[Federal Register Volume 61, Number 19 (Monday, January 29, 1996)]
[Rules and Regulations]
[Pages 2682-2691]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-1158]
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SMALL BUSINESS ADMINISTRATION
13 CFR Parts 112, 113, 124, 132, 134, and 136
Rules of Procedure Governing Cases Before the Office of Hearings
and Appeals
AGENCY: Small Business Administration.
ACTION: Final rule.
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SUMMARY: In response to President Clinton's government-wide regulatory
reform initiative, the Small Business Administration (SBA) has
completed a page-by-page, line-by-line review of all of its existing
regulations to determine which might be revised or eliminated. This
final rule essentially reorganizes all but two of the regulations
pertaining to procedures before the Office of Hearings and Appeals
(OHA) and consolidates them into one part. In addition, the rule
clarifies, simplifies, and significantly shortens those regulations. A
number of substantive changes are also made.
DATES: This rule is effective February 28, 1996. This rule applies with
respect to all cases filed with OHA on or after February 28, 1996.
FOR FURTHER INFORMATION CONTACT: Gary Fox, Chief Counsel for Special
Litigation, Office of General Counsel, Small Business Administration,
409 Third Street SW., Washington, D.C. 20416, at (202) 205-6643.
SUPPLEMENTARY INFORMATION: On March 4, 1995, President Clinton issued a
memorandum to Federal agencies, directing them to simplify their
regulations. In response to this directive, SBA has completed a page-
by-page, line-by-line review of all of its existing regulations to
determine which might be revised or eliminated. This rule consolidates
most existing regulations governing proceedings before OHA into part
134 with the exception of those solely relating to 8(a) program
proceedings, which are set forth in part 124 of this chapter, and those
solely pertaining to proceedings under the Program Fraud Civil Remedies
Act, which are contained in part 142 of this chapter. This rule also
clarifies, simplifies, and revises the current rules, reorganizes
sections for ease of use, and eliminates unnecessary provisions.
The rule is divided into four subparts. Subpart A contains general
rules. Subpart B contains rules of practice generally applicable to all
cases before OHA except size and SIC code appeals. However, as set
forth in Sec. 134.201, in the case of a conflict between a particular
rule in part 134, and a rule of procedure pertaining to OHA appearing
in another part of this title, the latter rule shall govern. Subpart C
contains the rules applicable to size and SIC code appeals. Subpart D
contains the rules for implementation of the Equal Access to Justice
Act, currently contained in part 132.
Proposed changes to parts 132 and 134 were published in the Federal
Register on November 27, 1995 (60 FR 58282). The public was invited to
comment during a thirty-day comment period. SBA received no comments
concerning these parts during that time period. Accordingly, the
following final rule contains no changes, other than minor
clarifications, technical corrections, and deletions of unnecessary
language.
The proposed rule consolidated into part 134 rules of practice only
applicable to 8(a) program appeals. However, part 124 of chapter 13 is
not being amended at this time and, thus, certain of the provisions in
the proposed rule which solely related to the 8(a) program have been
deleted as unnecessary in light of the existing part 124. Specifically,
proposed Secs. 134.104, 134.203(a)(2), 134.213, 134.222 (a) and (b),
134.223 (c) and (d), 134.224, 134.226(b), and 134.227(a) have been
deleted, in whole or in part, so as to eliminate references to 8(a)
program appeals.
For a detailed description of the other changes made to this rule,
please refer to SBA's proposed rule, published at 60 FR 58282 (November
27, 1995).
Finally, parts 112, 113, 124, and 136 are amended so that the
citations, within those parts, to specific sections of part 134 will
correspond to the section numbers set forth in this rule.
Compliance With Executive Orders 12612, 12778, and 12866, the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.), and the Paperwork
Reduction Act (44 U.S.C. Ch. 35)
SBA certifies that this rule does not have a significant economic
impact on a substantial number of small entities within the meaning of
Executive Order 12866 or the Regulatory Flexibility Act, 5 U.S.C. 601
et seq. This rule would reorganize and simplify the rules governing
procedures before SBA's Office of Hearings and Appeals. Contracting
opportunities and financial assistance for small business are not
affected by this rule. Therefore, it is not likely to have an annual
economic effect of $100 million or more, result in a major increase in
costs or prices, or have a significant adverse effect on competition or
the United States economy.
For purposes of the Paperwork Reduction Act, 44 U.S.C. Ch. 35, SBA
certifies that this rule contains no new reporting or recordkeeping
requirements.
For purposes of Executive Order 12612, SBA certifies that this rule
does not have any federalism implications warranting the preparation of
a Federalism Assessment.
For purposes of Executive Order 12778, SBA certifies that this rule
is drafted, to the extent practicable, in accordance with the standards
set forth in section 2 of that Order.
[[Page 2683]]
List of Subjects
13 CFR Part 132
Claims, Equal Access to Justice, Lawyers.
13 CFR Part 134
Administrative practice and procedure, Organization and functions
(Government agencies).
For the above reasons, and under the authority of 15 U.S.C.
634(b)(6), SBA hereby amends 13 CFR Chapter I as follows:
1. Part 134 is revised to read as follows:
PART 134--RULES OF PROCEDURE GOVERNING CASES BEFORE THE OFFICE OF
HEARINGS AND APPEALS
Subpart A--General Rules
Sec.
134.101 Definitions.
134.102 Jurisdiction of OHA.
134.103 Rules applicable to time periods provided in this part.
Subpart B--Rules of Practice for Most Cases
134.201 Scope of the rules in this subpart B.
134.202 Commencement of cases.
134.203 The petition.
134.204 Service and filing requirements.
134.205 Motion for a more definite statement.
134.206 The answer.
134.207 Amendments and supplemental pleadings.
134.208 Representation in cases before OHA.
134.209 Requirement of signature.
134.210 Intervention.
134.211 Motions.
134.212 Summary decision.
134.213 Discovery.
134.214 Subpoenas.
134.215 Interlocutory appeals.
134.216 Alternative dispute resolution procedures.
134.217 Settlement.
134.218 Judges.
134.219 Sanctions.
134.220 Prohibition against ex parte communications.
134.221 Prehearing conferences.
134.222 Oral hearing.
134.223 Evidence.
134.224 Standards for decision.
134.225 The record.
134.226 The decision.
134.227 Finality of decisions.
134.228 Review of initial decisions.
134.229 Termination of jurisdiction.
Subpart C--Rules of Practice for Appeals From Size Determinations and
SIC Code Designations
134.301 Scope of the rules in this subpart C.
134.302 Who may appeal.
134.303 No absolute right to an appeal from a size determination.
134.304 Commencement of appeals from size determinations and SIC
code designations.
134.305 The appeal petition.
134.306 Transmission of the case file.
134.307 Service and filing requirements.
134.308 Limitation on new evidence and adverse inference from non-
submission in appeals from size determinations.
134.309 Response to an appeal petition.
134.310 Discovery.
134.311 Oral hearings.
134.312 Evidence.
134.313 Applicability of subpart B provisions.
134.314 Standard of review.
134.315 The record.
134.316 The decision.
134.317 Termination of jurisdiction.
134.318 Return of the case file.
Subpart D--Implementation of the Equal Access to Justice Act
134.401 What is the purpose of this subpart?
134.402 Under what circumstances may I apply for reimbursement?
134.403 What is an adversary adjudication?
134.404 What benefits may I claim?
134.405 Under what circumstances are fees and expenses
reimbursable?
134.406 Who is eligible for possible reimbursement?
134.407 How do I know which eligibility requirement applies to me?
134.408 What are the special rules for calculating net worth and
number of employees?
134.409 What is the difference between a fee and an expense?
134.410 Are there limitations on reimbursement for fees and
expenses?
134.411 What should I include in my application for an award?
134.412 What must a net worth exhibit contain?
134.413 What documentation do I need for fees and expenses?
134.414 What deadlines apply to my application for an award and
where do I send it?
134.415 How will proceedings relating to my application for fees
and expenses be conducted?
134.416 How will I know if I receive an award?
134.417 May I seek review of the ALJ's decision on my award?
134.418 How are awards paid?
Authority: 5 U.S.C. 504; 15 U.S.C. 632, 634(b)(6), and 637(a).
Subpart A--General Rules
Sec. 134.101 Definitions.
As used in this part:
AA/OHA means the Assistant Administrator for OHA.
Act means the Small Business Act, 15 U.S.C. 631 et seq.
Address means the primary home or business address of a person or
entity, including the street location or postal box number, city or
town, state, and postal zip code.
Area Office means a Government Contracting Area Office or a
Disaster Area Office of the Small Business Administration.
Day means a calendar day, unless a Judge specifies otherwise.
Hearing means the presentation and consideration of argument and
evidence. A hearing need not include live testimony or argument.
Investment Act means the Small Business Investment Act of 1958, 15
U.S.C. 661 et seq.
Judge means an Administrative Law Judge or an Administrative Judge
of OHA, or the AA/OHA when he or she acts as an Administrative Judge.
OHA means the Office of Hearings and Appeals.
Party means the petitioner, respondent, or intervenor.
Person means an individual or any form of business entity.
Petition means a written complaint, a written appeal from an SBA
determination, or a written request for the initiation of proceedings
before OHA.
Pleading means a petition, an order to show cause commencing a
case, an appeal petition, an answer, or any amendment or supplement to
those documents.
Respondent means any person or governmental agency against which a
case has been brought before OHA.
SBA means the Small Business Administration.
SIC code means Standard Industrial Classification code.
Size determination means a formal size determination made by an
Area Office.
Sec. 134.102 Jurisdiction of OHA.
OHA has authority to conduct proceedings in the following cases:
(a) The revocation or suspension of Small Business Investment
Company licenses, cease and desist orders, and the removal or
suspension of directors and officers of licensees, under the Investment
Act and part 107 of this chapter;
(b) Alleged violations of those civil rights laws which are
effectuated by parts 112, 113, 117, and 136 of this chapter;
(c) The revocation of the privilege of a person to conduct business
with SBA under the Act and part 103 of this chapter;
(d) The eligibility of, or preferred or certified status of, any
bank or non-bank lender to continue to participate in SBA loan programs
under the Act and part 120 of this chapter;
(e) The suspension or termination of surety bond program
participants under
[[Page 2684]]
15 U.S.C. 694a et seq. and part 115 of this chapter;
(f) The rights, privileges, or obligations of development companies
under section 504 of the Investment Act and part 120, subpart H, of
this chapter;
(g) Allowance of fees and expenses under the Equal Access to
Justice Act, 5 U.S.C. 504;
(h) Debarment from appearance before the SBA because of post-
employment restrictions under 18 U.S.C. 207 and part 105 of this
chapter;
(i) Collection of debts owed to SBA and the United States under the
Debt Collection Act of 1982 and part 140 of this chapter;
(j) Appeals from the following SBA 8(a) program determinations
under the Act and part 124 of this chapter:
(1) Denial of program admission based solely on a negative finding
as to social disadvantage, economic disadvantage, ownership or control;
program termination; program graduation; or denial of a waiver of the
requirement to perform to completion an 8(a) contract; and
(2) Program suspension;
(k) Appeals from size determinations and SIC code designations
under part 121 of this chapter;
(l) The imposition of civil penalties and assessments against
persons who make false claims or statements to SBA under the Program
Fraud Civil Remedies Act, 31 U.S.C. 3801-3812 and part 142 of this
chapter; and
(m) Any other hearing, determination, or appeal proceeding referred
to OHA by the Administrator of SBA.
Sec. 134.103 Rules applicable to time periods provided in this part.
(a) The day from which the time period is computed is excluded, but
the last business day is counted, excluding Saturday, Sunday, or
Federal holiday.
(b) At the Judge's initiative, or upon the motion of a party
showing good cause, the Judge may modify any of the applicable time
limits, other than those established by statute and those governing
when a case may be commenced. Any motion to extend a time limit must be
filed and served before the expiration of that time limit.
Subpart B--Rules of Practice for Most Cases
Sec. 134.201 Scope of the rules in this subpart B.
The rules in this subpart generally apply to all proceedings over
which OHA has jurisdiction, except for appeals from size determinations
and SIC code designations. Specific procedural rules pertaining to 8(a)
program appeals and to proceedings under the Program Fraud Civil
Remedies Act are set forth, respectively, in parts 124 and 142 of this
chapter. In the case of a conflict between a particular rule in this
part, and a rule of procedure pertaining to OHA appearing in another
part of this chapter, the latter rule shall govern.
Sec. 134.202 Commencement of cases.
A case may be commenced by filing a written petition within the
following time periods:
(a) Except as provided by paragraphs (b) through (d) of this
section, no later than 45 days from the date of service of the SBA
action or determination to which the petition relates;
(b) In debt collection proceedings under part 140 of this chapter,
no later than 15 days after receipt of a notice of indebtedness and
intention to collect such debt by salary or administrative offset;
(c) In applications for an award of fees pursuant to subpart D of
this part, no later than 30 days after the decision to which it applies
becomes final;
(d) For 8(a) program suspension proceedings, see Sec. 124.211 of
this chapter.
Sec. 134.203 The petition.
(a) A petition must contain the following:
(1) The basis of OHA's jurisdiction;
(2) A clear and concise statement of the factual basis of the case;
(3) The relief being sought; and
(4) The name, address, telephone number, and signature of the
petitioner or its attorney.
(b) A petition which does not contain all of the information
required by paragraph (a) of this section may be dismissed, with or
without prejudice, at the Judge's own initiative, or upon motion of the
respondent.
Sec. 134.204 Service and filing requirements.
(a) Service. Each party is responsible for the service of its
pleadings and other submissions upon all other parties or their
attorneys. Unless otherwise ordered by the Judge, service is made by
providing each party, or its attorney, with a copy of the pleading or
other submission by personal delivery, first- class mail, express mail,
facsimile transmission, or commercial delivery service. Service by mail
must be directed as follows:
(1) To a party's last-known residence or business address if it has
not yet appeared in the case, or to the address of a party which has
appeared as shown in its submission;
(2) If a party has appeared in the case through an attorney, to the
address of the attorney shown in the party's submission or in a notice
of appearance;
(3) If SBA is the party, unless an attorney has been specified in
SBA's submissions to OHA, by mailing to: Office of General Counsel,
Small Business Administration, 409 Third Street, S.W., Washington, D.C.
20416.
(b) Filing. (1) All pleadings and other submissions must be filed
with OHA by personal delivery, first-class mail, express mail,
facsimile transmission, or commercial delivery service. Filing may only
be accomplished at the following address: Office of Hearings and
Appeals, Small Business Administration, 409 Third Street, S.W.,
Washington, D.C. 20416.
(2) If filing is by personal delivery or commercial delivery
service, such filing must be accomplished between the hours of 8:30
a.m. and 5:00 p.m. If filing is by facsimile transmission, the
telephone number to be used may be obtained by calling OHA.
(c) Copies. Only the original of a pleading or other submission
must be filed with OHA. In the case of a document offered as evidence,
an authenticated copy may be filed instead of the original.
(d) Certificate of service. A signed certificate stating how and
when service was made on all parties must be attached to each pleading
or other submission filed with OHA.
(e) Date. Unless otherwise specified by the Judge, the date of
service or filing is as follows:
(1) If by facsimile transmission, the date of transmission.
(2) If by first-class mail, the date of postmark. Where the
postmark is illegible or incomplete, there is a rebuttable presumption
that the postmark was dated five days prior to the date of receipt.
(3) If by personal delivery, express mail, or commercial delivery
service, the date of receipt.
(f) Confidential information. Any information in pleadings or other
submissions that is believed by the submitting party to constitute
proprietary or confidential information need not be served upon parties
so long as the deletions are clearly identified and generally described
in the documents which are served. Upon motion, the Judge may direct
that the withheld information be provided to other parties, subject to
any appropriate protective order.
Sec. 134.205 Motion for a more definite statement.
(a) Procedure. No later than 20 days after service of the petition
or order to show cause, the respondent may serve
[[Page 2685]]
and file a motion requesting a more definite statement of particular
allegations in the petition.
(b) Stay. The serving and filing of a motion for a more definite
statement stays the time for serving and filing an answer. The Judge
will establish the time for serving and filing an answer.
Sec. 134.206 The answer.
(a) A respondent must serve and file an answer within 45 days after
the service of a petition or order to show cause, except that debt
collection proceeding answers are due within 30 days.
(b) The answer must contain the following:
(1) An admission or denial of each of the factual allegations
contained in the petition or order to show cause, or a statement that
the respondent denies knowledge or information sufficient to determine
the truth of a particular allegation;
(2) Any affirmative defenses; and
(3) The name, address, telephone number, and signature of the
respondent or its attorney.
(c) Allegations in the petition or order to show cause which are
not answered in accordance with paragraph (b)(1) of this section will
be deemed admitted unless injustice would occur.
(d) Upon an appeal from an SBA determination concerning the 8(a)
program, SBA must serve and file the administrative record pertaining
to that determination within the same time period applicable to the
service and filing of its answer. If SBA fails to do so, the Judge will
issue an order directing SBA to serve and file the administrative
record by a specified date.
(e) If the respondent fails to serve and file an answer within the
time period set forth in paragraph (a) of this section, or within any
extended time period granted by the Judge, that failure will constitute
a default. Following such a default, the respondent may be prohibited
from participating further in the case, except to serve and file the
administrative record in accordance with paragraph (d) of this section.
Sec. 134.207 Amendments and supplemental pleadings.
(a) Amendments. Upon motion, and under terms needed to avoid
prejudice to any non-moving party, the Judge may permit the service and
filing of amendments to pleadings. However, an amendment will not be
permitted if it would cause unreasonable delay in the determination of
the matter.
(b) Supplements. Upon motion, and under terms needed to avoid
prejudice to any non-moving party, the Judge may permit the service and
filing of a supplemental pleading setting forth relevant transactions
or occurrences that have taken place since the filing of the original
pleading.
(c) 8(a) appeals. In 8(a) program appeals, amendments to pleadings
and supplemental pleadings will be permitted by the Judge only upon a
showing of good cause.
(d) Answer. In an order permitting the serving and filing of an
amended or supplemented petition or order to show cause, the Judge will
establish the time for serving and filing an answer.
Sec. 134.208 Representation in cases before OHA.
(a) A party may represent itself, or be represented by a duly
licensed attorney. A member of a partnership may represent the
partnership, and an officer may represent a corporation, trust, or
association.
(b) An attorney for a party who did not appear on behalf of that
party in the party's first filing with OHA must serve and file a
written notice of appearance.
(c) An attorney seeking to withdraw from a case must serve and file
a motion for the withdrawal of his or her appearance.
Sec. 134.209 Requirement of signature.
Every written submission to OHA, other than evidence, must be
signed by the party filing that submission, or by the party's attorney.
By signing the submission, a party or its attorney attests that the
statements and allegations in that submission are true to the best of
its knowledge, and that the submission is not being filed for the
purpose of delay or harassment.
Sec. 134.210 Intervention.
(a) By SBA. SBA may intervene as of right at any time in any case
until final decision.
(b) By interested persons. Any individual, partnership,
association, corporation, trust, or governmental agency may move to
intervene at any time until final decision by serving and filing a
motion to intervene containing a statement of the movant's interest in
the case and the necessity for intervention to protect such interest.
The Judge may grant leave to intervene upon such terms as he or she
deems appropriate.
Sec. 134.211 Motions.
(a) Contents. All motions must state the relief being requested, as
well as the grounds and any authority for that relief.
(b) Response. No later than 20 days after the service of a motion,
all non-moving parties must serve and file a response or be deemed to
have consented to the relief sought. Unless the Judge directs
otherwise, the moving party will have no right to reply to a response,
nor will oral argument be heard on the motion.
(c) Service of orders. OHA will serve upon all parties any written
order issued in response to a motion.
Sec. 134.212 Summary decision.
(a) Grounds. A party may move for summary decision at any time as
to all or any portion of the case, on the grounds that there is no
genuine issue as to any material fact, and that the moving party is
entitled to a decision in its favor as a matter of law.
(b) Contents of motion. The motion must include a statement of the
material facts believed not to be disputed, and relevant law.
Supporting affidavits may also be included.
(c) Cross-motions. In its response to a motion for summary
decision, a party may cross-move for summary decision. The initial
moving party may serve and file a response to any cross-motion for
summary decision within 20 days after the service of that cross-motion.
(d) Stay. A motion for summary decision stays the time to answer.
The Judge will establish the time for serving and filing an answer in
the order determining the motion for summary decision.
Sec. 134.213 Discovery.
(a) Motion. A party may obtain discovery only upon motion, and for
good cause shown. For 8(a) program appeals other than those involving
suspensions, see Sec. 124.210 of this chapter.
(b) Forms. The forms of discovery which a Judge can order under
paragraph (a) of this section include requests for admissions, requests
for production of documents, interrogatories, and depositions.
(c) Limitations. Discovery may be limited in accordance with the
terms of a protective order. Further, privileged information and
irrelevant issues or facts will not be subject to discovery.
(d) Disputes. If a dispute should arise between the parties over a
particular discovery request, the party seeking discovery may serve and
file a motion to compel discovery. Discovery may be opposed on the
grounds of harassment, needless embarrassment, irrelevance, undue
burden or expense, privilege, or confidentiality.
Sec. 134.214 Subpoenas.
(a) Availability. At the request of a party, or upon his or her own
initiative, a Judge may issue a subpoena requiring
[[Page 2686]]
a witness to appear and testify, or to produce particular documents, at
a specified time and place.
(b) Requests. A request for the issuance of a subpoena must be
written, served upon all parties, and filed. The request must clearly
identify the witness and any documents to be subpoenaed, and must set
forth the relevance of the testimony or documents sought.
(c) Service. A subpoena may only be served by personal delivery.
The individual making service shall prepare an affidavit stating the
date, time, and place of the service. The party which obtained the
subpoena must serve upon all other parties, and file with OHA, a copy
of the subpoena and affidavit of service within 2 days after service is
made.
(d) Motion to quash. A motion to limit or quash a subpoena must be
served and filed within 10 days after service of the subpoena, or by
the return date of the subpoena, whichever date comes first. Any
response to the motion must be served and filed within 10 days after
service of the motion, unless a shorter time is specified by the Judge.
No oral argument will be heard on the motion unless the Judge directs
otherwise.
Sec. 134.215 Interlocutory appeals.
(a) General. A motion for leave to take an interlocutory appeal
from a Judge's ruling will not be entertained in those proceedings in
which OHA issues final decisions. In all other cases, an interlocutory
appeal will be permitted only if, upon motion by a party, or upon the
Judge's own initiative, the Judge certifies that his or her ruling
raises a question which is immediately appealable. Interlocutory
appeals will be decided by the AA/OHA or a designee.
(b) Motion for certification. A party must serve and file a motion
for certification no later than 20 days after issuance of the ruling to
which the motion applies. A denial of the motion does not preclude
objections to the ruling in any subsequent request for review of an
initial decision.
(c) Basis for certification. The Judge will certify a ruling for
interlocutory appeal only if he or she determines that:
(1) The ruling involves an important question of law or policy
about which there is substantial ground for a difference of opinion;
and
(2) An interlocutory appeal will materially expedite resolution of
the case, or denial of an interlocutory appeal would cause undue
hardship to a party.
(d) Stay of proceedings. A stay while an interlocutory appeal is
pending will be at the discretion of the Judge.
Sec. 134.216 Alternative dispute resolution procedures.
At any time during the pendency of a case, the parties may submit a
joint motion requesting that the Judge permit the use of alternative
dispute resolution procedures to assist in resolving the matter. If the
motion is granted, the Judge will also stay the proceedings before OHA,
in whole or in part, as he or she deems appropriate, pending the
outcome of the alternative dispute resolution procedures.
Sec. 134.217 Settlement.
At any time during the pendency of a case, the parties may submit a
settlement agreement, signed by all settling parties, to the Judge.
Settlement negotiations, and rejected settlement agreements, are not
admissible into evidence.
Sec. 134.218 Judges.
(a) Assignment. The AA/OHA will assign all cases subject to the
Administrative Procedure Act, 5 U.S.C. 551 et seq., to an
Administrative Law Judge. The AA/OHA will assign all other cases before
OHA to either an Administrative Law Judge or an Administrative Judge,
or, if the AA/OHA is a duly licensed attorney, to himself or herself.
(b) Authority. Except as otherwise limited by this part, or by
statute or other regulation, a Judge has the authority to take all
appropriate action to ensure the efficient, prompt, and fair
determination of a case, including, but not limited to, the authority
to administer oaths and affirmations and to subpoena and examine
witnesses.
(c) Recusal. Upon the motion of a party, or upon the Judge's own
initiative, a Judge will promptly recuse himself or herself from
further participation in a case whenever disqualification is
appropriate due to conflict of interest, bias, or some other
significant reason. A denial of a motion for recusal may be immediately
appealed to the AA/OHA, or to the Administrative Law Judge if the AA/
OHA is the Judge, but that appeal will not stay proceedings in the
case.
Sec. 134.219 Sanctions.
A Judge may impose appropriate sanctions, except for fees, costs,
or monetary penalties, which he or she deems necessary to serve the
ends of justice, if a party or its attorney:
(a) Fails to comply with an order of the Judge;
(b) Fails to comply with the rules set forth in this part;
(c) Acts in bad faith or for purposes of delay or harassment;
(d) Submits false statements knowingly, recklessly, or with
deliberate disregard for the truth; or
(e) Otherwise acts in an unethical or disruptive manner.
Sec. 134.220 Prohibition against ex parte communications.
No person shall consult or communicate with a Judge concerning any
fact, question of law, or SBA policy relevant to the merits of a case
before that Judge except on prior notice to all parties, and with the
opportunity for all parties to participate. In the event of such
prohibited consultation or communication, the Judge will disclose the
occurrence in accordance with 5 U.S.C. 557(d)(1), and may impose such
sanctions as he or she deems appropriate.
Sec. 134.221 Prehearing conferences.
Prior to a hearing, the Judge, at his or her own initiative, or
upon the motion of any party, may direct the parties or their attorneys
to appear, by telephone or in person, in order to consider any matter
which may assist in the efficient, prompt, and fair determination of
the case. The conference may be recorded verbatim at the discretion of
the Judge, and, if so, a party may purchase a transcript, at its own
expense, from the recording service.
Sec. 134.222 Oral hearing.
(a) Availability. A party may obtain an oral hearing only if:
(1) It is required by regulation; or
(2) Following the motion of a party, or at his or her own
initiative, the Judge orders an oral hearing upon concluding that there
is a genuine dispute as to a material fact that cannot be resolved
except by the taking of testimony and the confrontation of witnesses;
or
(3) In 8(a) program appeals other than those involving suspensions,
the requirements of Sec. 124.210 of this chapter are met.
(b) Place and time. The place and time of oral hearings is within
the discretion of the Judge, who shall give due regard to the necessity
and convenience of the parties, their attorneys, and witnesses. The
Judge may direct that an oral hearing be conducted by telephone.
(c) Public access. Unless otherwise ordered by the Judge, all oral
hearings are public.
(d) Payment of subpoenaed witnesses. A party which obtains a
witness' presence at an oral hearing by subpoena, must pay to that
witness the fees and mileage costs to which the witness would be
entitled in Federal Court.
(e) Recording. Oral hearings will be recorded verbatim. A
transcript of a
[[Page 2687]]
recording may be purchased by a party, at its own expense, from the
recording service.
Sec. 134.223 Evidence.
(a) Federal Rules of Evidence. Unless contrary to a particular rule
in this part, or an order of the Judge, the Federal Rules of Evidence
will be used as a general guide in all cases before OHA.
(b) Hearsay. Hearsay evidence is admissible if it is deemed by the
Judge to be relevant and reliable.
Sec. 134.224 Standards for decision.
The decision of a Judge will be based upon a preponderance of the
evidence.
Sec. 134.225 The record.
(a) Contents. The record of a case before OHA will consist of all
pleadings, motions, and other non-evidentiary submissions, all admitted
evidence, all orders and decisions, and any transcripts of proceedings
in the case.
(b) Public access. Except for information subject to a protective
order, proprietary or confidential information withheld in accordance
with this part, or any other information which is excluded from
disclosure by law or regulation, the record will be available at OHA
for public inspection during normal business hours. Copies of the
documents available for public inspection may be obtained by the public
upon payment of any duplication charges.
(c) Closure. The Judge will set the date upon which the pre-
decisional record of the case will be closed, and after which no
additional evidence or argument will be accepted.
Sec. 134.226 The decision.
(a) Contents. Following closure of the record, the Judge will issue
a decision containing findings of fact and conclusions of relevant law,
reasons for such findings and conclusions, and any relief ordered. The
contents of the record will constitute the exclusive basis for a
decision.
(b) Time limits. Decisions pertaining to the collection of debts
owed to SBA and the United States under the Debt Collection Act of 1982
and part 140 of this chapter must be rendered within 60 days after a
petition is filed.
(c) Service. OHA will serve a copy of all written decisions on:
(1) Each party, or, if represented by counsel, on its counsel; and
(2) SBA's General Counsel, or his or her designee, if SBA is not a
party.
Sec. 134.227 Finality of decisions.
(a) Final decisions. A decision on the merits shall be a final
decision, upon issuance, in proceedings concerning the collection of
debts owed to SBA and the United States, under the Debt Collection Act
of 1982 and part 140 of this chapter.
(b) Initial decisions. All decisions on the merits other than those
set forth in paragraph (a) of this section are initial decisions.
However, unless a request for review is filed pursuant to
Sec. 134.228(a), an initial decision shall become the final decision of
SBA 30 days after its issuance.
Sec. 134.228 Review of initial decisions.
(a) Request for review. Within 30 days after the service of an
initial decision, any party, or SBA's Office of General Counsel, may
serve and file with OHA a request for review. A request for review must
set forth the filing party's specific objections to the initial
decision, and any alleged support for those objections in the record,
or in case law, statute, regulation, or SBA policy. A party must serve
its request for review upon all other parties and upon SBA's Office of
General Counsel.
(b) Response. Within 20 days after the service of a request for
review, any party, or SBA's Office of General Counsel, may serve and
file with OHA a response. A party must serve its response upon all
other parties and upon SBA's Office of General Counsel.
(c) Transfer of the record. Upon receipt of all responses, or 30
days after the filing of a request for review, whichever is earlier,
OHA will transfer the record of the case to the Administrator. The
Administrator, or his or her designee, will then review the record.
(d) Standard of review. Upon review, the Administrator, or his or
her designee, will sustain the initial decision unless it is based on
an erroneous finding of fact or an erroneous interpretation or
application of case law, statute, regulation, or SBA policy.
(e) Order. The Administrator, or his or her designee, will:
(1) Affirm, reverse, or modify the initial decision, which
determination will become the final decision of the SBA upon issuance;
or
(2) Remand the initial decision to the Judge for appropriate
further proceedings.
Sec. 134.229 Termination of jurisdiction.
The jurisdiction of OHA will terminate upon the issuance of a
decision by a Judge resolving all material issues of fact and law
unless the case is subsequently remanded for appropriate further
proceedings, pursuant to Sec. 134.228(e)(2).
Subpart C--Rules of Practice for Appeals From Size Determinations
and SIC Code Designations
Sec. 134.301 Scope of the rules in this subpart C.
The rules of practice in this subpart C apply to all appeals to OHA
from:
(a) Formal size determinations made by an SBA Government
Contracting Area Office, under part 121 of this chapter, or by a
Disaster Area Office, in connection with applications for disaster
loans; and
(b) SIC code designations, pursuant to part 121 of this chapter.
Sec. 134.302 Who may appeal.
Appeals from size determinations and SIC code designations may be
filed with OHA by the following, as applicable:
(a) Any person adversely affected by a size determination;
(b) Any person adversely affected by a SIC code designation.
However, with respect to an 8(a) contract, only the Associate
Administrator for Minority Enterprise Development may appeal a SIC code
designation;
(c) The Associate or Assistant Administrator for the SBA program
involved, through SBA's Office of General Counsel; or
(d) The procuring agency contracting officer responsible for the
procurement affected by a size determination.
Sec. 134.303 No absolute right to an appeal from a size determination.
It is within the discretion of the Judge whether to accept an
appeal from a size determination. If the Judge decides not to consider
such an appeal, he or she will issue an order denying review, and
specifying the reasons for the decision.
Sec. 134.304 Commencement of appeals from size determinations and SIC
code designations.
(a) Appeals from size determinations and SIC code designations must
be commenced by serving and filing an appeal petition as follows:
(1) If appeal is from a size determination in a pending procurement
or pending Government property sale, then the appeal petition must be
served and filed within 15 days after service of the size
determination;
(2) If appeal is from a size determination other than one in a
pending procurement or pending Government property sale, then the
appeal petition must be served and filed within 30 days after service
of the size determination;
(3) If appeal is from a SIC code designation, then the appeal
petition must be served and filed within 10 days after the issuance of
the initial
[[Page 2688]]
invitation for bids or initial request for proposals or quotations.
(b) An untimely appeal will be dismissed. However, an appeal which
is untimely under paragraph (a)(1) of this section, with respect to a
pending procurement or sale, may, if timely under paragraph (a)(2) of
this section, proceed with respect to future procurements or sales.
Sec. 134.305 The appeal petition.
(a) Form. There is no required format for an appeal petition.
However, it must include the following information:
(1) The Area Office which issued the size determination, or the
contracting office which designated the SIC code;
(2) The solicitation or contract number, and the name, address, and
telephone number of the contracting officer;
(3) A full and specific statement as to why the size determination
or SIC code designation is alleged to be in error, together with
argument supporting such allegations; and
(4) The name, address, telephone number, and signature of the
appellant or its attorney.
(b) Service of size determination appeals. The appellant must serve
the appeal petition upon each of the following:
(1) The SBA official who issued the size determination;
(2) The contracting officer responsible for the procurement
affected by a size determination;
(3) The business concern whose size status is at issue;
(4) All persons who filed protests; and
(5) SBA's Office of General Counsel.
(c) Service of SIC appeals. The appellant must serve the
contracting officer who made the SIC code designation.
(d) Certificate of service. The appellant must attach to the appeal
petition a signed certificate identifying each person or governmental
agency which was served with the notice of appeal, and how and when
each of those persons or governmental agencies was served.
(e) Dismissal. An appeal petition which does not contain all of the
information required in paragraph (a) of this section may be dismissed,
with or without prejudice, by the Judge at his or her own initiative,
or upon motion of a respondent.
Sec. 134.306 Transmission of the case file.
Upon receipt of an appeal petition pertaining to a size
determination, the Area Office which issued the size determination must
immediately send to OHA the entire case file relating to that
determination. Upon receipt of an appeal petition pertaining to a SIC
code designation, the contracting officer who designated the SIC code
must immediately send to OHA the solicitation relating to that
designation.
Sec. 134.307 Service and filing requirements.
The provisions of Sec. 134.204 apply to the service and filing of
all pleadings and other submissions permitted under this subpart.
Sec. 134.308 Limitation on new evidence and adverse inference from
non-submission in appeals from size determinations.
(a) Evidence not previously presented to the Area Office which
issued the size determination being appealed will not be considered by
a Judge unless:
(1) The Judge, on his or her own initiative, orders the submission
of such evidence; or
(2) A motion is served and filed establishing good cause for the
submission of such evidence.
(b) If the submission of evidence is ordered by a Judge, and the
party in possession of that evidence does not submit it, the Judge may
draw adverse inferences against that party.
Sec. 134.309 Response to an appeal petition.
(a) Who may respond. Any person served with an appeal petition, or
any other interested person, may serve and file a response supporting
or opposing the appeal. The response should present argument.
(b) Time limits. Unless otherwise specified by the Judge, a
respondent must serve and file a response within 10 days after service
of the appeal petition upon it.
(c) Service. The respondent must serve its response upon the
appellant and upon each of the persons identified in the certificate of
service attached to the appeal petition pursuant to Sec. 134.305.
(d) Reply to a response. No reply to a response will be permitted
unless the Judge directs otherwise.
Sec. 134.310 Discovery.
Discovery will not be permitted in appeals from size determinations
or SIC code designations.
Sec. 134.311 Oral hearings.
Oral hearings will not be held in appeals from SIC code
designations, and will be held in appeals from size determinations only
upon a finding by the Judge of extraordinary circumstances. If such an
oral hearing is ordered, the proceeding shall be conducted in
accordance with those rules of subpart B of this part as the Judge
deems appropriate.
Sec. 134.312 Evidence.
To the extent the rules in this subpart permit the submission of
evidence, the provisions of Sec. 134.223 (a) and (b) apply.
Sec. 134.313 Applicability of subpart B provisions.
The following sections from subpart B of this part apply to an
appeal under this subpart C: Sec. 134.207(a) (pertaining to amendments
to pleadings); Sec. 134.208 (Representation in cases before OHA);
Sec. 134.209 (Requirement of signature); Sec. 134.210 (Intervention);
Sec. 134.211 (Motions); Sec. 134.214 (Subpoenas); Sec. 134.218
(Judges); Sec. 134.219 (Sanctions); and Sec. 134.220 (Prohibition
against ex parte communications).
Sec. 134.314 Standard of review.
The standard of review is whether the size determination or SIC
code designation was based on clear error of fact or law.
Sec. 134.315 The record.
Where relevant, the provisions of Sec. 134.225 (a), (b), and (c)
apply. In an appeal under this subpart, the contents of the record also
include the case file or solicitation submitted to OHA in accordance
with Sec. 134.306.
Sec. 134.316 The decision.
(a) Contents. Following closure of the record, the Judge will issue
a decision containing findings of fact and conclusions of law, reasons
for such findings and conclusions, and any relief ordered.
(b) Finality. The decision is the final decision of the SBA and
becomes effective upon issuance.
(c) Service. OHA will serve a copy of all written decisions on:
(1) Each party, or, if represented by counsel, on its counsel; and
(2) SBA's General Counsel, or his or her designee, if SBA is not a
party.
Sec. 134.317 Termination of jurisdiction.
The jurisdiction of OHA will terminate upon the issuance of a
decision.
Sec. 134.318 Return of the case file.
Upon termination of jurisdiction, OHA will return the case file to
the transmitting Area Office. The remainder of the record will be
retained by OHA.
Subpart D--Implementation of the Equal Access to Justice Act
Sec. 134.401 What is the purpose of this subpart?
The Equal Access to Justice Act, 5 U.S.C. 504, establishes
procedures by which prevailing parties in certain
[[Page 2689]]
administrative proceedings may apply for reimbursement of fees and
other expenses. Eligible parties may receive awards when they prevail
over SBA, unless SBA's position in the proceeding was ``substantially
justified'' or, as provided in Sec. 134.405(b), special circumstances
make an award unjust. The rules of this subpart explain which OHA
proceedings are covered, who may be eligible for an award of fees and
expenses, and how to apply for such an award.
Sec. 134.402 Under what circumstances may I apply for reimbursement?
You may apply for reimbursement under this subpart if you meet the
eligibility requirements in Sec. 134.406 and you prevail over SBA in a
final decision in:
(a) The type of administrative proceeding which qualifies as an
``adversary adjudication'' under Sec. 134.403; or
(b) An ancillary or subsidiary issue in that administrative
proceeding that is sufficiently significant and discrete to merit
treatment as a separate unit; or
(c) A matter which the agency orders to be determined as an
``adversary adjudication'' under 5 U.S.C. 554.
Sec. 134.403 What is an adversary adjudication?
For purposes of this subpart, adversary adjudications are
administrative proceedings before OHA which involve SBA as a party and
which are required to be conducted by an Administrative Law Judge
(``ALJ''). These adjudications (``administrative proceedings'') include
those proceedings listed in Sec. 134.102 (a), (i), and (j)(1), but do
not include other OHA proceedings such as those listed in
Sec. 134.102(k). In order for an administrative proceeding to qualify,
SBA must have been represented by counsel or by another representative
who enters an appearance and participates in the proceeding.
Sec. 134.404 What benefits may I claim?
You may seek reimbursement for certain reasonable fees and expenses
incurred in prosecuting or defending a claim in an administrative
proceeding.
Sec. 134.405 Under what circumstances are fees and expenses
reimbursable?
(a) If you are a prevailing eligible party, you may receive an
award for reasonable fees and expenses unless the position of the
agency in the proceeding is found by the ALJ to be ``substantially
justified'', or special circumstances exist which make an award unjust.
The ``position of the agency'' includes not only the position taken by
SBA in the administrative proceeding, but also the position which it
took in the action which led to the administrative proceeding. No
presumption arises that SBA's position was not substantially justified
simply because it did not prevail in a proceeding. However, upon your
assertion that the position of SBA was not substantially justified, SBA
will be required to establish that its position was reasonable in fact
and law.
(b) The ALJ may reduce or deny an award for reimbursement if you
have unreasonably protracted the administrative proceeding or if other
special circumstances would make the award unjust.
(c) Awards for fees and expenses incurred before the date on which
an administrative proceeding was initiated are allowable only if you
can demonstrate that they were reasonably incurred in preparation for
the proceeding.
Sec. 134.406 Who is eligible for possible reimbursement?
(a) You are eligible for possible reimbursement if:
(1) You are an individual, owner of an unincorporated business,
partnership, corporation, association, organization, or unit of local
government; and
(2) You are a party, as defined in 5 U.S.C. 551(3); and
(3) You are the prevailing party; and
(4) You meet certain net worth and employee eligibility
requirements set forth in Sec. 134.407.
(b) You are not eligible for possible reimbursement if you
participated in the administrative proceeding only on behalf of persons
or entities that are ineligible.
Sec. 134.407 How do I know which eligibility requirement applies to
me?
Follow this chart to determine your eligibility. You should
calculate your net worth and the number of your employees as of the
date the administrative proceeding was initiated.
----------------------------------------------------------------------------------------------------------------
If your participation in the proceeding was: Eligibility requirements:
----------------------------------------------------------------------------------------------------------------
(1) As an individual rather than a business owner...... (1) Personal net worth may not exceed 2 million
dollars.
(2) As owner of an unincorporated business............. (2) Personal net worth may not exceed 7 million
dollars, and
No more than 500 employees.
(3) As a partnership, corporation, association, (3) Business net worth may not exceed 7 million
organization, or unit of local government. dollars, and
No more than 500 employees.
(4) As a charitable or other tax-exempt organization (4) No net worth limitations, and
described in 26 U.S.C. 501(c)(3) or a cooperative No more than 500 employees.
association as defined in 12 U.S.C. 1141j(a).
----------------------------------------------------------------------------------------------------------------
Sec. 134.408 What are the special rules for calculating net worth and
number of employees?
(a) Your net worth must include the value of any assets disposed of
for the purpose of meeting an eligibility standard, and must exclude
any obligation incurred for that purpose. Transfers of assets, or
obligations incurred, for less than reasonably equivalent value will be
presumed to have been made for the purpose of meeting an eligibility
standard.
(b) If you are an owner of an unincorporated business, or a
partnership, corporation, association, organization, or unit of local
government, your net worth must include the net worth of all of your
affiliates. ``Affiliates'' are:
(1) Corporations or other business entities which directly or
indirectly own or control a majority of the voting shares or other
ownership interests in the applicant concern; and
(2) Corporations or other business entities in which the applicant
concern directly or indirectly owns or controls a majority of the
voting shares or other ownership interests.
(c) Your employees include all those persons regularly working for
you at the time the administrative proceeding was initiated, whether or
not they were at work on that date. Part-time employees must be
included on a proportional basis. You must include the employees of all
your affiliates in your total number of employees.
Sec. 134.409 What is the difference between a fee and an expense?
A fee is a charge to you for the professional services of
attorneys, agents, or expert witnesses rendered in connection with your
case. An expense
[[Page 2690]]
is the cost to you of any study, analysis, engineering report, test,
project, or similar matter prepared in connection with your case.
Sec. 134.410 Are there limitations on reimbursement for fees and
expenses?
(a) Awards will be calculated on the basis of fees and expenses
actually incurred. If services were provided by one or more of your
employees, or were made available to you free, you may not seek an
award for those services. If services were provided at a reduced rate,
fees and expenses will be calculated at that reduced rate.
(b) In determining the reasonableness of the fees for attorneys,
agents or expert witnesses, the ALJ will consider at least the
following:
(1) That provider's customary fee for like services;
(2) The prevailing rate for similar services in the community in
which that provider ordinarily performs services;
(3) The time actually spent in representing you; and
(4) The time reasonably spent in light of the difficulty and
complexity of the issues.
(c) An award for the fees of an attorney or agent may not exceed
$75 per hour, and an award for the fees of an expert witness may not
exceed $25 per hour, regardless of the rate charged.
(d) An award for the reasonable cost of any study, analysis,
engineering report, test, project or similar matter prepared on your
behalf may not exceed the prevailing rate payable for similar services,
and you may be reimbursed only if the study or other matter was
necessary to the preparation of your case.
Sec. 134.411 What should I include in my application for an award?
(a) Your application must be in the form of a written petition
which is served and filed in accordance with Sec. 134.204. It must
contain the following information:
(1) A statement that OHA has jurisdiction over the case pursuant to
Sec. 134.102(g);
(2) Identification of the administrative proceeding for which you
are seeking an award;
(3) A statement that you have prevailed, and a list of each issue
in which you claim the position of SBA was not substantially justified;
(4) Your status as an individual, owner of an unincorporated
business, partnership, corporation, association, organization, or unit
of local government;
(5) Your net worth and number of employees as of the date the
administrative proceeding was initiated, or a statement that one or
both of these eligibility requirements do not apply to you;
(6) The amount of fees and expenses you are seeking, along with the
invoice or billing statement from each service provider;
(7) A description of any affiliates (as that term is defined in
Sec. 134.408), or a statement that no affiliates exist;
(8) A statement that the application and any attached statements
and exhibits are true and complete to the best of your knowledge and
that you understand a false statement on these documents is a felony
punishable by fine and imprisonment under 18 U.S.C. 1001; and
(9) (i) Your name and address;
(ii) Your signature, or the signature of either a responsible
official or your attorney; and
(iii) The address and telephone number of the person who signs the
application.
(b) You should follow this chart to determine which further
documents must be included with your application:
----------------------------------------------------------------------------------------------------------------
Party Required documents
----------------------------------------------------------------------------------------------------------------
(1) Individual, owner of unincorporated business, (1) Net worth exhibit.
partnership, corporation, association, organization,
or unit of local government.
(2) Organization qualified as tax-exempt under 26 (2) Copy of a ruling by the Internal Revenue Service
U.S.C. 501(c)(3). that you qualify as a 501(c)(3) organization or
Statement that you were listed in the current edition
of IRS Bulletin 78 as of the date the administrative
proceeding was initiated.
(3) Tax-exempt religious organization not required to (3) Description of your organization and the basis for
obtain a ruling from the Internal Revenue Service on your belief you are exempt.
its exempt status.
(4) Cooperative association as defined in 12 U.S.C. (4) Copy of your charter or articles of incorporation,
1141j(a). and
Copy of your bylaws.
----------------------------------------------------------------------------------------------------------------
Sec. 134.412 What must a net worth exhibit contain?
(a) A net worth exhibit may be in any format, but it must contain:
(1) List of all assets and liabilities for you and each affiliate
in detail sufficient to show your eligibility;
(2) Aggregate net worth for you and all affiliates; and
(3) Description of any transfers of assets from, or obligations
incurred by, you or your affiliates within one year prior to the
initiation of the administrative proceeding which reduced your net
worth below the eligibility ceiling, or a statement that no such
transfers occurred.
(b) The net worth exhibit must be filed with your application, but
will not be part of the public record of the proceeding. Further, in
accordance with the provisions of Sec. 134.204(g), you need not serve
your net worth exhibit on other parties.
Sec. 134.413 What documentation do I need for fees and expenses?
You must submit a separate itemized statement or invoice for the
services of each provider for which you seek reimbursement. Each
separate statement or invoice must contain:
(a) The hours worked in connection with the proceeding by each
provider supplying a billable service;
(b) A description of the specific services performed by each
provider;
(c) The rate at which fees were computed for each provider;
(d) The total charged by the provider on that statement or invoice;
and
(e) The provider's verification that the statement or invoice is
true to the best of his or her knowledge and that he or she understands
that a false statement is punishable by fine and imprisonment under 18
U.S.C. 1001.
Sec. 134.414 What deadlines apply to my application for an award and
where do I send it?
After you have prevailed in an administrative proceeding or in a
discrete issue therein, you must serve, and file with OHA, your written
application for an award, and its attachments, no later than 30 days
after the decision in the administrative proceeding becomes final under
Sec. 134.227. The deadline for filing an application for an award may
not be extended. If SBA or another party requests review of the
decision in the underlying administrative proceeding,
[[Page 2691]]
your request for an award for fees and expenses may still be filed, but
it will not be considered by the ALJ until a final decision is
rendered.
Sec. 134.415 How will proceedings relating to my application for fees
and expenses be conducted?
Proceedings will be conducted in accordance with the provisions in
subpart B of this part.
Sec. 134.416 How will I know if I receive an award?
The ALJ will issue an initial decision on the merits of your
request for an award which will become final in 30 days unless a
request for review is filed under Sec. 134.228. The decision will
include findings on your eligibility, on whether SBA's position was
substantially justified, and on the reasonableness of the amount you
requested. Where applicable, there will also be findings on whether you
have unduly protracted the proceedings or whether other circumstances
make an award unjust, and an explanation of the reason for the
difference, if any, between the amount requested and the amount
awarded. If you have sought an award against more than one federal
agency, the decision will allocate responsibility for payment among the
agencies with appropriate explanation.
Sec. 134.417 May I seek review of the ALJ's decision on my award?
You may request review of the ALJ's decision on your award by
filing a request for review in accordance with Sec. 134.228. You may
seek judicial review of a final decision as provided in 5 U.S.C.
504(c)(2).
Sec. 134.418 How are awards paid?
If you are seeking payment of an award, you must submit a copy of
the final decision, along with your certification that you are not
seeking judicial review of either the decision in the adversary
adjudication, or of the award, to the following address: Chief
Financial Officer, Office of Financial Operations, SBA, P.O. Box 205,
Denver, CO 80201-0205. SBA will pay you the amount awarded within 60
days of receipt of your request unless it is notified that you or
another party has sought judicial review of the underlying decision or
the award.
PART 132--[REMOVED]
2. Part 132 is hereby removed.
PARTS 112, 113, 124, and 136--[AMENDED]
3. In accordance with the list below, for each section indicated in
the left column, remove the reference indicated in the middle column
from wherever it appears in the section, and add in its place the
reference in the right column:
------------------------------------------------------------------------
Section Remove Add
------------------------------------------------------------------------
112.11(b)....................... 134.34............ 134.228
112.11(b)....................... 134.19............ 134.222
112.11(b)....................... 134.21............ 134.211
112.11(c)....................... 134.32(b)......... 134.227(b)
113.7(b)........................ 134.34............ 134.228
113.7(b)........................ 134.19............ 134.222
113.7(b)........................ 134.21............ 134.211
113.7(c)........................ 134.32(b)......... 134.227(b)
124.210(b)...................... 134.11(a)......... 134.203(a)
124.210(d)(2)................... 134.12............ 134.202
124.211(g)...................... 134.19............ 134.222
136.170(j)(2)................... 134.34(a)......... 134.228(a)
136.170(j)(2)................... 134.34(b)......... 134.228(a)
136.170(j)(2)................... 134.32(b)(3)...... 134.227(b)
------------------------------------------------------------------------
Philip Lader,
Administrator.
[FR Doc. 96-1158 Filed 1-26-96; 8:45 am]
BILLING CODE 8025-01-P