---
kind: "range"
citation: "43 C.F.R. §§ 4.1102–4.1115"
title: "43"
from: "4.1102"
to: "4.1115"
count: 14
url: "https://uscodex.org/cfr/43/4.1102..4.1115"
---

# §4.1102. Construction.


These rules shall be construed to achieve the just, timely, and inexpensive determination of all proceedings consistent with adequate consideration of the issues involved.


# §4.1103. Eligibility to practice.

- (a) An administrative law judge or the Board may determine the eligibility of persons to practice before OHA in any proceeding under the act pursuant to [43 CFR part 1](/cfr/43/part1.md).
- (b) If an administrative law judge or the Board determines that any person is not qualified to practice before OHA, the administrative law judge or the Board shall disqualify the person and report the disqualification to the Director of OHA.
- (c) Upon receipt of a report under [paragraph (b)](#b) of this section, the Director of OHA may request the Solicitor to initiate a disciplinary proceeding under [43 CFR 1.6](/cfr/43/1.6.md).

# §4.1104. General rules relating to procedure and practice.


Proceedings in OHA under the act are subject to the general rules relating to procedures and practice in subpart B of this part.


# §4.1105. Parties.

- (a) All persons indicated in the act as parties to administrative review proceedings under the act shall be considered statutory parties. Such statutory parties include—
  - (1) In a civil penalty proceeding under [§ 4.1150](/cfr/43/4.1150.md), OSM, as represented by the Office of the Solicitor, Department of the Interior, and any person against whom a proposed assessment is made who files a petition;
  - (2) In a review proceeding under §§ [4.1160 through 4.1171](/cfr/43/4.1160..4.1171.md), [4.1180 through 4.1187](/cfr/43/4.1180..4.1187.md), [4.1300 through 4.1309](/cfr/43/4.1300..4.1309.md), [4.1350 through 4.1356](/cfr/43/4.1350..4.1356.md), [4.1360 through 4.1369](/cfr/43/4.1360..4.1369.md), [4.1370 through 4.1377](/cfr/43/4.1370..4.1377.md), [4.1380 through 4.1387](/cfr/43/4.1380..4.1387.md) or [4.1390 through 4.1394](/cfr/43/4.1390..4.1394.md) of this part, OSM, as represented by the Office of the Solicitor, Department of the Interior, and—
    - (i) If an applicant, operator, or permittee files an application or request for review, the applicant, operator, or permittee; and
    - (ii) If any other person having an interest which is or may be adversely affected files an application or request for review, the applicant, operator, or permittee and the person filing such application or request;
  - (3) In a proceeding to suspend or revoke a permit under [§ 4.1190](/cfr/43/4.1190.md) et seq. OSM, as represented by the Office of the Solicitor, Department of the Interior, and the permittee who is ordered to show cause why the permit should not be suspended or revoked; and
  - (4) In a discriminatory discharge proceeding under [§ 4.1200](/cfr/43/4.1200.md) et seq. OSM, as represented by the Office of the Solicitor, Department of the Interior, any employee or any authorized representative of employees who files an application for review, and the alleged discriminating party, except where the applicant files a request for the scheduling of a hearing under [§ 4.1201(c)](/cfr/43/4.1201.md?p=c) only such applicant and the alleged discriminating party.
  - (5) In an appeal to the Board in accordance with [43 CFR 4.1280 through 4.1286](/cfr/43/4.1280..4.1286.md) from a determination of the Director of OSM or his or her designee under [30 CFR 842.15(d)](/cfr/30/842.15.md?p=d) or a determination of an authorized representative under [30 CFR 843.12(i)](/cfr/30/843.12.md?p=i), the permittee of the operation that is the subject of the determination and any person whose interests may be adversely affected by the outcome on appeal and who participated before OSM. A person who wishes his or her identity kept confidential under [30 CFR 842.12(b)](/cfr/30/842.12.md?p=b) is responsible for maintaining that confidentiality when serving documents in accordance with [§ 4.1109](/cfr/43/4.1109.md).
- (b) Any other person claiming a right to participate as a party may seek leave to intervene in a proceeding by filing a petition to do so pursuant to [§ 4.1110](/cfr/43/4.1110.md).
- (c) If any person has a right to participate as a full party in a proceeding under the act and fails to exercise that right by participating in each stage of the proceeding, that person may become a participant with the rights of a party by order of an administrative law judge or the Board.

# §4.1106. Hearing sites.


Unless the act requires otherwise, hearings shall be held in a location established by the administrative law judge; however, the administrative law judge shall give due regard to the convenience of the parties or their representatives and witnesses.


# §4.1107. Filing of documents.

- (a) **Proceedings before an administrative law judge (ALJ).**
  - (1) Any initial pleadings or other documents in a proceeding to be conducted or being conducted by an ALJ under these rules must be filed with DCHD as specified in [§ 4.102](/cfr/43/4.102.md) of this part as well as the OHA Standing Orders on Electronic Transmission and the OHA Standing Orders on Contact Information available on the Department of the Interior OHA website at https://www.doi.gov/oha.
  - (2) The effective filing date for documents filed with DCHD will be determined as specified in [§ 4.102(a)](/cfr/43/4.102.md?p=a). The person or entity filing the document has the burden of establishing the filing date.
- (b) **Proceedings before the Board.**
  - (1) Any notice of appeal, petition for review, or other documents in a proceeding to be conducted or being conducted by the Board must be filed as specified in [§ 4.407](/cfr/43/4.407.md) of this part, the OHA Standing Orders on Electronic Transmission, and the OHA Standing Orders on Contact Information.
  - (2) The effective filing date for documents filed with the Board will be determined as specified in [§ 4.407(a)](/cfr/43/4.407.md?p=a) of this part. The person or entity filing the document has the burden of establishing the filing date.

# §4.1108. Form of documents.

- (a) Any document filed with OHA in any proceeding brought under the act must be captioned with—
  - (1) The names of the parties;
  - (2) The name of the mine to which the document relates; and
  - (3) If review is being sought under section 525 of the Act, identification by number of any notice or order sought to be reviewed.
- (b) After a docket number has been assigned to the proceeding by OHA, the caption must contain the assigned docket number.
- (c) The caption may include other information appropriate for identification of the proceeding, including the permit number or OSMRE identification number.
- (d) Each document must contain a title that identifies the contents of the document following the caption.
- (e) The original of any document filed with OHA must be signed, or digitally signed, by the person or entity submitting the document or by the representative of the person or entity.
- (f) The mailing address, email address, telephone number, and other contact information for the person or entity filing the document or the attorney representing the person or entity must appear beneath the signature.
- (g) Documents filed under this subpart with DCHD must also conform to the requirements of [§ 4.103](/cfr/43/4.103.md) of this part, and documents filed under this subpart with the Board must also conform to [§ 4.408](/cfr/43/4.408.md) of this part.

# §4.1109. Service.

- (a) Any party initiating a proceeding under the act must concurrently serve copies of the initiating documents on the appropriate office of the Office of the Solicitor representing OSMRE in the State or on the Indian lands in which the mining operation at issue is located and on any other statutory parties as specified under [§ 4.1105](/cfr/43/4.1105.md).
- (b) The jurisdiction and contact information for the appropriate office of the Office of the Solicitor to be served under [paragraph (a)](#a) of this section are set forth in the OHA Standing Orders on Contact Information.
- (c) All other documents filed with DCHD must be served as specified in [§ 4.102](/cfr/43/4.102.md).
- (d) All other documents filed with the Board must be served as specified in [§ 4.407](/cfr/43/4.407.md).

# §4.1110. Intervention.

- (a) Any person, including a State, or OSM may petition for leave to intervene at any stage of a proceeding in OHA under the act.
- (b) A petitioner for leave to intervene shall incorporate in the petition a statement setting forth the interest of the petitioner and, where required, a showing of why his interest is or may be adversely affected.
- (c) The administrative law judge or the Board shall grant intervention where the petitioner—
  - (1) Had a statutory right to initiate the proceeding in which he wishes to intervene; or
  - (2) Has an interest which is or may be adversely affected by the outcome of the proceeding.
- (d) If neither [paragraph (c)(1)](#c-1) nor (c)(2) of this section apply, the administrative law judge or the Board shall consider the following in determining whether intervention is appropriate—
  - (1) The nature of the issues;
  - (2) The adequacy of representation of petitioner's interest which is provided by the existing parties to the proceeding;
  - (3) The ability of the petitioner to present relevant evidence and argument; and
  - (4) **The effect of intervention on the agency's implementation of its statutory mandate.**
- (e) Any person, including a State, or OSM granted leave to intervene in a proceeding may participate in such proceeding as a full party or, if desired, in a capacity less than that of a full party. If an intervenor wishes to participate in a limited capacity, the extent and the terms of the participation shall be in the discretion of the administrative law judge or the Board.

# §4.1111. Voluntary dismissal.


Any party who initiated a proceeding before OHA may seek to withdraw by moving to dismiss at any stage of a proceeding and the administrative law judge or the Board may grant such a motion.


# §4.1112. Motions.

- (a) Except for oral motions made in proceedings on the record, or where the administrative law judge otherwise directs, each motion shall—
  - (1) Be in writing; and
  - (2) **Contain a concise statement of supporting grounds.**
- (b) Unless the administrative law judge or the Board orders otherwise, any party to a proceeding in which a motion is filed under [paragraph (a)](#a) of this section shall have 15 days from service of the motion to file a statement in response.
- (c) Failure to make a timely motion or to file a statement in response may be construed as a waiver of objection.
- (d) An administrative law judge or the Board shall rule on all motions as expeditiously as possible.

# §4.1113. Consolidation of proceedings.


When proceedings involving a common question of law or fact are pending before an administrative law judge or the Board, such proceedings are subject to consolidation pursuant to a motion by a party or at the initiative of an administrative law judge or the Board.


# §4.1114. Advancement of proceedings.

- (a) Except in expedited review proceedings under [§ 4.1180](/cfr/43/4.1180.md), or in temporary relief proceedings under [§ 4.1266](/cfr/43/4.1266.md), at any time after commencement of a proceeding, any party may move to advance the scheduling of a proceeding.
- (b) Except as otherwise directed by the administrative law judge or the Board, any party filing a motion under this section shall—
  - (1) Make the motion in writing;
  - (2) Describe the exigent circumstances justifying advancement;
  - (3) Describe the irreparable harm that would result if the motion is not granted; and
  - (4) **Incorporate in the motion affidavits to support any representations of fact.**
- (c) Service of a motion under this section shall be accomplished by personal delivery or telephonic communication followed by mail or by electronic transmission under the terms specified in the OHA Standing Orders on Electronic Transmission. Service is complete upon mailing or, if service is made by electronic transmission, at the time of transmission.
- (d) Unless otherwise directed by the administrative law judge or the Board, all parties to the proceeding in which the motion is filed shall have 10 days from the date of service of the motion to file a statement in response to the motion.
- (e) Following the timely receipt by the administrative law judge of statements in response to the motion, the administrative law judge may schedule a hearing regarding the motion. If the motion is granted, the administrative law judge may advance pleading schedules, prehearing conferences, and the hearing, as deemed appropriate: Provided, A hearing on the merits shall not be scheduled with less than 5 working days notice to the parties, unless all parties consent to an earlier hearing.
- (f) If the motion is granted, the Board may, if it deems such action to be appropriate, advance the appeal on its calendar and order such other advancement as may be appropriate, including an abbreviated schedule for briefing or oral argument.

# §4.1115. Waiver of right to hearing.


Any person entitled to a hearing before an administrative law judge under the act may waive such right in writing. Where parties are directed by any rule in these regulations to file a responsive pleading on or before a specified time, any party who fails to file such responsive pleading by the time specified, may be deemed to have waived his right to a hearing. Unless all parties to a proceeding who are entitled to a hearing waive, or are deemed to have waived such right, a hearing will be held.