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by the ALJ, shall provide each party with a copy of the Specific pages of the transcript it intends to introduce into evidence. (b) If a party objects, the ALJ shall not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party as provided above unless the ALJ finds good cause for the failure or that there is no prejudice to the objecting party. (c) Unless another party Objects within the time set by the ALJ, documents exchanged in accordance with paragraph (a) of this Section shall be deemed to be authentic for the purpose of admissibility at the hearing.
$25.23 Subpoena for attendance at hearing.
(a) A party wishing to procure the appearance and testimony of any individual at the hearing may request that the ALJ issue a Subpoena. (b) A subpoena, requiring the attendance and testimony of an individual may also require the individual to produce documents at the hearing. (c) A party seeking a subpoena shall file a written request therefore not less than 15 days before the date fixed for the hearing unless otherwise allowed by the ALJ for good cause shown: Such request shall Specify any documents to be produced and shall designate the witnesses and describe the address and location thereof with Sufficient particularity to permit such witnesses to be found. (d) The subpoena, shall specify the time and place at which the witness is to appear and any documents the Witness is to produce. (e) The party Seeking the Subpoena, shall serve it in the manner prescribed in $25.8. A subpoena. On a party or upon an individual under the control of a party may be served by first class mail. (f) A party or the individual to whom the subpoena is directed may file with the ALJ a motion to quash the Subpoena, within ten days after service or on or before the time specified in the subpoena for compliance if it is less than ten days after Service.
$25.24 Protective order.
(a) A party of a prospective witness or deponent may file a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing, seeking to limit the availability or disclosure of evidence. (b) In issuing a protective order, the ALJ may make any order which justice requires to protect a party Or perSOn from annoyance, embarrassment, Oppression, or undue burden or expense, including one or more of the following: (1) That the discovery not be had; (2) That the discovery may be had Only on Specified terms and conditions, including a designation of the time or place; (3) That the discovery may be had only through a method of discovery other than that requested; (4) That certain matters not be inquired into, Or that the Scope of discovery be limited to certain matters; (5) That discovery be conducted with no One present except persons designated by the ALJ; (6) That the contents of discovery or evidence be sealed; (7) That a deposition after being sealed be opened only by order of the ALJ; (8) That a trade Secret Or Other COnfidential research, development, commercial information, or facts pertaining to any criminal investigation, proceeding, or other administrative investigation not be disclosed or be disclosed only in a designated way; Or (9) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as direct by the ALJ.
§ 25.25 Fees.
The party requesting a subpoena. shall pay the cost of the fees and mileage of any witness subpoenaed in the amounts that would be payable to a witness in a proceeding in United States District Court. A check for wit– ness fees and mileage shall accompany the subpoena, when served, except that
when a subpoena is issued on behalf of
the Department of Commerce, a check for witness fees and mileage need not accompany the subpoena.
$25.26 Form, filing and service of papers.
(a) Form. (1) Documents filed with the ALJ shall include an Original and One COpy.
(2) Every pleading and paper filed in the proceeding shall contain a caption Setting forth the title of the action, the Case number assigned by the ALJ, and a designation of the paper (e.g., motion to quash Subpoena).
(3) Every pleading and paper shall be Signed by, and shall contain the address and telephone number of, the party Of the person on whose behalf the paper was filed, or his or her representative.
(4) Papers are considered filed when they are mailed. Date of mailing may be established by a certificate from the party or its representative or by proof that the document was sent by Certified or registered mail.
(b) Service. A party filing a document with the ALJ shall, at the time of filing, serve a copy of Such document on every other party. Service upon any party of any document. Other than the Complaint or notice of hearing shall be made by deliverying or mailing a copy to the party’s last known address. When a party is represented by a representative, service shall be made upon Such representative in lieu of the actual party.
(c) Proof of Service. A certificate of the individual serving the document by personal delivery or by mail, setting forth the manner of Service, shall be proof Of Service.
$25.27 Computation of time.
(a) In computing any period of time under this part or in an order issued thereunder, the time begins with the day following the act, event, or default, and includes the last day of the period, unless it is a Saturday, Sunday, or legal holiday observed by the Federal government, in which event it includes the next business day.
(b) When the period of time allowed is less than seven days, intermediate Saturdays, Sundays, and legal holidays observed by the Federal government shall be excluded from the computation.
(c) Where a document has been served or issued by mail, an additional five
days will be added to the time permitted for any response.
§ 25.28 Motions.
(a) Any application to the ALJ for an Order or ruling shall be by motion. Motions shall State the relief sought, the authority relied upon, and the facts alleged, and shall be filed with the ALJ and Served On all Other parties.
(b) Except for motions made during a prehearing Conference or at the hearing, all motions shall be in writing. The ALJ may require that oral motions be reduced to writing.
(C) Within 15 days after a written mo– tion is Served, Or Such other time as may be fixed by the ALJ, any party may file a response to such motion.
(d) The ALJ may not grant a written motion before the time for filing reSponses thereto has expired, except upon Consent of the parties or following a hearing On the motion, but may Overrule or deny such motion without awaiting a response.
(e) The ALJ shall make a reasonable effort to dispose of all outstanding motions prior to the beginning Of the hearing.
(a) The ALJ may sanction a person, including any party or representative, for— (1) Failing to comply with an order, rule, Or procedure governing the proceeding; (2) Failing to prosecute or defend an action; Or (3) Engaging in Other misconduct that interferes with the Speedy, orderly, or fair conduct of the hearing. (b) Any such Sanction, including but not limited to those listed in paragraphs (c), (d), and (e) of this Section, shall reasonably relate to the severity and nature of the failure or misConduct. (c) When a party fails to comply with an order, including an Order for taking a deposition, the production of evidence within the party’s control, or a request for admission, the ALJ may— (1) Draw an inference in favor of the requesting party with regard to the information sought;
(2) In the case of requests for admisSion, deem each matter of which an admission is requested to be admitted;
(3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying upon, testimony relating to the information Sought; and
(4) Strike any part of the pleadings or other submissions of the party failing to comply with such request.
(d) If a party fails to prosecute or defend an action under this part commenced by Service of a notice of hearing, the ALJ may dismiss the action or may issue an initial decision imposing penalties and a SSessments.
(e) The ALJ may refuse to Consider any motion, request, response, brief Or other document which is not filed in a timely fashion.
$25.30 The hearing and burden of proof.
(a) The ALJ shall Conduct a hearing On the record in order to determine whether the respondent is liable for a civil penalty or assessment under $25.3 and, if SO, the appropriate amount of any such civil penalty or assessment considering any aggravating Or mitigating factors. (b) The authority shall prove respondent’s liability and any aggravating factors by a preponderance of the evidence. (c) The respondent, Shall prove any affirmative defenses and any mitigating factors by a preponderance Of the evidence. (d) The hearing shall be Open to the public unless otherwise ordered by the ALJ for good cause shown.
$25.31 Determining the amount of penalties and assessments.
(a) In determining an appropriate amount of civil penalties and assessments, the ALJ and the authority head, upon appeal, should evaluate any Circumstances that mitigate Or aggravate the violation and should articulate in their opinions the reasons that Support the penalties and a SSessment.S they impose. Because of the intangible costs of fraud, the expense of investigating such conduct, and the need to deter others who might be similarly tempted ordinarily double assessment,
in lieu of damages, and a significant Civil penalty should be imposed. (b) Although not exhaustive, the following factors are among those that may influence the ALJ and the authority head in determining the amount of penalties and assessments to impose with respect to the misconduct (i.e., the false, fictitious, or fraudulent claims or Statements) charged in the Complaint: (1) The number of false, fictitious, or fraudulent claims or statements; (2) The time period over which Such claims or Statements were made; (3) The degree of the respondent’s Culpability with respect to the misConduct; (4) The amount of money or the value Of the property, Services, or benefit falsely claimed: (5) The value of the Government’s a Ctual loSS as a result of the misconduct, including foreseeable consequential damages and the costs of investigation; (6) The relationship of the amount imposed as civil penalties to the annount Of the Government’s loss; (7) The potential or actual impact of the misconduct upon national defense, public health or safety, or public confidence in the management of Government programs and Operations, including particularly the impact on the intended beneficiaries of such program; (8) Whether the respondent has engaged in a pattern of the same or similar misconduct; (9) Whether the respondent tempted to conceal the misconduct; (10) The degree to which the respondent has involved others in the misConduct or in Concealing it; (11) Where the misconduct of employees Or agents is imputed to the reSpondent, the extent to which the respondent’s practices fostered or attempted to preclude such misconduct; (12) Whether the respondent cooperalted in or obstructed an investigation of the misconduct; (13) Whether the respondent assisted in identifying and prosecuting other Wrongdoers; (14) The complexity of the program or transaction, and the degree of the respondent’s sophistication with reSpect to it, including the extent of the
respondent’s prior participation in the program or in Similar transactions;
(15) Whether the respondent has been found, in any criminal, civil, or administrative proceeding to have engaged in similar misconduct or to have dealt dishonestly with the Government of the United States or of a State directly or indirectly; and
(16) The need to deter the respondent and others from engaging in the Same or similar misconduct.
(c) Nothing in this Section shall be construed to limit the ALJ or the authority head from considering any other factors that in any given case may mitigate or aggravate the Offense for which penalties and assessments are imposed.
$25.32 Location of hearing.
(a) The hearing may be held—
(1) In any judicial district of the United States in which the respondent resides Or transactS business;
(2) In any judicial district of the United States in which the Claim or statement in issue was made; Or
(3) In such other place as may be agreed upon by the respondent and the ALJ.
(b) Each party shall have the Opportunity to present, arguments with reSpect to the location of the hearing.
(c) The hearing shall be held at the place and at the time Ordered by the ALJ.
(a) Except as provided in paragraph (b) of this Section, testimony at the hearing shall be given orally by wit– nesses under Oath or affirmation.
(b) At the discretion of the ALJ, testimony may be admitted in the form of a Written Statement Or deposition. Any Such written statements must be proVided to all other parties along with the last known address of such witness, in a manner which allows sufficient time for other parties to subpoena, such Witness for Cross-examination at the hearing. Prior written statements of Witnesses proposed to testify at the hearing and deposition transcripts Shall be exchanged as provided in $25.22(a).
(c) The ALJ shall exercise reasonable Control over the mode and order of in
terrogating witnesses and presenting evidence so as to— (1) Make the interrogation and presentation effective for the ascertainment of the truth; (2) Avoid needless consumption of time; and (3) Protect witnesses from harassment or undue embarrassment. (d) The ALJ shall permit the parties to Conduct such Cross-examination as may be required for a full and true disclosure of the facts. (e) At the discretion of the ALJ, a Witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. To the extent permitted by the ALJ, Cross-examination on matters OutSide the Scope of direct examination shall be conducted in the manner of direct examination and may proceed by leading questions only if the Witness is a hostile witness, an adverse party or a witness identified with an adverse party. (f) Upon motion of any party, the ALJ shall Order witnesses excluded so that they cannot hear the testimony of Other witnesses. This rule does not authorize exclusion Of(1) A party who is an individual; (2) In the Case of a party that is not an individual, an Officer or employee of the party designated by the party’s representative; Or (3) An individual whose presence is shown by a party to be essential to the presentation of its case, including an individual employed by the Government engaged in assisting the representative for the Government.
(a) The ALJ shall determine the admissibility of evidence. (b) Except as provided in this part, the ALJ shall not be bound by the Federal Rules of Evidence. However, the ALJ may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence. (c) The ALJ shall exclude irrelevant and innmaterial evidence. (d) Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or by considerations of undue delay or needless presentation of cumulative evidence. (e) Although relevant, evidence may be excluded if it is privileged under Federal law. (f) Evidence concerning offers of Compromise or Settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence. (g) The ALJ shall permit the parties to introduce rebuttal witnesses and evidence. (h) All documents and other evidence Offered or taken for the record shall be Open to examination by all parties, unless otherwise ordered by the ALJ purSuant to $25.24.
$25.35 The record.
(a) The hearing will be recorded and transcribed. Transcripts may be obtained following the hearing from the ALJ at a Cost not to exceed the actual cost of duplication.
(b) The transcript of testimony, exhibits and other evidence admitted at the hearing, and all papers and requests filed in the proceeding conStitute the record for the decision by the ALJ and the authority head.
(c) The record may be inspected and copied (upon payment of a reasonable fee) by anyOne, unless Otherwise Ordered by the ALJ pursuant to $25.24.
$25.36 Post-hearing briefs.
The ALJ may require the parties to file post-hearing briefs. In any event, any party may file a post-hearing brief. The ALJ shall fix the time for filing such briefs, not to exceed 60 days from the date the parties receive the transcript of the hearing or, if applicable, the stipulated record. Such briefs may be accompanied by proposed findings of fact and Conclusions of law. The ALJ may permit the parties to file reply briefs.
$25.37 Initial decision.
(a) The ALJ shall issue an initial decision based only on the record, which shall contain findings of fact, Conclusions of law, and the amount of any penalties and assessments imposed.
(b) The findings of fact shall include a finding on each of the following issues:
(1) Whether the claims or statements identified in the complaint, or any portions thereof, violate $25.3.
(2) If the person is liable for penalties Or a SSessmentS, the appropriate anount of any Such penalties or assessments considering any mitigating or aggravating factors that he or she finds in the case, Such as those described in $25.31.
(c) The ALJ shall promptly serve the initial decision on all parties within 90 days after the time for submission of post-hearing briefs and reply briefs (if permittted) has expired. The ALJ shall as the same time serve all respondents With a statement describing the right of any respondent determined to be liable for a civil penalty or assessment to file a motion for reconsideration with the ALJ or a notice of appeal with the authority head. If the ALJ fails to meet the deadline contained in this paragraph, he or she shall notify the parties of the reason for the delay and Shall set a new deadline.
(d) Unless the initial decision of the ALJ is timely appealed to the authority head, or a motion for reconsideration of the initial decision is timely filed, the initial decision shall conStitute the final decision of the authority head and shall be final and binding On the parties 30 days after it is issued by the ALJ.
$25.38 Reconsideration of initial decision.
(a) Except as provided in paragraph (d) of this Section, any party may file a motion for reconsideration of the initial decision within 20 days of receipt of the initial decision. If service was made by mail, receipt will be presumed to be five days from the date of mailing in the absence of Contrary proof. (b) Every Such motion must set forth the matters claimed to have been erroneously decided and the nature of the alleged errors. Such motion shall be accompanied by a supporting brief. (C) Responses to such motions shall be allowed only upon request of the ALJ. (d) No party may file a motion for reconsideration of an initial decision that has been revised in response to a previous motion for reconsideration.