Access forms and further information about the administrative adjudication process and proceedings before the administrative law judge.
Please note that these sample forms are only informational and may not reflect the practice of the administrative law judge assigned to the case. Be sure to consult the applicable orders for each administrative law judge for the appropriate forms used by that judge.
- Sample Subpoena for Documents (Consult the rules on subpoenas before attempting to use an OFIA subpoena. Misuse may expose you to sanctions.)
- Sample Subpoena for Testimony at a Deposition (Consult the rules on subpoenas before attempting to use an OFIA subpoena. Misuse may expose you to sanctions.)
- Sample Subpoena for Testimony at a Hearing (Consult the rules on subpoenas before attempting to use an OFIA subpoena. Misuse may expose you to sanctions.)
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Information for Parties of Administrative Proceedings
The summaries below are intended for informational purposes only and do not supersede the text of the relevant agency’s rules or an order issued by the administrative law judge in a given case.
In general, a respondent must file an Answer within 20 days of service of the Agency’s Notice of Charges, specifically responding to each paragraph or allegation of fact contained therein. Failure to file a timely Answer will constitute a waiver of the respondent’s right to appear and contest the allegations in the Notice of Charges. See 12 C.F.R. §§ 19.19 (OCC), 263.19 (FRB), 308.19 (FDIC), 747.19 (NCUA).
If a civil money penalty is sought by the Agency, a respondent has 20 days from the date of service to request a hearing. If a respondent fails to request a hearing within the time provided, the notice of assessment of a civil money penalty will constitute a final order that cannot be appealed. A request for an extension of time to file an Answer does not extend the time period to request a hearing. Therefore, all requests for hearings on the assessment of a civil money penalty must be filed within 20 days from the date of service of the Notice of Charges. See 12 C.F.R. §§ 19.19 (OCC), 263.19 (FRB), 308.19 (FDIC), 747.19 (NCUA).
Persons who need translation and interpretation services or a reasonable accommodation to participate in an Office of Financial Institution Adjudication proceeding should contact OFIA at firstname.lastname@example.org as soon as possible.
All filings with the Office of Financial Institution Adjudication (OFIA) should, if possible, be sent electronically to email@example.com. Any document sent to OFIA must include a certificate of service and be served on all other parties that have entered an appearance.
When filing high-volume documents (generally, transmissions exceeding 25 Mb), including attachments to motions, the parties are directed to use the secure file transfer protocol (SFTP) maintained by the FDIC. When preparing to submit documents using the SFTP, a request must be made at least two business days in advance of the planned submissions. An email should be sent to firstname.lastname@example.org requesting the necessary single-use credential. The single-use credential expires within a designated period of time, which will be specified in the credentialing email. Once the request is processed, the requesting party will receive two emails, one with a username and another with a password to enable the party to upload the documents to the secure server.