Rules of Practice and Procedure: Final Rule

Summary

On December 28, 2023, the Office of the Comptroller of the Currency (OCC), along with the Board of Governors of the Federal Reserve System (Federal Reserve Board), the Federal Deposit Insurance Corporation (FDIC), and the National Credit Union Administration (NCUA), published a final rule amending the Uniform Rules of Practice and Procedure (Uniform Rules) in 12 CFR 19 to recognize the use of electronic communications in all aspects of administrative hearings and to otherwise increase the efficiency and fairness of administrative adjudications. The OCC also updated its agency-specific rules of administrative practice and procedure (Local Rules) and integrated federal savings associations (FSAs) into its Uniform Rules and Local Rules, 12 CFR 19, so that one set of rules applies to both national banks and FSAs. Finally, the OCC amended its rules on organization and functions to address service of process.

The rule takes effect on April 1, 2024.

Highlights

The final rule makes the following changes, among others:

• Adds a definition of "electronic signature" to the Uniform Rules.
• Codifies the current practice of permitting electronic service and filings in the process of administrative actions.
• Allows for remote depositions if certain conditions are met.
• Adopts notice pleading for administrative proceedings.
• Modifies the discovery rules to recognize electronic documents and allow for electronic production.
• Includes specific Equal Access to Justice Act procedures based on the 2019 Administrative Conference of the United States Model Rule.
• Adds specific provisions related to the forfeiture of a national bank, FSA, or federal branch or agency charter or franchise for certain money laundering or cash transaction offenses.
• Updates the cease-and-desist authority of the OCC to include violations of certain provisions of the Sarbanes–Oxley Act.
• Establishes new rules for expert and hybrid fact-expert witnesses.
• Consolidates the Uniform Rules and Local Rules for national banks and FSAs.

Further Information

Please contact MaryAnn Nash, Counsel, Chief Counsel's Office, at (202) 649-5490.

Benjamin W. McDonough
Senior Deputy Comptroller and Chief Counsel

Related Link

• "Rules of Practice and Procedure" (PDF)