4.3

The hearing

How the hearing is arranged and what happens in it

On receiving a timely request the Director of Industry Operations makes the necessary arrangements as expeditiously as possible and advises the applicant or licensee of the date, time, location, and the name of the officer before whom the hearing will be held. That notification must be made no less than 10 days in advance of the date set. The place is not chosen for the agency’s convenience: the designated place of the hearing shall be a location convenient to the aggrieved party — a small provision, and the only one in this subpart written from the licensee’s side of the table.

You need not appear alone or in person as a lawyer. An applicant or licensee may represent themselves, or be represented by an attorney, a certified public accountant, or any other person specifically designated in a duly executed power of attorney filed in the proceeding. Waivers under the Privacy Act of 1974 and 26 U.S.C. 6103(c) are filed where applicable. The government may be represented by an attorney in the Office of Chief Counsel, authorized to execute and file motions, briefs and other papers in the proceeding in their own name as Attorney for the Government. At the hearing itself the applicant or licensee has the opportunity to submit facts and arguments for review and consideration; offers of settlement are not entertained there, though they may be made beforehand.

The decision follows the hearing rather than emerging from it. On conclusion, and after considering all the relevant presentations made by the licensee or their representative, the Director renders a decision and prepares a brief summary of the findings and conclusions it rests on. If the decision goes against the licensee — revocation, or in the narrower statutory actions a suspension or civil fine — a certified copy of that summary is furnished with the final notice on ATF Form 5300.13. The summary matters beyond the courtesy of an explanation: it is the reasoned record of what was decided and why, and it is what any later review has to work from.

Key terms

aggrieved partypower of attorneyAttorney for the Governmentsummary of findingsATF Form 5300.13