Appendix 16. Second Request Internal Appeal Procedure

• Pages: 439-440

439

APPENDIX 16

SECOND REQUEST INTERNAL APPEAL

PROCEDURE

A. Appeals Regarding Modifications

If the recipient of a second request from the Department of Justice

believes that the request is unreasonably cumulative, unduly

burdensome, or duplicative and, after exhausting reasonable efforts, has

been unable to reach agreement with the section chief regarding a

modification, the recipient may appeal the matter to a Deputy Assistant

Attorney General, who does not have direct responsibility for the review

of any enforcement recommendation concerning the transaction at issue

(the “Reviewer”). The appeal shall be in writing, no longer than ten (10)

pages double spaced, and shall include:

1. A concise explanation of the reasons why the recipient believes

that compliance would be unduly burdensome, including a

summary of compliance discussions at the staff and section chief

level; and

2. the modifications that the recipient proposes.

All appeals should be sent to the Office of Operations (Attn: Second

Request Appeals), which will immediately forward the request to the

appropriate Deputy Assistant Attorney General. Upon receipt of a written

appeal, the Reviewer may request additional information from or a

telephone conference with the recipient within two (2) business days.

The Reviewer will render a decision on the appeal within seven (7) days

after the recipient has provided all necessary information.

An appeal must be made prior to assertion of compliance by the

recipient, and the recipient must agree to defer asserting compliance until

after the appeal process has been completed or the recipient has

withdrawn its appeal.