[Code of Federal Regulations]

[Title 31, Volume 3]

[Revised as of July 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 31CFR501.719]



[Page 62-63]

 

                  TITLE 31--MONEY AND FINANCE: TREASURY

 

 CHAPTER V--OFFICE OF FOREIGN ASSETS CONTROL, DEPARTMENT OF THE TREASURY

 

PART 501_REPORTING, PROCEDURES AND PENALTIES REGULATIONS--Table of 

Contents

 

          Subpart D_Trading With the Enemy Act (TWEA) Penalties

 

Sec. 501.719  Ex parte communications.



    (a) Prohibition.

    (1) From the time the Director issues an Order Instituting 

Proceedings until the date of final decision, no party, interested 

person, or representative thereof shall knowingly make or cause to be 

made an ex parte communication.

    (2) Except to the extent required for the disposition of ex parte 

communication matters as authorized by law, the Secretary's designee and 

the Administrative Law Judge presiding over any proceeding may not:

    (i) consult a person or party on an issue, unless on notice and 

opportunity for all parties to participate; or

    (ii) be responsible to or subject to the supervision, direction of, 

or evaluation by, an employee engaged in the performance of 

investigative or prosecutorial functions for the Department.

    (b) Procedure upon occurrence of ex parte communication. If an ex 

parte communication is received by the Administrative Law Judge or the 

Secretary's designee, the Administrative Law Judge or the Secretary's 

designee, as appropriate, shall cause all of such written communication 

(or, if the communication is oral, a memorandum



[[Page 63]]



stating the substance of the communication) to be placed on the record 

of the proceeding and served on all parties. A party may, not later than 

10 days after the date of service, file a response thereto and may 

recommend that the person making the prohibited communication be 

sanctioned pursuant to paragraph (c) of this section.

    (c) Sanctions. Any party to the proceeding, a party's 

representative, or any other interested individual, who makes a 

prohibited ex parte communication, or who encourages or solicits another 

to make any such communication, may be subject to any appropriate 

sanction or sanctions imposed by the Administrative Law Judge or the 

Secretary's designee, as appropriate, for good cause shown, including, 

but not limited to, exclusion from the hearing and an adverse ruling on 

the issue that is the subject of the prohibited communication.