§ 1081.200. Commencement of proceeding and contents of notice of charges.

418 words·~2 min read·/us/cfr/t12/s§ 1081.200·

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(a)Commencement of proceeding. A proceeding governed by subparts A through D of this part is commenced when the Bureau, through the Office of Enforcement, files a notice of charges in accordance with § 1081.111. The notice of charges must be served by the Office of Enforcement upon the respondent in accordance with § 1081.113(d)(1).

(b)Contents of a notice of charges. The notice of charges must set forth:

(1)The legal authority for the proceeding and for the Bureau's jurisdiction over the proceeding;

(2)A statement of the matters of fact and law showing that the Bureau is entitled to relief;

(3)A proposed order or prayer for an order granting the requested relief;

(4)The time and place of the hearing as required by law or regulation;

(5)The time within which to file an answer as required by law or regulation;

(6)That the answer shall be filed and served in accordance with subpart A of this part; and

(7)The docket number for the adjudication proceeding.

(c)Publication of notice of charges. Unless otherwise ordered by the Director, the notice of charges shall be given general circulation by release to the public, by publication on the Bureau's website and, where directed by the hearing officer or the Director, by publication in the Federal Register. The Bureau may publish any notice of charges after 14 days from the date of service except if there is a pending motion for a protective order filed pursuant to § 1081.119.

(d)Commencement of proceeding through a consent order. Notwithstanding paragraph

(a)of this section, where the parties agree to settlement before the filing of a notice of charges, a proceeding may be commenced by filing a stipulation and consent order. The stipulation and consent order shall be filed pursuant to § 1081.111. The stipulation shall contain the information required under § 1081.120(d), and the consent order shall contain the information required under paragraphs (b)(1) and

(2)of this section. The proceeding shall be concluded upon issuance of the consent order by the Director.

(e)Voluntary dismissal—(1) Without an order. The Office of Enforcement may voluntarily dismiss an adjudication proceeding without an order entered by a hearing officer by filing either:

(i)A notice of dismissal before the respondent(s) serves an answer; or

(ii)A stipulation of dismissal signed by all parties who have appeared.

(2)Effect. Unless the notice or stipulation states otherwise, the dismissal is without prejudice, and does not operate as an adjudication on the merits.

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§ 1081.200

Commencement of proceeding and contents of notice of charges.

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