§ 386.14 Reply.
Current wording, effective November 17, 2023.
(a) Time for reply. Theto respondentthe Notice of Claim. Respondent must serve a reply to the Notice of Claim in writing within 1530 days afterfollowing aservice of the Notice of Claim. LetterThe reply is to be served, orin 30accordance dayswith after§ a386.6 Noticeupon ofthe InvestigationService isCenter receivedindicated in the Notice of Claim.
(b) ContentsOptions offor reply. The replyrespondent must containreply to the Notice of Claim within the time allotted by choosing one of the following:
(1) AnPaying admissionthe orfull denialamount ofasserted eachin allegation of the claimNotice orof noticeClaim andin aaccordance concisewith statement§ 386.18 of factsthis constituting each defensepart;
(2) IfContesting the respondentclaim contestsby therequesting claimadministrative oradjudication notice,pursuant ato requestparagraph for(d) anof oralthis hearingsection; or
(3) noticeSeeking ofbinding intentarbitration toin submitaccordance evidencewith withoutthe anAgency's oralprogram. hearingAlthough mustthe beamount containedof in the reply.proposed Apenalty requestmay forbe adisputed, hearingreferral mustto listbinding allarbitration materialis factscontingent believedupon toan beadmission inof disputeliability that the violations occurred.
(c) Failure to requestanswer athe hearingNotice withinof 15Claim. days(1) afterRespondent's failure to answer the Notice of Claim Letterin isaccordance served,with orparagraph 30(a) daysof this section may result in the caseissuance of a Notice of Investigation,Default shalland constituteFinal aOrder waiverby the Field Administrator. The Notice of anyDefault rightand Final Order will declare respondent to abe hearing;in
(3)Adefault statementand offurther whetherdeclare the respondentNotice wishesof toClaim, negotiateincluding the termscivil ofpenalty paymentproposed orin settlementthe Notice of Claim, to be the amountFinal claimed,Order orin the termsproceeding. andThe conditionsFinal Order will be effective five days following service of the order;Notice of Default and Final Order.
(42) CertificationThe thatdefault theconstitutes replyan hasadmission beenof servedall infacts accordancealleged within §the 386.31.Notice
(c)Submission of evidence.Claim Ifand a noticewaiver of intentrespondent's opportunity to submitcontest evidencethe withoutclaim. oralThe hearingdefault iswill filed,be orreviewed ifby nothe hearingAgency isDecisionmaker requestedin underaccordance paragraphwith § 386.64(b)(2) of this section, and the respondentFinal contestsOrder themay claimbe orvacated thewhere contentsa ofrespondent thedemonstrates noticeexcusable neglect, alla evidencemeritorious mustdefense, beor serveddue diligence in writtenseeking formrelief.
(3) noFailure laterto thanpay the 40thcivil daypenalty followingas servicedirected ofin thea ClaimFinal LetterOrder orthat Noticehas ofbecome Investigation.a EvidenceFinal mustAgency beOrder servedconstitutes ina violation of that order, subjecting the formrespondent specifiedto an additional penalty as prescribed in §subpart 386G of this part.49.
(d) Complainant'sRequest request for aadministrative hearingadjudication. IfThe respondent may contest the respondentclaim filesand arequest noticeadministrative ofadjudication intentpursuant to submitparagraph evidence(b)(2) withoutof formalthis hearing,section. theAn complainantadministrative may,adjudication withinis 15a daysprocess afterto thatresolve replycontested isclaims filed,before submitthe aAgency requestDecisionmaker, forAdministrative aLaw formalJudge, hearing.or TheHearing requestOfficer. mustOnce includean aadministrative listingadjudication ofoption allis factualelected, issuesit believedis tobinding beon inthe disputerespondent.
(e1) FailureContents. In addition to the general requirements of this section, the reply ormust requestbe ain hearing.writing Ifand state the respondentgrounds doesfor notcontesting replythe toclaim aand Claimmust Letterraise withinany affirmative defenses the timerespondent prescribedintends into thisassert. sectionSpecifically, the Claimreply:
(i) LetterMust becomesadmit theor finaldeny agencyeach orderseparately stated and numbered allegation of violation in the proceedingclaim. 25A daysstatement afterthat itthe person is served.without Whensufficient noknowledge replyor information to admit or deny will have the Noticeeffect of Investigationa isdenial. received,Any allegation in the Assistantclaim Administratornot may,specifically ondenied motionin the reply is deemed admitted. A mere general denial of anythe party,claim issueis ainsufficient finaland ordermay result in a default being entered by the proceedingAgency Decisionmaker upon motion by the Field Administrator.
(fii) Non-complianceMust withinclude finalall order.known Failureaffirmative todefenses, payincluding thethose civilrelating penaltyto asjurisdiction, directedlimitations, inand aprocedure.
(iii) finalMust orderstate constituteswhich aone violation of thatthe orderfollowing subjectingoptions the respondent toseeks:
(A) anTo additionalsubmit penaltywritten asevidence prescribedwithout inhearing; subpartor
(B) GAn ofinformal thishearing; partor
(C) A formal hearing.
(2) [50Reserved]
[70 FR 4030628481, Oct.May 218, 19852005, as amended at 5688 FR 1018380182, MarNov. 1117, 19912023]
(a) Time for reply to the Notice of Claim. Respondent must serve a reply to the Notice of Claim in writing within 30 days following service of the Notice of Claim. The reply is to be served in accordance with § 386.6 upon the Service Center indicated in the Notice of Claim.
(b) Options for reply. The respondent must reply to the Notice of Claim within the time allotted by choosing one of the following:
(1) Paying the full amount asserted in the Notice of Claim in accordance with § 386.18 of this part;
(2) Contesting the claim by requesting administrative adjudication pursuant to paragraph (d) of this section; or
(3) Seeking binding arbitration in accordance with the Agency's program. Although the amount of the proposed penalty may be disputed, referral to binding arbitration is contingent upon an admission of liability that the violations occurred.
(c) Failure to answer the Notice of Claim. (1) Respondent's failure to answer the Notice of Claim in accordance with paragraph (a) of this section may result in the issuance of a Notice of Default and Final Order by the Field Administrator. The Notice of Default and Final Order will declare respondent to be in default and further declare the Notice of Claim, including the civil penalty proposed in the Notice of Claim, to be the Final Order in the proceeding. The Final Order will be effective five days following service of the Notice of Default and Final Order.
(2) The default constitutes an admission of all facts alleged in the Notice of Claim and a waiver of respondent's opportunity to contest the claim. The default will be reviewed by the Agency Decisionmaker in accordance with § 386.64(b), and the Final Order may be vacated where a respondent demonstrates excusable neglect, a meritorious defense, or due diligence in seeking relief.
(3) Failure to pay the civil penalty as directed in a Final Order that has become a Final Agency Order constitutes a violation of that order, subjecting the respondent to an additional penalty as prescribed in subpart G of this part.
(d) Request for administrative adjudication. The respondent may contest the claim and request administrative adjudication pursuant to paragraph (b)(2) of this section. An administrative adjudication is a process to resolve contested claims before the Agency Decisionmaker, Administrative Law Judge, or Hearing Officer. Once an administrative adjudication option is elected, it is binding on the respondent.
(1) Contents. In addition to the general requirements of this section, the reply must be in writing and state the grounds for contesting the claim and must raise any affirmative defenses the respondent intends to assert. Specifically, the reply:
(i) Must admit or deny each separately stated and numbered allegation of violation in the claim. A statement that the person is without sufficient knowledge or information to admit or deny will have the effect of a denial. Any allegation in the claim not specifically denied in the reply is deemed admitted. A mere general denial of the claim is insufficient and may result in a default being entered by the Agency Decisionmaker upon motion by the Field Administrator.
(ii) Must include all known affirmative defenses, including those relating to jurisdiction, limitations, and procedure.
(iii) Must state which one of the following options respondent seeks:
(A) To submit written evidence without hearing; or
(B) An informal hearing; or
(C) A formal hearing.
(2) [Reserved]
[70 FR 28481, May 18, 2005, as amended at 88 FR 80182, Nov. 17, 2023]
Amendment history
7 distinct wordings on file since Oct. 1, 1996- [70 FR 28481, May 18, 2005, as amended at 88 FR 80182, Nov. 17, 2023]
- [70 FR 28481, May 18, 2005]
- [70 FR 28481, May 18, 2005
- [50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]
- [50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]
- [50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]
- Oct. 1, 1996 → Oct. 1, 1999annual editions 1996–1998[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]
A new entry appears whenever the regulatory words change between government snapshots. Day-precise from the eCFR (2017 onward); before that, one snapshot per annual CFR edition (revised as of October 1). Bracketed citations are the Federal Register history printed with the section. Set a case date in the header to read any earlier wording.