been a violation, by providing the suspected individual or entity with notice as described in paragraph (d)(2) of this section, (ix) Request the head of the DoD Component in which the case arose to appoint a Government representative to present evidence of violations, (x) In cases not subject to the APA, request the head of a DoD Component, other then the DoD Component in which the case arose, to appoint a hearing examiner, (xi) In cases subject to the APA, request Administrative Law Judge to be appointed by the Office of Administrative Law Judges to serve as hearing examiner, (xii) Receive written appeals from suspected individuals or entities, (xiii) Make appeal decisions, when appeals are timely submitted, after reviewing the findings of facts and decision of the hearing examiner and the appeal, (xiv) Impose administrative disciplinary sanctions when applicable, (xv) Mail copies of appeal decisions and/or any sanctions to be imposed to the suspected individuals of entities along with statements notifying of the right to seek judicial review of administrative decisions. (2) The Inspector General, Department of Defense (IG, DoD), shall: (i) Receive reports of suspected violations directly from DAEOS or designees, (ii) Submit copies of reports of suspected violations to the GC, OSD, (iii) Perform preliminary investigations of cases reported by DAEOS or designees, (iv) Submit memoranda reporting results of investigations to the GC, OSD. (3) The Designated Agency Ethics Official (DAEO) or Designee shall: (i) Receive reports of suspected violations from DoD personnel and other individuals, (ii) Review reports of suspected violations to determine whether the report is frivolous, (iii) Submit written reports of suspected violations, when the information regarding the violations is not frivolous, directly to the IG, DOD, and not through ordinary DoD Component channels. (4) The Hearing Examiner shall: (i) Hear each case in accordance with the hearing procedures specified in paragraph (d)(4) of this section, (ii) Make a written report of all findings of fact and conclusions of law, including mitigating factors, (iii) Make a written decision and recommendation of administrative disciplinary sanctions to be imposed, (iv) Submit the report, the decision, and any recommendations to the GC, OSD, through the DoD Component Head, (v) Mail a copy of the report, the decision, and any recommendations to the suspected individual or entity, (d) Procedures—(1) Initiation of administrative disciplinary action. (i) Administrative disciplinary actions are initiated by providing suspected individuals or entities with notice of the report of a violation and notice of the intention to begin administrative disciplinary proceedings at least 20 calendar days prior to the beginning of such proceedings. (ii) When hearings are required by statute, a hearing shall be conducted before imposition of administrative disciplinary sanctions unless the suspected individual or entity waives the hearing in writing in accordance with paragraphs (d)(2) (iii) and (iv) of this section. (iii) When hearings are not required by statute, a hearing may be requested in writing by the suspected individual or entity in accordance with paragraphs (d)(2) (v) and (vi) of this section. (2) Content of notice. Notice to initiate administrative disciplinary proceedings shall include the following: (i) A statement of allegations, and the basis thereof, sufficiently detailed to enable the suspected individual or entity to prepare an adequate defense, (ii) Notification of the right to a hearing when a hearing is required by statute, (iii) The procedure for waiving the right to appear at the hearing when a hearing is required by statute, (iv) A copy of a written waiver that shall include a statement that the signer understands that the signer has the right to appear at a hearing and that administrative disciplinary sanc tions may be imposed even if the signer does not appear at a hearing, (v) When a hearing is not required by statute, a statement to the effect that if the suspected individual or entity fails to request such a hearing in writing, the Department of Defense may take administrative disciplinary action which may result in imposition of administrative disciplinary sanctions, (vi) The procedure for requesting a hearing when a hearing is not required by statute, (vii) Notice that the failure to appear at a scheduled hearing shall constitute a constructive waiver of the right to appear at the hearing, (viii) The date, time, and place of a scheduled hearing; however, suspected individuals or entities shall be scheduled to appear for hearings in the Federal judicial district in which the individual or entity resides or in the Federal judicial district in which the alleged violation occurred. (ix) A statement of hearing rights in accordance with paragraph (g)(4)(i) of this section. (x) A copy of these Administrative Enforcement Provisions (§ 40.14). (3) Hearing examiners. (i) Hearing examiners shall be attorneys with not less than three years experience in the practice of law susequent to admission to the bar. (ii) A hearing examiner shall be impartial. An individual who has participated in the decision to initiate proceedings shall not serve as a hearing examiner in those proceedings. (iii) In cases not subject to the APA, the GC, OSD, shall request the Head of a DoD Component, other than the DoD Component in which the case arose, to appoint a hearing examiner. (iv) In cases subject to the APA, Administrative Law Judges (ALJ) shall be used as hearing examiners. The GC, OSD, shall forward a written request to the Office of Administrative Law Judges, Office of Personnel Management. See 5 U.S.C. 3344. The request shall contain the following: (A) The requisite authority requiring an APA hearing for the particular statutory violation. (B) The status of the case, (D) The point of contact within the Department of Defense and, (E) An acknowledgment that that request is being made on a reimbursable, intermittent basis. (4) Hearings. (i) The hearing examiner shall have the power to do the following: (A) Administer oaths and affirmations, (B) Issue subpoenas authorized by law, (C) Rule on offers of proof and receive relevant evidence, (D) Take depositions or have depositions taken when justice shall be served, (E) Regulate the course of the hearing, (F) Hold conferences for the settlement or simplification of the issues by comment from the suspected individual or entity and the Government representative, (G) Dispose of procedural requests or similar matters, and (H) Make decisions, in writing, on the merits of the particular case, as well as written recommendations of administrative disciplinary sanctions. (ii) Suspected individuals and entities shall have hearing rights which include the following: (A) The right to self-representation, or to be represented by counsel, (B) The right to introduce evidence and witnesses and the right to examine adverse witnesses, (C) The right to stipulate to facts, (D) The right to present oral argument, (E) The right to receive a transcript or recording of the proceedings upon request, and (F) Additional rights that may be in the Administrative Procedure Act, if applicable. (iii) Before the hearing examiner makes a decision, or the GC, OSD, makes an appeal decision, the suspected individual or entity and the Government representative may submit the following material for consideration: (A) Proposed findings and conclusions, or (B) Exceptions to the decisions of the hearing examiner, or to the tentative decisions of the GC, OSD, and (C) Supporting reasons for the exceptions or proposed findings or conclusions. (iv) The record shall reflect the ruling on each finding, conclusion, or exception. All decisions by the hearing examiner or the GC, OSD, shall be a part of the record, along with the reasons and basis for such findings and decisions. (5) Appeals. (i) Within 20 days following the date on the report and recommendations from the hearing examiner, the suspected individual or entity may file an appeal with the GC, OSD. An appeal shall be in writing, and shall set forth all errors of fact, law, or both, together with the reasons, alleged to exist in the report from the hearing examiner. (ii) Extensions of time to file an appeal may be granted at the discretion of the GC, OSD, upon receipt of a written request for an extension from the individual or entity concerned. (iii) The GC, OSD, shall make a written appeal decision if any appeal is submitted timely, after reviewing the report of findings of facts, the decision, and recommendations from the hearing examiner. (iv) If the appeal decision is not in accordance with the report of findings of facts, the decision, or recommendations from the hearing examiner, the reasons shall be specified. (v) The decision of the GC, OSD, shall be the final administrative determination. The appeal decision shall be mailed to the suspected individual or entity along with a statement, if applicable, that the individual or entity may seek judicial review of the administrative determinations. (6) Administrative sanctions. (i) The GC, OSD, may take appropriate disciplinary action when indicated by the outcome of a case involving a violation of 18 U.S.C. 207 by: (A) Prohibiting the individual or entity from making, on behalf of any other person except the United States, any formal or informal appearance before, or any oral or written communication with the intent to influence, to the Department of Defense, its officers or employees, or any matter of business for a period not to exceed five years. This may be enforced by direct ing DoD officers and employees to refuse to participate in any such appearance, or to accept any such communication. (B) Barring the individual or entity from employment by the Department of Defense for a period not to exceed five years. (ii) The GC, OSD, may take appropriate disciplinary action whenever indicated by the outcome of a case involving violations of 10 U.S.C. 2397, 2397a, or 2397c by: (A) Imposing an administrative penalty, not to exceed $10,000. (B) With respect to violations of 10 U.S.C. 2397a, imposing an additional administrative penalty of a particular amount if the individual is determined to have accepted or continued employment with a defense contractor during a 10-year period beginning with the date of separation from Government service. (iii) The GC, OSD, may take other appropriate disciplinary action when indicated by the outcome of a case in accordance with the laws or regulations violated. (7) Judicial review. Any individual or entity found in violation as described, and against whom an administrative sanction is imposed, may seek judicial review of the final administrative determination. 50-119 0-91-3 AV Technology Corp. Able Service Contractors, Inc. Action Mfg. Co. Actus Corp. & Sundt Corp. JV Acurex Corp. Acustar, Inc. Advanced Decision Systems Aerojet Electrosystems Co. Aeroquip Corp. Aerospace Corp., The Aircraft Braking Systems Corp. Alberici J.I. & Eby JV Allied Signal Aerospace Co. Aluminum Co. of America Amerada Hess Corp. America Saft, Inc. American Airlines, Inc. American Apparel, Inc. American Auto Carriers American Cyanimid Co., Inc. American Dredging Co. American Education Complex College Dis trict American Fuel Cell & Coated Fabrics American Management Systems, Inc. American President Lines, Ltd. American Satellite Co. American Systems Corp. American Systems Engnr. Corp. American Telephone & Telegraph Co. American Trans Air, Inc. American Transport Lines, Ltd. Ameriqual Foods, Inc. Ametek, Inc. Amoco Corp. Ampex Corp. Amron Corp. Amstar Corp. Anadac, Inc. Analysis & Technology, Inc. Analytic Services, Inc. Analytical Science Corp., The Analytical Systems Engineering Corp. Anderson, Arthur & Co. Andrulis Research Corp. Angelo H. & Co., Inc. Applied Technology Associates, Inc. Aral AG Arcata Associates, Inc. Aries Prepared Beef Co. Arinc Research Corp. Armored Vehicle Technologies Assoc. Arral Industries, Inc. Assurance Technology Corp. Astro Valcour, Inc. Astronautics Corp. of America Atlantic Marine, Inc. Atlantic Research Corp. Atlas Processing Co. Automated Sciences Group, Inc. Avco Research Laboratory, Inc. Aviall of Texas, Inc. Avondale Industries, Inc. Aydin Corp. BBDO Worldwide, Inc. BDM International, Inc. BRB Contractors, Inc. Babcock & Wilcox Co., The Balimoy Mfg. Co. of Venice Ball Corp. Baltimore Gas & Electric Co. Barletta Engineering Corp. Barrett Refining Corp. Barron Construction & Grading Co. Basil & Trataros JV Bateson, J.W. Co., Inc. Bath Iron Works Corp. Battelle Memorial Institute Bay Tankers, Inc. Bean Dredging Corp. Beatrice Companies, Inc. Bechtel National, Inc. Becon Services Corp. Becton Dickinson & Co. Beech Aerospace Services, Inc. Beech Aircraft Corp. Bell Helicopter Textron, Inc. Belleville Shoe Mfg. Co. Bellsouth Government Systems, Inc. Bender, Allen L., Inc. Beneco Enterprises, Inc. Berry Petroleum Co. Betac Corp. Bicoastal Corp. Bilfinger & Berger Bauaktienge Black & Veatch Blackstocks, Inc. Blinderman Construction Co. Blount, Inc. Blue Cross & Blue Shield of South Carolina Boeing Aerospace & Electronics Boeing Co. & Sikorsky Aircraft JV Boeing Co., The Boeing Computer Services Bollinger Machine Shop & Shipyard Bolt Beranek & Newman, Inc. Booz Allen & Hamilton, Inc. Bristol Myers Squibb Co. British Aerospace PLC Brown & Root, Inc. Brown & Root Services Corp. Brown, Dayton T., Inc. Brunswick Corp. Bulova Systems & Instruments Corp. Bundesamt Fuer Wehrtechnik Burnside Ott Aviation Training Center C3, Inc. C Cubed Corp. CACI, Inc. CACI International, Inc. CAE Industries, Ltd. CAS, Inc. CBI Na Con, Inc. CBIS Federal CDI Marine Co. CFM International, Inc. CFS Aircargo, Inc. CRSS, Inc. CRS Sirrine Metcalf & Eddy JV CTA, Inc. Cable & Computer Technology Caddell Construction Co., Inc. Cadillac Gage Textron, Inc. Calcasieu Refining Co. California Pacific Associates Calspan Corp. Caltex Oil Pakistan, Ltd. Caltex Oil Products Co. Campbell Soup Co. Cantu Services, Inc. Carnegie Mellon University Carolina Power & Light Co. Carson, Richard S. & Associates Cascade General, Inc. Case, J.I. Co. Centel Information Systems Century Technologies, Inc. Chamberlain Mfg. Corp. Chemical Waste Management Chevron USA, Inc. Chromalloy Gas Turbine Corp. Chrysler Technologies Airborne Systems Cibro Terminals, Inc. Cincinnati Electronics Corp. Cincinnati Gear Co., The Cinpac, Inc. Clarke Detroit Diesel Allison Coastal Eagle Point Oil Co. Coastal Refining & Marketing Coastal States Trading, Inc. Cobro Corp. Coca Cola Co., Inc. Cockerham, John M. & Associates Coleman Research Corp. Collins International Service Co. Colorado Springs, City of Colsa, Inc. Coltec Industries, Inc. Columbia Research Corp. Comarco, Inc. Combustion Engineering, Inc. Compania Espanola De Petroleos Compliance Corp. Comprehensive Technologies International Comptek Research, Inc. Compton Webb Group Marketing, Ltd. Compuchem Laboratories, Inc. Computer Dynamics, Inc. Computer Sciences Corp. Computer Sciences Raytheon JV Computer Software Analysts, Inc. Conagra, Inc. Conoco, Inc. Consolidated Electronics, ITT & Westing house JV Construcciones Aeronauticas SA Contel Advanced Systems, Inc. Contel Federal Systems, Inc. Continental Maritime of San Diego Contraves Goerz Corp. Control Data Canada, Ltd. Control Data Corp. Conventional Munitions Systems Coopers & Lybrand Cornell University Craft Machine Works, Inc. Crowley Maritime Corp. Crysen Corp. Cubic Corp. Cummins Engine Co., Inc. Curtis Wright Flight Systems DTH Management Group Daimler Benz AG Dames & Moore Dawson Construction Co. Day & Zimmerman, Inc. Day & Zimmerman/Basil Corp. JV Dayton Power & Light Co., The De Bra, Fred B. Co., The De Nardi & DBMW Construction JV Deere & Co. Deere, John Co. Defense Systems Co., Inc. Defense Systems, Inc. Del Jen, Inc. Delta Altama Corp. Delta Dental Plan of California Denro, Inc. Derecktor Robert E. of Rhode Island Detroit Diesel Corp. Detyens Shipyards, Inc. Deutsche Bundespost Diamond Shamrock Refining Digital Equipment Corp. Dillingham Construction Corp. Directed Technologies, Inc. Donaldson Co., Inc. |