Title 31 — Money and Finance — § 3804. Subpoena authority
Summary
These pages (355 and 356) of Title 31 of the printed U.S. Code carry § 3804, added by Pub. L. 99–509 in 1986, which lets an investigating official subpoena information, documents, records and data for an investigation under section 3803(a)(1), and lets a presiding officer administer oaths and subpoena witnesses and documents for a hearing under section 3803(f). If a person refuses to obey, the authority asks the Attorney General to petition a district court for an enforcement order, and failure to obey that order is punishable as contempt. The pages also carry notes to § 3803, including a 2024 amendment (Pub. L. 118–159) that substituted '$1,000,000' for '$150,000' in subsection (c)(1), § 3805 on judicial review, with petitions due within 60 days, and § 3806 on collection of civil penalties and assessments by the Attorney General.
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Page 355 TITLE 31—MONEY AND FINANCE § 3804
Section 3 of the Food and Nutrition Act of 2008, re- Pub. L. 110–246, § 4002(b)(1)(A), (B), (2)(S), substituted
ferred to in subsec. (c)(2)(C)(vii), is classified to section ‘‘supplemental nutrition assistance program’’ for ‘‘food
2012 of Title 7, Agriculture. stamp program’’ and ‘‘Food and Nutrition Act of 2008’’
The Black Lung Benefits Act, referred to in subsec. for ‘‘Food Stamp Act of 1977’’.
(c)(2)(C)(ix), is title IV of Pub. L. 91–173, Dec. 30, 1969, 1999—Subsec. (c)(2)(C)(xiii). Pub. L. 106–78 substituted
83 Stat. 792, which is classified generally to subchapter ‘‘Richard B. Russell National School Lunch Act’’ for
IV (§ 901 et seq.) of chapter 22 of Title 30, Mineral Lands ‘‘National School Lunch Act’’.
and Mining. For complete classification of this Act to 1996—Subsec. (c)(2)(C)(iv). Pub. L. 104–193 amended cl.
the Code, see section 901(b) of Title 30 and Tables. (iv) generally. Prior to amendment, cl. (iv) read as fol-
Section 17 of the Child Nutrition Act of 1966, referred lows: ‘‘aid to families with dependent children under a
to in subsec. (c)(2)(C)(x), is classified to section 1786 of State plan approved under section 402(a) of the Social
Title 42, The Public Health and Welfare. Security Act;’’.
Section 336 of the Older Americans Act, referred to in 1994—Subsec. (c)(2)(C)(x). Pub. L. 103–448 substituted
subsec. (c)(2)(C)(xi), probably means section 336 of the ‘‘special supplemental nutrition program’’ for ‘‘special
Older Americans Act of 1965, which is classified to sec- supplemental food program’’.
tion 3030f of Title 42.
The Railroad Retirement Act of 1974, referred to in Statutory Notes and Related Subsidiaries
subsec. (c)(2)(C)(xii), is act Aug. 29, 1935, ch. 812, as
amended generally by Pub. L. 93–445, title I, § 101, Oct. EFFECTIVE DATE OF 2008 AMENDMENT
16, 1974, 88 Stat. 1305, which is classified generally to Amendment of this section and repeal of Pub. L.
subchapter IV (§ 231 et seq.) of chapter 9 of Title 45, 110–234 by Pub. L. 110–246 effective May 22, 2008, the
Railroads. For further details and complete classifica- date of enactment of Pub. L. 110–234, except as other-
tion of this Act to the Code, see Codification note set wise provided, see section 4 of Pub. L. 110–246, set out
out preceding section 231 of Title 45, section 231t of as an Effective Date note under section 8701 of Title 7,
Title 45, and Tables. Agriculture.
The Richard B. Russell National School Lunch Act, Amendment by sections 4002(b)(1)(A), (B), (2)(S), and
referred to in subsec. (c)(2)(C)(xiii), is act June 4, 1946, 4115(c)(2)(E) of Pub. L. 110–246 effective Oct. 1, 2008, see
ch. 281, 60 Stat. 230, which is classified generally to section 4407 of Pub. L. 110–246, set out as a note under
chapter 13 (§ 1751 et seq.) of Title 42, The Public Health section 1161 of Title 2, The Congress.
and Welfare. For complete classification of this Act to
the Code, see Short Title note set out under section EFFECTIVE DATE OF 1996 AMENDMENT
1751 of Title 42 and Tables. Amendment by Pub. L. 104–193 effective July 1, 1997,
The Low-Income Home Energy Assistance Act of 1981, with transition rules relating to State options to accel-
referred to in subsec. (c)(2)(C)(xv), is title XXVI of Pub. erate such date, rules relating to claims, actions, and
L. 97–35, Aug. 13, 1981, 95 Stat. 893, which is classified proceedings commenced before such date, rules relating
generally to subchapter II (§ 8621 et seq.) of chapter 94 to closing out of accounts for terminated or substan-
of Title 42. For complete classification of this Act to tially modified programs and continuance in office of
the Code, see Short Title note set out under section Assistant Secretary for Family Support, and provisions
8621 of Title 42 and Tables. relating to termination of entitlement under AFDC
The Energy Conservation in Existing Buildings Act of program, see section 116 of Pub. L. 104–193, as amended,
1976, referred to in subsec. (c)(2)(C)(xvi), is title IV of set out as an Effective Date note under section 601 of
Pub. L. 94–385, Aug. 14, 1976, 90 Stat. 1150. Part A of the Title 42, The Public Health and Welfare.
Energy Conservation in Existing Buildings Act of 1976
is classified generally to Part A (§ 6861 et seq.) of sub- EFFECTIVE DATE OF 1994 AMENDMENT
chapter III of chapter 81 of Title 42. For complete clas- Amendment by Pub. L. 103–448 effective Oct. 1, 1994,
sification of this Act to the Code, see Short Title note see section 401 of Pub. L. 103–448, set out as a note
set out under section 6801 of Title 42 and Tables. under section 1755 of Title 42, The Public Health and
The Federal Civil Penalties Inflation Adjustment Act Welfare.
of 1990, referred to in subsec. (c)(3), is Pub. L. 101–410,
Oct. 5, 1990, 104 Stat. 890, which is set out as a note § 3804. Subpoena authority
under section 2461 of Title 28, Judiciary and Judicial
Procedure. (a) For the purposes of an investigation under
section 3803(a)(1) of this title, an investigating
CODIFICATION official is authorized to require by subpoena the
Pub. L. 110–234 and Pub. L. 110–246 made identical production of all information, documents, re-
amendments to this section. The amendments by Pub. ports, answers, records, accounts, papers, and
L. 110–234 were repealed by section 4(a) of Pub. L. data not otherwise reasonably available to the
110–246.
authority.
AMENDMENTS (b) For the purposes of conducting a hearing
2024—Subsec. (c)(1)(A), (B). Pub. L. 118–159, § 5203(c)(1),
under section 3803(f) of this title, a presiding of-
substituted ‘‘$1,000,000’’ for ‘‘$150,000’’. ficer is authorized—
Subsec. (c)(3). Pub. L. 118–159, § 5203(c)(2), added par. (1) to administer oaths or affirmations; and
(3). (2) to require by subpoena the attendance
Subsec. (d)(2)(B). Pub. L. 118–159, § 5203(g)(1)(B)(ii), and testimony of witnesses and the production
designated existing provisions as cl. (i), substituted ‘‘in of all information, documents, reports, an-
the case of a referral to a presiding officer described in swers, records, accounts, papers, and other
subparagraph (A) or (B) of section 3801(a)(7), the pre- data and documentary evidence which the pre-
siding’’ for ‘‘the presiding’’ and ‘‘person; or’’ for ‘‘per-
son.’’, and added cl. (ii)
siding officer considers relevant and material
Subsec. (d)(2)(C). Pub. L. 118–159, § 5203(g)(1)(B)(i), (iii), to the hearing.
added subpar. (C). (c) In the case of contumacy or refusal to obey
Subsec. (j). Pub. L. 118–159, § 5203(f), designated exist- a subpoena issued pursuant to subsection (a) or
ing provisions as par. (1) and added par. (2).
2014—Subsec. (c)(2)(C)(vii). Pub. L. 113–79 substituted
(b) of this section, the district courts of the
‘‘section 3’’ for ‘‘section 3(l)’’. United States shall have jurisdiction to issue an
2008—Subsec. (c)(2)(C)(vii). Pub. L. 110–246, appropriate order for the enforcement of any
§ 4115(c)(2)(E), substituted ‘‘section 3(l)’’ for ‘‘section such subpoena. Any failure to obey such order of
3(h)’’. the court is punishable by such court as con-
§ 3805 TITLE 31—MONEY AND FINANCE Page 356
tempt. In any case in which an authority seeks tions of an authority are unsupported by sub-
the enforcement of a subpoena issued pursuant stantial evidence, the court shall review the
to subsection (a) or (b) of this section, the au- whole record or those parts of it cited by a
thority shall request the Attorney General to party, and due account shall be taken of the rule
petition any district court in which a hearing of prejudicial error.
under this chapter is being conducted, or in (d) Any district court reviewing under this
which the person receiving the subpoena resides section the decision, findings, and determina-
or conducts business, to issue such an order. tions of an authority shall not consider any ob-
jection that was not raised in the hearing con-
(Added Pub. L. 99–509, title VI, § 6103(a), Oct. 21, ducted pursuant to section 3803(f) of this title
1986, 100 Stat. 1944.) unless a demonstration is made of extraordinary
§ 3805. Judicial review circumstances causing the failure to raise the
objection. If any party demonstrates to the sat-
(a)(1) A determination by a reviewing official isfaction of the court that additional evidence
under section 3803 of this title shall be final and not presented at such hearing is material and
shall not be subject to judicial review. that there were reasonable grounds for the fail-
(2) Unless a petition is filed under this section, ure to present such evidence at such hearing,
a determination under section 3803 of this title the court shall remand the matter to the au-
that a person is liable under section 3802 of this thority for consideration of such additional evi-
title shall be final and shall not be subject to ju- dence.
dicial review. (e) Upon a final determination by the district
(b)(1)(A) Any person who has been determined court that a person is liable under section 3802 of
to be liable under section 3802 of this title pursu- this title, the court shall enter a final judgment
ant to section 3803 of this title may obtain re- for the appropriate amount in favor of the
view of such determination in— United States.
(i) the United States district court for the (Added Pub. L. 99–509, title VI, § 6103(a), Oct. 21,
district in which such person resides or trans- 1986, 100 Stat. 1944.)
acts business;
(ii) the United States district court for the § 3806. Collection of civil penalties and assess-
district in which the claim or statement upon ments
which the determination of liability is based (a) The Attorney General shall be responsible
was made, presented, or submitted; or for judicial enforcement of any civil penalty or
(iii) the United States District Court for the assessment imposed pursuant to the provisions
District of Columbia. of this chapter.
(B) Such review may be obtained by filing in (b) Any penalty or assessment imposed in a de-
any such court a written petition that such de- termination which has become final pursuant to
termination be modified or set aside. Such peti- this chapter may be recovered in a civil action
tion shall be filed— brought by the Attorney General. In any such
(i) only after such person has exhausted all action, no matter that was raised or that could
administrative remedies under this chapter; have been raised in a hearing conducted under
and section 3803(f) of this title or pursuant to judi-
(ii) within 60 days after the date on which cial review under section 3805 of this title may
the authority head sends such person a copy of be raised as a defense, and the determination of
the decision of such authority head under sec- liability and the determination of amounts of
tion 3803(i)(2) of this title. penalties and assessments shall not be subject
to review.
(2) The clerk of the court shall transmit a (c) The district courts of the United States
copy of a petition filed under paragraph (1) of shall have jurisdiction of any action commenced
this subsection to the authority and to the At- by the United States under subsection (b) of this
torney General. Upon receipt of the copy of such section.
petition, the authority shall transmit to the At- (d) Any action under subsection (b) of this sec-
torney General the record in the proceeding re- tion may, without regard to venue require-
sulting in the determination of liability under ments, be joined and consolidated with or as-
section 3802 of this title. Except as otherwise serted as a counterclaim, cross-claim, or setoff
provided in this section, the district courts of by the United States in any other civil action
the United States shall have jurisdiction to re- which includes as parties the United States and
view the decision, findings, and determinations the person against whom such action may be
in issue and to affirm, modify, remand for fur- brought.
ther consideration, or set aside, in whole or in (e) The United States Court of Federal Claims
part, the decision, findings, and determinations shall have jurisdiction of any action under sub-
of the authority, and to enforce such decision, section (b) of this section to recover any penalty
findings, and determinations to the extent that or assessment if the cause of action is asserted
such decision, findings, and determinations are by the United States as a counterclaim in a
affirmed or modified. matter pending in such court.
(c) The decisions, findings, and determinations (f) The Attorney General shall have exclusive
of the authority with respect to questions of authority to compromise or settle any penalty
fact shall be final and conclusive, and shall not or assessment the determination of which is the
be set aside unless such decisions, findings, and subject of a pending petition pursuant to section
determinations are found by the court to be un- 3805 of this title or a pending action to recover
supported by substantial evidence. In concluding such penalty or assessment pursuant to this sec-
whether the decisions, findings, and determina- tion.
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