Toys or commercial gifts or prewith yellow rayon fringe, 242" wide.

miums. (2) The outdoor flag shall be of heavy

(d) Letterhead design, except on offi

cial Departmental stationery. weight nylon, and measure either 3' on

(e) Matchbook covers, calendars, and the hoist by 5' on the fly or 5' on the

similar items. hoist by 8' on the fly, exclusive of head

(1) Civilian clothing or equipment. ing and hems.

(8) Any article which may disparage (c) Each flag shall be manufactured

the seal or flag or reflect unfavorably in accordance with U.S. Department of

upon DOE. Defense Military Specification Mil-F

(h) Any manner which implies De2692. The official seal shall be screen partmental endorsement of commercial printed on both sides, and on each side, products or services, or of the user's the lettering shall read from left to policies or activities. right. Headings shall be Type II in accordance with the Institute of Heraldry PART 1003-OFFICE OF HEARINGS Drawing No. 5-1-45E.


REGULATIONS 8 1002.22 Use of distinguishing flag.

(a) DOE distinguishing flags may be Subpart A-General Provisions used only:

Sec. (1) In the offices of the Secretarial of

1003.1 Purpose and scope. ficers, Chairman of the Federal Energy

1003.2 Definitions. Regulatory Commission, and heads of

1003.3 Appearance before the OHA. field locations designated below:

1003.4 Filing of documents.

1003.5 Computation of time. Power Administrations.

1003.6 Extension of time. Regional Offices.

1003.7 Service. Operations Offices.

1003.8 Subpoenas, special report orders, Certain Field Offices and other locations as oaths, witnesses.

designated by the Director of Administra- 1003.9 General filing requirements. tion.

1003.10 Effective date of orders.

1003.11 Address for filing documents. (2) At official DOE ceremonies.

1003.12 Ratification of prior directives, or(3) In Department auditoriums, offi- ders and actions. cial presentation rooms, hearing 1003.13 Public reference room. rooms, lobbies, public document rooms, 1003.14 Notice of proceedings. and in non-DOE facilities in connection with events or displays sponsored by

Subpart B-Exceptions DOE, and public appearances of DOE 1003.20 Purpose and scope. officials.

1003.21 What to file. (4) On or in front of DOE installation

1003.22 Where to file.

1003.23 Notice. buildings.

1003.24 Contents. (5) Other such purposes as deter

1003.25 OHA evaluation. mined by the Director of Administra- 1003.26 Decision and Order. tion.

1003.27 Appeal of exception order.

Subpart c-Appeals 1003.30 Purpose and scope. 1003.31 who may file. 1003.32 What to file. 1003.33 Where to file. 1003.34 Notice. 1003.35 Contents. 1003.36 OHA evaluation. 1003.37 Decision and Order.

Subpart D-Stays 1003.40 Purpose and scope. 1003.41 What to file. 1003.42 Where to file. 1003.43 Notice. 1003.44 Contents. 1003.45 OHA evaluation. 1003.46 Decision and Order.

Appeals. Any or all of the procedures contained in this part may be incorporated by reference in another DOE rule or regulation which invokes the adjudicatory authority of the Office of Hearings and Appeals. The procedures may also be made applicable at the direction of an appropriate DOE official if incorporated by reference in the delegation. These rules do not apply in instances in which DOE regulations themselves contain procedures governing OHA proceedings conducted under authority of those particular regulations. (E.g., 10 CFR part 708-DOE Contractor Employee Protection Program; 10 CFR part 710-Criteria and Procedures for Determining Eligibility for Access to Classified Matter or Special Nuclear Material.) These rules also do not apply to matters which relate specifically to the federal oil regulations (10 CFR parts 210, 211, and 212) and which are governed by the procedures contained in 10 CFR part 205, or to matters before the DOE Board of Contract Appeals or other procurement and financial assistance appeals boards, which are governed by their own rules.

Subpart E-Modification or Rescission 1003.50 Purpose and scope. 1003.51 What to file. 1003.52 Where to file. 1003.53 Notice. 1003.54 Contents. 1003.55 OHA evaluation. 1003.56 Decision and Order.

Subpart F-Conferences and Hearings 1003.60 Purpose and scope. 1003.61 Conferences. 1003.62 Hearings.

Subpart G-Private Grievances and


1003.70 Purpose and scope.
1003.71 Who may file.
1003.72 What to file.
1003.73 Where to file.
1003.74 Notice.
1003.75 Contents.
1003.76 OHA evaluation of request.
1003.77 Decision and Order.

AUTHORITY: 15 U.S.C. 761 et seq.; 42 U.S.C. 7101 et seq.

SOURCE: 60 FR 15006, Mar. 21, 1995, unless otherwise noted.

8 1003.2 Definitions.

(a) As used in this part:

Action means an order issued, or a rulemaking undertaken, by the DOE.

Aggrieved, with respect to a person, means adversely affected by an action of the DOE.

Conference means an informal meeting between the Office of Hearings and Appeals and any person aggrieved by an action of the DOE.

Director means the Director of the Office of Hearings and Appeals or duly authorized delegate.

DOE means the Department of Energy, created by the Department of Energy Organization Act (42 U.S.C. 7101 et seq.).

Duly authorized representative means a person who has been designated to ap pear before the Office of Hearings and Appeals in connection with a proceeding on behalf of a person interested in or aggrieved by an action of the DOE. Such appearance may consist of the submission of a written document, a personal appearance, verbal commu

Subpart A--General Provisions

$1003.1 Purpose and scope.

This part establishes the procedures to be utilized and identifies the sanctions that are available in most proceedings before the Office of Hearings and Appeals of the Department of Energy. These procedures provide standard rules of practice in a variety of informal adjudications when jurisdiction is vested in the Office of Hearings and

nication, or any other participation in g 1003.3 Appearance before the OHA. the proceeding.

(a) A person may make an appearException means the waiver or modi

ance, including personal appearances fication of the requirements of a rule,

in the discretion of the OHA, and parregulation or other DOE action having

ticipate in any proceeding described in the effect of a rule as defined by 5

this part on his own behalf or by a duly U.S.C. 551(4) under a specific set of

authorized representative. Any applicafacts, pursuant to subpart B of this

tion, appeal, petition, or request filed part.

by a duly authorized representative Federal legal holiday means the first shall contain a statement by such perday of January, the third Monday of son certifying that he is a duly authorJanuary, the third Monday of Feb- ized representative. Falsification of ruary, the last Monday of May, the such certification will subject such fourth day of July, the first Monday of person to the sanctions stated in 18 September, the second Monday of Octo- U.S.C. 1001. ber, the eleventh day of November, the (b) Suspension and disqualification. fourth Thursday of November, the The OHA may deny, temporarily or twenty-fifth day of December, or any permanently, the privilege of particlother calendar day designated as a hol- pating in proceedings, including oral iday by federal statute or Executive presentation, to any individual who is order.

found by the OHAOHA means the Office of Hearings (1) To have made false or misleading and Appeals of the Department of En- statements, either verbally or in writergy.

ing; Order means the whole or a part of a (2) To have filed false or materially final disposition, whether affirmative, altered documents, affidavits or other negative, injunctive, or declaratory in writings; form, of DOE in a matter other than (3) To lack the specific authority to rulemaking but including licensing. represent the person seeking an OHA This definition does not include inter- action; or nal DOE orders and directives issued by (4) To have engaged in or to be enthe Secretary of Energy or delegate in gaged in contumacious conduct that the management and administration of substantially disrupts a proceeding. departmental elements and functions. Person means any individual, firm,

$ 1003.4 Filing of documents. estate, trust, sole proprietorship, part- (a) Any document filed with the OHA nership, association, company, joint- must be addressed as required by venture, corporation, governmental $ 1003.11, and should conform to the reunit or instrumentality thereof, or a quirements contained in $1003.9. All charitable, educational or other insti- documents and exhibits submitted betution, and includes any officer, direc

come part of an OHA file and will not tor, owner orduly authorized rep be returned. resentative thereof.

(b) A document submitted in connecProceeding means the process and ac- tion with any proceeding transmitted tivity, and any part thereof, instituted by first class United States mail and by the OHA, either on its own initia

properly addressed is considered to be tive or in response to an application, filed upon mailing. complaint, petition or request submit- (c) Hand-delivered documents to be ted by a person, that may lead to an filed with the OHA shall be submitted action by the OHA.

to Room 1E-234 at 1000 Independence SRO means a special report order is- Avenue, sw., Washington, DC, on busisued pursuant to $ 1003.8(b) of this part. ness days between the hours of 2:00

(b) Throughout this part the use of a p.m. and 4:30 p.m. word or term in the singular shall in- (d) Documents hand delivered or reclude the plural, and the use of the ceived electronically after regular male gender shall include the female business hours are deemed filed on the gender.

next regular business day.


(b) Service upon a person's duly authorized representative shall constitute service upon that person.

(c) Official United States Postal Service receipts from certified mailing shall constitute evidence of service.

$ 1003.5 Computation of time.

(a) Days. (1) Except as provided in paragraph (b) of this section, in computing any period of time prescribed or allowed by these regulations or by an order of the OHA, the day of the act, event, or default from which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or federal legal holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or a federal legal holiday.

(2) Saturdays, Sundays and federal legal holidays shall be excluded from the computation of time when the period of time allowed or prescribed is 7 days or less.

(b) Hours. If the period of time prescribed in an order issued by the OHA is stated in hours rather than days, the period of time shall begin to run upon actual notice of such order, whether by verbal or written communication, to the person directly affected, and shall run without interruption, unless otherwise provided in the order, or unless the order is stayed, modified, suspended or rescinded. When a written order is transmitted by verbal communication, the written order shall be served as soon thereafter as is feasible.

(c) Additional time after service by mail. Whenever a person is required to perform an act, to cease and desist therefrom, or to initiate a proceeding under this part within a prescribed period of time after issuance to such person of an order, notice or other document and the order, notice or other document is served solely by mail, 3 days shall be added to the prescribed period.

8 1003.8 Subpoenas, special report or

ders, oaths, witnesses. (a) In accordance with the provisions of this section and as otherwise authorized by law, the Director may sign, issue and serve subpoenas; administer oaths and affirmations; take sworn testimony; compel attendance of and sequester witnesses; control dissemination of any record of testimony taken pursuant to this section; subpoena and reproduce books, papers, correspondence, memoranda, contracts, agreements, or other relevant records or tangible evidence including, but not limited to, information retained in computerized or other automated systems in possession of the subpoenaed person.

(b) The Director may issue a Special Report Order requiring any person subject to the jurisdiction of the OHA to file a special report providing information relating to the OHA proceeding, including but not limited to written answers to specific questions. The SRO may be in addition to any other reports required.

(c) The Director, for good cause shown, may extend the time prescribed for compliance with the subpoena or SRO and negotiate and approve the terms of satisfactory compliance.

(d) Prior to the time specified for compliance, but in no event more than 10 days after the date of service of the subpoena or SRO, the person upon whom the document was served may file a request for review of the subpoena or SRO with the Director. The Director then shall provide notice of receipt to the person requesting review, may extend the time prescribed for compliance with the subpoena or SRO, and may negotiate and approve the terms of satisfactory compliance.

(e) If the subpoena or SRO is not modified or rescinded within 10 days of the date of the Director's notice of receipt:

(1) The subpoena or SRO shall be effective as issued; and

$ 1003.6 Extension of time.

When a document is required to be filed within a prescribed time, an extension of time to file may be granted by the OHA upon good cause shown.

81003.7 Service.

(a) All documents required to be served under this part shall be served personally or by first class United States mail, except as otherwise provided.


(2) The person upon whom the docu- (1) The presence of the subpoenaed ment was served shall comply with the witness will materially advance the subpoena or SRO within 20 days of the proceeding; and date of the Director's notice of receipt, (2) The person who requested that the unless otherwise notified in writing by subpoena be issued would suffer a serithe Director.

ous hardship if required to pay the wit(f) There is no administrative appeal ness fees and mileage. of a subpoena or SRO.

(1) If any person upon whom a sub(8) A subpoena or SRO shall be served poena or SRO is served pursuant to this upon a person named in the document section refuses or fails to comply with by delivering a copy of the document any provision of the subpoena or SRO, to the person named.

an action may be commenced in the ap (h) Delivery of a copy of a subpoena propriate United States District Court or SRO to a natural person may be to enforce the subpoena or SRO. made by:

(m) Documents produced in response (1) Handing it to the person;

to a subpoena shall be accompanied by (2) Leaving it at the person's office the sworn certification, under penalty with the person in charge of the office; of perjury, of the person to whom the

(3) Leaving it at the person's dwell- subpoena was directed or his authoring or usual place of abode with a per- ized agent that: son of suitable age and discretion who (1) A diligent search has been made resides there;

for each document responsive to the (4) Mailing it to the person by cer- subpoena; and tified mail, at his last known address; (2) To the best of his knowledge, in

formation, and belief each document (5) Any method that provides the per- responsive to the subpoena is being son with actual notice prior to the re- produced. turn date of the document.

(n) Any information furnished in re(i) Delivery of a copy of a subpoena sponse to an SRO shall be accompanied or SRO to a person who is not a natural by the sworn certification, under penperson may be made by:

alty of perjury, of the person to whom (1) Handing it to a registered agent of it was directed or his authorized agent the person;

who actually provides the information (2) Handing it to any officer, director, that: or agent in charge of any office of such (1) A diligent effort has been made to person;

provide all information required by the (3) Mailing it to the last known ad- SRO; and dress of any registered agent, officer, (2) All information furnished is true, director, or agent in charge of any of- complete, and correct. fice of the person by certified mail; or (0) If any document responsive to a

(4) Any method that provides any subpoena is not produced or any inforregistered agent, officer, director, or mation required by an SRO is not furagent in charge of any office of the per- nished, the certification shall include a son with actual notice of the document statement setting forth every reason prior to the return date of the docu- for failing to comply with the subpoena ment.

or SRO. If a person to whom a sub(j) A witness subpoenaed by the OHA poena or SRO is directed withholds any may be paid the same fees and mileage document or information because of a as paid to a witness in the district claim of attorney-client or other privicourts of the United States.

lege, the person submitting the certifi(k) If in the course of a proceeding a cation required by paragraph (m) or (n) subpoena is issued at the request of a of this section also shall submit a writperson other than an officer or agency ten list of the documents or the inforof the United States, the witness fees mation withheld indicating a descripand mileage shall be paid by the person tion of each document or information, who requested the subpoena. However, the date of the document, each person at the request of the person, the wit- shown on the document as having reness fees and mileage may be paid by ceived a copy of the document, each the OHA if the person shows:

person shown on the document as hav.

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