ML20056D112
| ML20056D112 | |
| Person / Time | |
|---|---|
| Issue date: | 12/07/1992 |
| From: | Malsch M NRC OFFICE OF THE GENERAL COUNSEL (OGC) |
| To: | |
| Shared Package | |
| ML20056D111 | List: |
| References | |
| 93-01-PF, 93-1-PF, NUDOCS 9308040312 | |
| Download: ML20056D112 (41) | |
Text
,
UNITED STATES NUCLEAR REGULATORY COMMISSION In the Matter Of The
)
Complaint Against
)
)
P.S. Docket No.
LLOYD P. ZERR
)
718 13 th Street, N.E.
)
Washington, DC 20002
)
)
Respondent.
)
COMPLAINT The Deputy General Counsel for Licensing and Regulation of the United States Nuclear Regulatory Commission ("NRC"), who is the reviewing official pursuant to 10 C.F.R.
13.3, has_ reason to believe that respondent, Lloyd P.
Zerr, submitted false claims to the government in order to obtain monies to which he was not entitled, in violation of the Program Fraud Civil Remedies Act, 31 U.S.C.
3801-3812.
The NRC alleges as follows:
1.
The NRC has jurisdiction over this matter pursuant to 31 U.S.C.
3803.
2.
Respondent, Lloyd P.
Zerr, 718 13th Street, N.E.,
Washington, D.C.
20002, is an individual previously employed as a Technical Intern (Grade GG
- 2),
in the NRC's Office of Nuclear Reactor Regulation (NRR) at the NRC Headquarters, 10555 Rockville Pike, Rockville, MD 20852.
Respondent was employed by the NRC from August 23, 1987, until his resignation on February 7, 1992.
3.
During the relevant period, respondent served the NRC
{
as a Technical Intern on a rotational assignment to the NRC Region II office, Atlanta, GA (August 29, 1989 through September 30, 1990).
That rotation included an assignment from 930B040312 921207 PDR MISC 9309040308 PDR
.k
, April 1, 1990 through September 30, 1990, as a Resident Inspector Intern at the Hatch Nuclear Power Plant (" Hatch"), Baxley, GA.
COUNT I 4.
For Pay Period 9, covering April 8 through April 21, 1990, respondent submitted to the NRC Region II Office NRC Form 145 (Request and Authorization for Irregular or Occasional Overtime or Compensatory Time), dated April 20, 1990, claiming compensation for 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> of overtime, with an explanation as
" QUALIFYING / INSPECTING."
The Form 145 contains a statement that the employee certifies that the overtime recommended is necessary in order that the required implementation of the inspection program be accomplished and a certification that the employee worked the overtime hours specified.
Respondent phoned this information on his overtime to Region II on April 19, 1990.
At respondent's request, his section chief signed respondent's name below the certification statement on respondent's Form 145 for Pay Period 9.
Respondent was paid for 80 regular hours of work plus 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> overtime for Pay Period 9.
However, the Hatch plant records show that respondent only worked 77.25 hours2.893519e-4 days <br />0.00694 hours <br />4.133598e-5 weeks <br />9.5125e-6 months <br /> in the plant during Pay Period 9.
5.
Respondent claims that the overtime included his lunch and commuting times although overtime is not allowed for either lunch or commuting.
(Lunch periods were deducted from all days when six or more hours were logged.)
He also claims that he worked outside the protected plant area but had no explanation for his whereabouts.
i
3 s 6.
Respondent knew or had reason to know at the time he a:Laitted his request for overtime (Form 145) for pay period 9 that the claim for payment was false, fictitious, or fraudulent.
7.
Respondent's submission of the Form 145 for Pay Period 9 with a falsified claim for overtime constitutes a false claim.
8.
Respondent's false claim violates 31 U.S.C. 3802 (a) (1).
9.
Due to respondent's false claim, the NRC paid him
$938.88 to which he was not entitled (48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> times his hourly pay of $19.56).
COUNT II 10.
For Pay Period 10, covering April 22 through May 5, 1990, respondent signed and submitted to the NRC Region II office NRC Form 145, dated May 5, 1990, claiming compensation for 51 hours5.902778e-4 days <br />0.0142 hours <br />8.43254e-5 weeks <br />1.94055e-5 months <br /> of overtime.
Respondent signed the certification on the Form 145 that the overtime was necessary and that he worked the 51.5 hours5.787037e-5 days <br />0.00139 hours <br />8.267196e-6 weeks <br />1.9025e-6 months <br />.
No explanation or justification was given for the overtime.
Respondent was paid for 80 regular hours of work plus 51 hours5.902778e-4 days <br />0.0142 hours <br />8.43254e-5 weeks <br />1.94055e-5 months <br /> overtime for Pay Period 10.
However, the Hatch plant records indicate that respondent worked only 17.25 hours2.893519e-4 days <br />0.00694 hours <br />4.133598e-5 weeks <br />9.5125e-6 months <br /> of overtime for Pay Period 10.
11.
Respondent claims that the unaccounted 33.75 hours8.680556e-4 days <br />0.0208 hours <br />1.240079e-4 weeks <br />2.85375e-5 months <br /> for overtime included his lunch and commuting times although overtime is not allowed for either lunch or commuting.
(Lunch periods were deducted from all days when six or more hours were logged.)
O
-4 Respondent also claims that he worked outside the protected area of the plant but had no explanation for his whereabouts.
12.
Respondent knew or had reason to know at the time he submitted his request for overtime (Form 145) for pay period 10 that the claim for payment for the additional 33.75 overtime hours was false, fictitious, or fraudulent.
13.
Respondent's submission of the Form 145 for Pay Period 10 with a falsified claim for overtime constitutes a false claim.
14.
Respondent's false clain violates 31 U.S.C.
3802 (a) (1).
15.
Due to respondent's false claim, the NRC paid him
$660.15 for overtime to which he was not entitled (33.75 hours8.680556e-4 days <br />0.0208 hours <br />1.240079e-4 weeks <br />2.85375e-5 months <br /> times his hourly pay of $19.56).
COUNT III 16.
For Pay Period 11, covering May 6 through May 19, 1990, respondent signed and submitted to the Region II Office NRC Form 145, dated May 19, 1990, claiming compensation for 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br /> overtime with the exp3anation as " Inspection / Qualification."
Respondent signed the certification on the Form 145 that the overtime was necessary and that he worked the 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br />.
Respondent was paid for 80 regular hours of work plus 50 hours5.787037e-4 days <br />0.0139 hours <br />8.267196e-5 weeks <br />1.9025e-5 months <br /> overtime for Pay Period 11.
However, the Hatch plant records indicate that respondent worked only 23 overtime hours for Pay Period 11.
17.
Respondent claims that the unaccounted 27 hours3.125e-4 days <br />0.0075 hours <br />4.464286e-5 weeks <br />1.02735e-5 months <br /> for overtime included his lunch and commuting times although overtime
I 6 is not allowed for either lunch or commuting.
(Lunch periods were deducted from all days when six or more hours were logged.)
Respondent also claims he worked outside the protected area of the plant but had no explanation for his whereabouts.
18.
Respondent knew or had reason to know at the time he submitted his request for overtime (Form 145) for Pay Period 11 that the claim for payment for the additional 27 overtime hours was false, fictitious, or fraudulent.
19.
Respondent's submission of the Form 145 for Pay Period 11 with a falsified claim for overtime constitutes a false clain.
20.
Respondent's false clain violates 31 U.S.C. 3 802 (a) (1).
21.
Due to respondent's false claim, the NRC paid him
$528.12 for overtime to which he was not entitled (27 hours3.125e-4 days <br />0.0075 hours <br />4.464286e-5 weeks <br />1.02735e-5 months <br /> times his hourly pay of $19.56).
COUNT IV 22.
On September 28, 1989, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R905842 for $1,619.15 covering the period September 16 through September 30, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher was a claim for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a monthly rate of $535.83.
Respondent returned all the rented furniture to Cort Rental on September 19, 1989, and received a partial refund.
Respondent did not inform any NRC official that
o r he returned the furniture.
However, respondent claimed reimbursement from the NRC on Travel Voucher R905842 for $154.33 in furniture rent for the part of September 1989 when the respondent no longer rented the furniture.
23.
Respondent knew or had reason to know at the time he submitted Travel Voucher R905842 that the claim for furniture i
rental for this period was false, fictitious, or fraudulent.
24.
Respondent's submission of Travel Voucher R905842 with
[
a falsified claim for furniture rental constitutes a false claim.
25.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
26.
Due to respondent's false clain, the NRC paid him
$154.33 to which he was not entitled.
COUNT V 27.
On October 12, 1989, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R000002 for $1,663.57 1
covering the period October 1 through October 15, 1989.
Respondent signed on the voucher a certification that the voucher j
is true and correct to the best of his knowledge and belief.
Included in the voucher is a claim of $267.91 for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a monthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
j Respondent claimed reimbursement for the rented furniture for the period October 1 through October 15, 1989, although he no longer rented any furniture during this time.
l
i 28.
Respondent knew or had reason to know at the tiF.. tb submitted Travel Voucher R000002 that the claim for fur
,'_%ea rental for this period was false, fictitious, or fraudulent.
29.
Respondent's submission of Travel Voucher R000002 with a falsified claim for furniture rental constitutes a falso claim.
30.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
31.
Due to respondent's false claim, the NRC paid him
$267.91 to which he was not entitled.
COUNT VI 32.
On November 1, 1989, respondent submitted to the NRC i
Headquarters, Rockville, MD, Travel Voucher R000002 fot $1,604.15 covering the period October 16 through October 31, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the voucher was a claim for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a conthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
The voucher includes a claim for $267.92 in furniture rental for the period October 16 through October 31, 1989, although respondent no longer rented any furniture during this time.
33.
Respondent knew or had reason to know at the time he submitted Travel voucher R000002 that the claim for furniture rental for this period was false, fictitious, or fraudulent.
3
. 34.
Respondent's submission of Travel Voucher R000007 with a falsified claim for furniture rental constitutes a false claim.
35.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
36.
Due to respondent's falso claim, the NRC paid him
$267.92 to which he was not entitled.
COUNT VII 37.
On November 8, 1989, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R000002 for $1,623.80 covering the period November 1 through Novembt;r 15, 1989.
Respondent signed on the voucher a certification that the voucher j
was correct and true to the best of his knowledge and belief.
Included in the voucher was a claim of $267.91 for furniture j
rented as authorized on August 26, 1989, from Cort Rental, Atlanta GA, at a monthly rate of $535.83.
However, respondent i
returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
Respondent claimed on Travel Voucher R000002 reimbursement for l
the rented furniture for the period November 1 through November 15, 1989, although he no longer rented any furniture during this time.
38.
Rebpondent knew or had reason to know at the time he submitted Travel Voucher R000002 that the claim for furniture rental for this period was false, fictitious, or fraudulent.
39.
Respondent'u submission of Travel Voucher R000002 with a falsified claim for furniture rental constitutes a false claim.
40.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
. 41.
Due to respondent's false claim, the NRC paid him
$267.91 to which he was not entitled.
COUNT VIII 42.
On November 29, 1989, respondent submitted to the NRC Headquarters, Rockville, MD, Travel voucher R000002 for $1,625.65 covering the period November 16 through November 30, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the voucher is a claim of $267.92 for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at monthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
Respondent claimed reimbursement on Travel Voucher R000002 for the rented furniture for the period November 16 through November 30, 1989, although ho no longer rented any furniture during this period.
43.
Respondent knew or had reason to know at the time he submitted Travel Voucher R000002 that the claim for furniture rental for this period was false, fictiticus, or fraudulent.
44.
Respondent's submission of Travel Voucher R000002 with a falsified claim for furniture rental constitutes a false claim.
45.
Respondent's false claim violates 31 U.S.C.
3802 (a) (1).
46.
Due to respondent's false claim, the NRC paid him i
$267.92 to which he was not entitled.
! COUNT TX 47.
On December 13, 1989, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher ROOOOO2 for $1,673.09 I
covering the period Decembcr 1 through December 15, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the voucher was a claim for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a monthly rate of $535.83.
However, respondent returned all the I
rented furniture to Cort Rental on September 19, 1989, without informing any NRC official of this action.
The voucher includes a claim for $267.91 in furniture rental for the period December 1 l
through December 15, 1989, although respondent no longer rented any furniture during this period.
f 48.
Respondent knew or had reason to know at the time he submitted Travel Voucher R000002 that the claim for furniture rental for this period was false, fictitious, or fraudulent.
49.
Respondent's cubmission of Travel Voucher R000002 with a falsified claim for furniture rental constitutes a false claim.
j 50.
Respondent's false clain violates 33 U.S.C. 3802 (a) (1).
51.
Due to respondent's false claim, the NRC paid him
$267.91 to which he was not entitled.
COUNT X 52.
On January 1, 1990, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R000002 for $1,635.98 covering the period December 16 through December 31, 1989.
- Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the voucher was a claim for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at j
a monthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
The voucher includes a claim for $267.92 in furniture rental for the period December 16 through December 31, 1989, although respondent no longer rented any furniture during this period.
53.
Respondent knew or had reason to know at the time he submitted Travel Voucher R000002 that the claim for furniture rental for this period was false, fictitious, or fraudulent.
54.
Respondent's submission of Travel Voucher R000002 with a false claim for furniture rental constitutes a false claim.
55.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
56.
Due to respondent's false claim, the NRC paid him
$267.92 to whien he tras not entitled.
COUNT XI 57.
On March 21, 1990, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R000002 for $6,655.36 covering the period January 1 through March 2, 1990.
Respondent signed on the voucher a certification that the voucher is true J
and correct to the best of his knoyledge and belief.
Included in the voucher was a claim for furniture rented as authorized on August 26. 1989, from Cort Rental, Atlanta, GA, at a monthly rate
. of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, and did not inform any NRC official of this action.
The voucher includes a claim for $1,089.32 in furniture rental for the period January 1 through '4 arch 2, 1990, although respondent no longer rented any furniture during this period.
58.
Respondent knew or had reason to know at the time he submitted Travel Voucher R000002 that the claim for furniture rental for this period was false, fictitious, or fraudulent.
59.
Respondent's submission of Travel Voucher R000002 with a falsified claim for furniture rental constitutes a false claim.
60.
Respondent's false clain violates 31 U.S.C. 3802 (a) (1).
61.
Due to respondent's false claim, the NRC paid him
$1,089.52 to which he was not entitled.
COUNT XII 62.
On April 2, 1990, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R002305 for
$3,140.73, covering the period March 3 through March 31, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the voucher were claims for furniture rental and automobile rental.
Respondent had rented furniture as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a monthly rate of $535.81.
However, respondent returned all the rented 4
furniture to Cort Rental on September 19, 1989, without informing any NRC official of this action.
Respondent claimed on Travel
. 1 Voucher R002305 $517.90 for furniture rental for the period March 3 through March 31, 1990, although he no longer rented any furniture.
Second, respondent made a falso claim on this voucher for reimbursement for car rental.
On August 25, 1989, respondent rented as authorized a Mercury Cougar from the Hertz Corporation, Gaithersburg, MD, for $686.16 on a month-to-month arrangement.
On February 20, 1990, respondent returned the Mercury to Hertz and rented instead a Volvo at $577.18 per month, with no notification to any NRC official of the exchange in automobiles or the difference in the amount of rent.
However, he claimed on this voucher reimbursement for renting the Mercury from March 3 through March 31, 1990, at the higher rate for the Mercury, which he did not rent during this period, instead of the lower rate he actually paid for renting the Volvo from March 3 through March 31, 1990, a difference of $91.63.
Therefore, Travel Voucher R002305 includes total false claims of $609.60 in furniture ( $517. 90) and car ($91.63) rentals in excess of what he actually paid for the March 3 through March 31, 1990, period.
63.
Respondent knew or had reason to know at the time he submitted Travel Voucher R002305 that the claims for furniture and car rental for this period were false, fictitious, or fraudulent.
64.
Respondent's submission of Travel Voucher R002305 with falsified claims for furniture and car rentals constitute false claims.
65.
Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
w
- 14 66.
Duc to respondent's false claims, the NRC paid him
)
$609.60 to which he was not entitled.
l COUNT XIII 67.
On May 1, 1990, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R002305 for
$3,244.06, covering the period April 1 through April 30, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher was a claim of $535.83 for furniture rented as authorized on August 26, 1989, from Cort Rental, Atlanta, GA, at a monthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, without informing any NRC official of this action, and did not rent any furniture during April 1990.
Second, respondent also made a false claim on this voucher for reimbursement for car rental.
On August 25, 1989, as authorized, respondent rented a Mercury Cougar from the Hertz Corporation, Gaithersburg, MD, for
$686.16 on a month-to-month arrangement.
On February 20, 1990, respondent returned the Mercury to Hertz and rented instead a Volvo at $577.18 per month.
He did not notify any NRC official about this exchange in automobiles or the difference in the amount of rent.
However, he claimed reimbursement on this voucher for car rental for the period April 1 through April 30, 1990, at the higher rate for the Mercury, which he did not rent during this period, instead of the lower amount he actually paid for the Volvo, a difference nr $108.90.
Third, respondent filed
P l a false claim on this voucher for a house that he was authorized to rent.
On March 15, 1990, respondent signed a six-month rental agreement, to begin on April 1, 1990, with ERA Lovins Realty and Investment Company, Vidalia, GA, for a house in Vidalia at a monthly rent of $600.
He paid ERA Lovins Realty $600 for rent for April 1990.
However, respondent claimed on this voucher reimbursement for $875 in rent for this house for April 1990, a difference of $275.
Finally, respondent claimed on this voucher reimbursement for meals and incidental expenses (H&IE) for the period April 1 through April 30, 1990, at the Atlanta, GA, rate while he wcc actually living during this period in Vidalia, GA, where the rate is lower, an overcharge of $30 for April 1990.
Therefore, Travel Voucher R002305 contains false claims totalling
$949.73 for furniture rental ($535.83), car rental ($108.90),
housing rental ($275), and M&IE expenses ($30).
68.
Respondent knew or had reason to know at the time he submitted Travel Voucher R002305 that the claims for furniture, and housing rentals and M&IE for this period were false,
- car, fictitious, or fraudulent.
69.
Respondent's submission of Travel Voucher R002305 with falsified claims for furniture, car, and liousing rentals and M&IE
^
constitute false claims.
70.
Respondent's false claims violate 31 U.S.C.
3802 (a) (1).
71.
Due to respondent's false claims, the NRC paid him
$949.73 to which he was not entitled.
% COUNT XIV 72.
On December 24, 1990, respondent submitted to the NRC Headquarters, Rockville, MD, Travel Voucher R002305 for
$18,122.61, covering the period May 1 through September 30, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher was a claim of $2,679.15 for furniture rented as autho
- zed on August 26, 1989, from Cort Rental, Atlanta, GA,.
t *)nthly rate of $535.83.
However, respondent returned all the rented furniture to Cort Rental on September 19, 1989, without informing any NRC official of this action, and did not rent any furniture from May 1 through September 30, 1990.
Second, respondent also made a false claim on this voucher for reimbursement for car rental.
On August 25, 1989, as authorized, respondent rented a Mercury Cougar from the Hertz Corporation, Gaithersburg, MD, for $686.16 on a month-to-month arrangement.
On February 20, 1990, respondent returned the Mercury to Hertz and rented instead a Volvo at $577.18 per month.
He did not notify any NRC official about this exchange of automobiles or the difference in the amount of rent.
However, he claimed reimbursement on this voucher for car rental for the May 1 through September 30, 1990, period at the higher rate for the Mercury, which he did not rent during this period, instead of the s
lower amount he actually paid for the Volvo, a difference of
$540.50.
Third, respondent filed a false clain on this voucher for a house that he was authorized to rent.
On March 15, 1990,
% respondent signed a six-month rental agreement to begin on April 1, 1990, with ERA Lovins Realty and Investment Company, Vidalia, GA, for a house in Vidalia at a monthly rent of $600.
He paid ERA Lovins Realty $600 rent for this house for each month, including the period May 1 through September 30, 1990.
However, respondent claimed on this voucher reimbursement for rent at a rate of $875 for each month during this period, a difference totalling $1,375.
Finally, respondent claimed reimbursement on this voucher for meals and incidental expenses (M&IE) for the May 1 through September 30, 1990, period at the Atlanta, GA, rate while he was actually living in Vidalia, GA, where the rate is lower, an overcharge of $153 for this.
Therefore, Travel Voucher R002305 contains false claims totalling
$4,747.65 for furniture rental ($2,679.15), car rental ($540.50),
l housing rental ($1,375), and M&IE expenses ($153).
73.
Respondent knew or had reason to know at the time he submitted Travel Voucher R002305 that the claims for irrniture, 1
car, and housing rentals and M&IE for this period were false, fictitious, or fraudulent.
74.
Respondent's submission of Travel Voucher R002305 with falsified claims for furniture, car, and housing rentals and M&IE constitute false claims.
75.
Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
76.
The total amount of false claims on this voucher is
$4,747.65.
Because of an inquiry into respondent's overtime and travel vouchers, this voucher has never been paid.
5
?
t COUNT XV 77.
On January 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher R9B3154 for
$402.79, covering the period September 11 through September 15, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE) ($123.50) and mileage for use of a personal car for official purposes ($155.25).
However, as he i
admitted, respondent did not possess a personal vehicle from September 11 through September 15, 1989.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was also reimbursed for his M&IE expenses on Travel Voucher R905842, dated September 11, 1989, which he submitted to the NRC Headquarters.
Therefore, Travel voucher R9B3154 contains false claims totalling $278.75 for mileage for use of a personal car ($155.25) and M&IE
($123.50).
78.
Respondent knew or had reason to know at the time he submitted Travel Voucher R9B3154 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
l
=.
(
I i,
79.
Respondent's submission of Travel Voucher R9B3154 with falsified claims for M&IE and personal vehicle use constitute f
false claims.
80.
Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
81.
Due to respondent's falso claims, the NRC paid him
$278.75 to which he was not entitled.
COUNT 2041 i
82.
On January 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 0011 for
$580.40, covering the period October 2 through October 6, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
l Included in this voucher were claims for meals and incidental expenses (M&IE) ($130.00) and mileage for ura of a personal car i
for official purposes ($218.40).
However, as he admitted, respondent did not personally possess a vehicle from October 2 through October 6, 1989.
The only vehicle he used for official purposes during this period was a rental car for which he was fully. reimbursed for its rental and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was also reimbursed for his M&IE expenses on Travel Voucher R000002, dated October 12, 1989, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0011 contains false claims totalling $348.40 for mileage for use of a personal car ($218.40) and M&IE expenses ($130.00).
-i
-)
. 83.
Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 0011 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
84.
Respondent's submission of Travel Voucher ROB 0011 with falsified claims for M&IE and personal vehicle use constitute false claims.
85.
Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
86.
Due to respondent's false claims, the NRC paid him
$348.40 to which he was not entitled.
COUNT XVII 87.
On January 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 0027 for
$860.74, covering the period October 16 through October 26, 1989.
i Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE) ($221.00) and mileage for use of a pegsonal car for official purposes ($261.60).
However, as he admitted, respondent did not personally possess a vehicle from October 16 through October 26, 1989.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Purthermore, respondent was also reimbursed for his M&IE expenses on Travel Voucher R000002, dated November 1, 1989, which he
. submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0027 contains false claims totalling $482.60 for mileage for 1
use of a personal car ($261.60) and M&IE expenses ($221.00).
88.
Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 0027 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
90.
Respondent's submission of Travel Voucher ROB 0027 with falsified claims for M&IE and personal vehicle use constitute false claims.
91.
Respondent's false claims violate 31 U.S.C.
3802 (a) (1).
92.
Due to respondent's false claims, the NRC paid him
$482.60 to which he was not entitled.
COUNT XVIII 93.
On January 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 0393, covering the period November 13 through November 17, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in the this voucher were claims for meals and incidental expenses (MEIE) ( $102. 00) and mileage for use of personal vehicle for official purposes ($12.00).
However, as he admitted, respondent did not personally possess a vehicle from November 13 through November 17, 1989.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas
. and parking, on his vouchers to the NRC Headquarters.
i Furthermore, respondent was also reimbursed for his.M&IE expenses on Travel Voucher R000002, dated November 11, 1989, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0393 contains false claims totalJing $114.00 for mileage for use of a personal car ($12.00) and M&IE expenses ($102.00).
94.
Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 0393 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, and fraudulent.
i 95.
Respondent's submission of Travel Voucher ROB 0393 with falsified claims for M&IE and personal vehicle mileage constitute falso claims.
96.
Respondent's false claims violate 31 U.S.C.
3802 (a) (1).
97.
Due to respondent's false claims, the NRC paid him
$114.00 to which he was not entitled.
i COUNT XIX 98.
On January 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 0656, covering the period December 4 through December 8, 1989.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE)
(5123.50) and mileage for use of a personal vehicle for official purposes ($12.00).
However, as he admitted, respondent did not personally possess a vehicle from December 4 through December 8, J
. 1989.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was also reimbursed for his M&IE expenses on Travel voucher R000002, dated December 13, 1989, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0656 contains false i
claims totalling $135.50 for mileage for use of a personal vehicle ($12.00) and M&IE expenses ($123.50).
99.
Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 0656 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
100. Respondent's submission of Travel Voucher ROB 0656 with falsified claims for M&IE and personal vehicle mileage constitute false claims.
101. Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
102. Due to respondent's false claims, the NRC paid him
$135.50 to which he.as not entitled.
I l
COUNT XX 103. On January 16, 1990, respondent submitted to the NRC i
Region II Office, Atlanta, GA, Travel Voucher ROB 0841, covering the period January 8 through January 12, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE) l
D
- 24
($123.50) and mileage for use of a personal vehicle for official purposes ($208.80).
However, as he admitted, respondent did not personally possess a vehicle from January 8 through January 12, 1990.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was also reimbursed for his M&IE expenses on Travel voucher R000002, dated March 21, 1990, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0841 contains false claims totalling
$332.30 for mileage for use of a personal vehicle ($208.80) and M&IE expenses ($123.50).
104. Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 0841 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
105. Respondent's submission of Travel Voucher ROB 0841 with falsified claims for MriIE and personal vehicle mileage constitute false claims.
106. Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
107. Due to respondent's false claims, the NRC paid him
$332.30 to which he was not entitled.
COUNT XXI 108. On January 29, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 0993 covering the period January 22 through January 26, 1990.
Respondent
.- signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE)
(S117.00) and mileage for use of a personal vehicle for official purposes ($12.00).
However, as he admitted, respondent did not personally possess a vehicle from January 22 through January 26, 1990.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its t
rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was also reimbursed for his M&IE expenses on Travel Voucher R000002, dated March 21, 1990, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 0993 contains false claims totalling
$129.00 for mileage for use of a personal car ($12.00) and M&IE expenses ($117.00).
109. Respondent knew or had reason to know at the time he submitted Travel Voucher ROE 0993 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
110. Respondent's submission of Travel Voucher ROB 0993 with falsified claims for M&IE and personal vehicle mileage constitute false claims.
111. Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
112. Due to respondent's false claims, the NRC paid him
$129.00 to which he was not entitled.
f
,a s COUNT XXII 113. On February 12, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 1098, covering the period February 5 through February 9, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE) l
($123.50) and mileage for use of a personal vehicle for official purposes ($216.00).
However, as he admitted, respondent did not l
personally possess a vehicle from February 5 through February 9, 1990.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was reimbursed for his M&IE expenses on Travel Voucher R000002, dated L
March 21, 1990, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 1098 contains false claims totalling
$339.50 for mileage for use of a personal car ($216.00) and M&IE
( $123. 50).
114. Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 1098 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
115. Respondent's submission of Travel Voucher ROB 1098 with falsified claims for M&IE and personal vehicle use constitute l
false claims.
('
% 116. Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
117. Due to respondent's false claims, the NRC paid him
$339.50 to which he was not entitled.
COUNT XXIII 118. On April 2, 1990, respondent submitted to the NRC Region II Office, Atlanta, GA, Travel Voucher ROB 1505, covering the period March 13 through March 15, 1990.
Respondent signed on the voucher a certification that the voucher is true and correct to the best of his knowledge and belief.
Included in this voucher were claims for meals and incidental expenses (M&IE)
($65.00) and mileage for use of a personal vehicle for official purposes ($122.88).
However, as he admitted, respondent did not personally possess a vehicle from March 13 through March 15, 1990.
The only vehicle he used for official purposes during this period was a rental car for which he was fully reimbursed for its rent and related expenses, including gas and parking, on his vouchers to the NRC Headquarters.
Furthermore, respondent was reimbursed for his M&IE expenses on Travel Voucher R002305, dated April 2, 1990, which he submitted to the NRC Headquarters.
Therefore, Travel Voucher ROB 1505 contains false claims totalling
$187.88 for mileage for use of a personal car ($122.88) and M&IE expenses ($65.00).
119. Respondent knew or had reason to know at the time he submitted Travel Voucher ROB 1505 that the claims for M&IE and mileage on a personal vehicle during this period were false, fictitious, or fraudulent.
s 120. Respondent's submission of Travel Voucher ROB 1505 with falsified claims for M&IE and personal vehicle use constitute false claims.
121. Respondent's false claims violate 31 U.S.C. 3802 (a) (1).
122. Due to respondent's falso claims, the NRC paid him
$187.88 to which he was not entitled.
PENALTIES 123. Based on his false claims, the maximum amounts of penalties and assessments for which the respondent may be held liable are $115,000 ($5,000 penalty for each of the 23 false claims) plus $17,771.50 (assessments of two times the $8,885.75 actually paid to respondent by the NRC).
I PROCEDURES 124. Respondent has the right to request a hearing by filing a written answer to the allegations and proposed penalties and assessments in this complaint within 30 days of the service of the complaint.
125. An answer to the complaint must be filed with the reviewing official, Martin G.
Malsch, Office of the General
- Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20B52.
126. Respondent has the right to be represented at the hearing by an attorney or other representative.
127. A copy of the procedures governing hearings under the Program Fraud Civil Remedies Act (10 C.F.R. Part 13) is attached.
5 a
$ 128. Failure to file an answer within 30 days of respondent's receipt of this complaint may result in the imposition of the proposed penalties and assessments without right to appeal as provided in 10 C.F.R.
13.10.
Respectfully submitted, l
)(
j N-MARTIN tr. MALSCH NRC Reviewing Official office of the General Counsel U.S. Nuclear Regulatory Commission l
UNITED STATES NUCLEAR REGULATORY COMMISSICN RULES and REGULATIONS TTTLE 10. CHAPTEA 1. CODE OF FYDERAL REQULATIONS-INEASY 13.1 PART PROGRAM FRAUD CML REMEDIES 13 PART 13-PROGRAW FRAUD CIVIL 13Jo N bearing and burtsen of proof.
AtWEDtES 1831 Determining the mount of penaham and assossments.
g,g, g,,,,,,,
see 1832 Loc.atson of bearnas.
> (a) Easis.This part implements the 13.1 Sesie and purpose.
1333 Withewes.
Program Fraud Ov11 Remedits Act of 132 Definitions 1334 Ev6 deface.
1986. Pubtle IAw No.99-509. Il 2101-13.3 Basis for civil pertaltees and 1343 & record.
31M.1M Stat 1874 @tober 2'1,1906) eesusments.
13 se Poet.heanns bnefs.
134 innstise teen.
13.37 instal decasion~
[21 U.S C. 3801-3812). 31 U.SC 3409 13.3 Review by the reviewmg official.
13 34 Reconsideration ofinitial decaslest requires ssch authority head to 13 s Preretutsites for issumg a complemt.
13 29 Appeal to authenty head.
a sh mW 2 13 7 Compla mt.
13 40 5tays ordered by the Department of g implement the provisions of that Act.
13 4 Servste of complamt justice.
g (b) Palpose. This part (1) establishes 13.s Answer.
13 41 Stay pending appeal administrative procedures for imposmg g dvilpenalties and assessments against 13 to Defaula upon failure no file an answer.
13 42 lud cial review.
I 1311 Befertal of compiamt and enswer to 13.43 Conection of dril penalen and persons who makt, submit. or present, the AL) assnaments.
Or cause to be made. submitted. Or 1313 Notice of hnnng 1
g t d,m presented. false, fict!!!ous. Or fraadulent a t a
13 13 Panies to the hesnns 1314 separetion of functions la sa Compme or de claims or written statements to 13,, wi,,,,3,.
authorities or to their agents. and (2) 18 18 T2 s*"* **"i*ct*
1318 Disqualifecetion of reviewmg offecial specifies the hearing and app 3al rights of rsorts subject to allegstions of I
litt his of penses a%
Mna aand 131s Authonty of the AL) ersessments.
13 18 Prehesnng conferences 1330 D:sclosure of documents 1321 Discovery 1322 Enchange of erstness lists. statements.,
and ethatnis l
1323 Eubpoense for attendanca et hesnns g p Au$onty: Publ#c law $9-aos. eece titn-F s 132s Fortn films and servics of pape's g sik 12 & st.1pe (31 M C M43L 1327 Computation of tima 13.38 Motione
{
132s Sanctions l
l 13 1 September 30,1991 !
13.2 13.2 PART 13 e PROGRAM FRAUD CIVIL REMEDIES l11.2 De*etions.
(iii) Wi!! relmburse such redpient or (b)Not employed in h organtzauenal As used in this pan; pony Ior h purchan of such property isnit of the authority in which the i
AL/means an Admmistrouve !.aw or semcu. or investigstag officialla employed; and 5
l lodge in the authenty appointed (2) For the payment of money (c) Serving in a position for which the pursuant to 5 U.S C. y105 or detailed to (includmg money representir:4 grants.
tote of besic pay is not less than the the euthonty pursuant to & U.S C.1M4.
loans. insurance, or benefits) ti the mittimum rate of basic pay for grade i
i Authonty meana b Nuclear United Statu--
CS-13 under the General 5chedule.
Reguletory Commassen.
(1) Provided any portion of the sooney Storseent meens any representation.
AutAonry headmeans the tequeated or demanded: or certification affirmation. document.
Commission of Eve members or a (11) WiU nimburse such recipient er record. or secountuig or bookkeeping quorum thereof sitting as a body, as pany for any ponion of the money pand aan made--
on such request or demand: or (a) With rupect to a claim er to kronded by uction 201 of h E.nergy eo aniutaen Act of1974 (to Stat.
(3) Mede ta the authority which has obtain W approval or peyment of a 1142).
the effect of decnasing en obligauen to cialm (including relating to shgibility to Janefit means. to b context of P8y or account for propeny, unicas, er ma h a de W ar "stetement". anything of value snoney.
Ith nspect to (% mMag g indudmg but not limited to any Comp /cint muns se edeninistrative E **(*Wtr f*
edvantage, preference, prtvilege license, complemt served by the reviewtag 3
- 1) A contract with er a bid or h permit favorsble decision.fulmg status, official on the defendant under i 11 F.
proposal for a contract with: er E or loan parantes.
Defendent means any person aneged (2) A grant. loan. or benefit front. the Claim means any request, demand, or in a complaint under i 13.7 to be liable authority, or any State. polit 6 cal for a dvil penalty or assessment ander subdMalon of a State, et other pony. If i 13.3.
the United States government prov$ des (a) Mede to the authertry for property.
semcas. or money (mdudtr.g money Co.ernment means b United States any portion of b money or proputy presenting grants. loans. insurance, or Covernment.
under such contract er let such grant, ladividgolmeans e natural person.
Ioan. or benefit er if the Government
^* *
(b)Made to a recrpient of property, laitialdecision means the wntten wiU nirnburu such Stans. political semen. or money from the authonty or decision of b ALIrequired by l1810 nbdMaloe. or pany for any ponion of
- * ^ ## #'
or i 1347, and indudes a revised initial the money or property under auch e,[,3 decieron issued followmg a romand or a con et w fu euch grant, h or i
(1) For propeny or services if the
- 'on br reconsideration.
United Sietu-Id"8l8'i"# 8/I'eialsneans the (1) Provided such propeny or services:
I"'P U'""* I 'I O' (ii)Provided any ponion of the funds Regulatory Commission or b Assistant i
fcr she purchase of such propeny or B nspector Ceneral for Investigations, Office of the Inspector General.
f Knows or hos reason to know means thet a person, with respect to a cJaim or w
R statemens-(e) Hu actual knowledge that the daim or statement la false.factst6ous or fraudulent (b) Acts in deliberste ignorance of the i
truth or falsity of the clata or statement or (c) Acts in rocklos disregard of the truth or faletty of the dalm or statement.
McArs, wherever it appears. shaB indede the terms pruenta, subeif ta, and causes to be moda, presented. er submitted As the context regatres.
coAins or mode sheU likewine imetode the corneponding forms of such terma.
Person means any indsvidual, ps rtnership. corporstion, a saociat6en, or pnvote e ganization and tododes the plural of thei term.
Representative means any persca designated by a party in wnting.
Atr/awirig o!7ecialmeans the Deputy General Counul for UceneLg and Replation of the Nudest Replatory Commission or his or her designee who to-(a) Not oublect to evpervision by, or required to report to. W tavutigstag officAal.
October 31,'ft91 (reset) 13 2
13.3(s) g3a(g)
PART t3 e PROGRAM FRAUD CIVIL REMEDIES I 13
- Basas ter otvs penarnes and behstf of the authortry, recipient.or I 1g.4 L y--
Puty-(e)If an invest:sstmg offidal (a) Claims.
(4) Each claim for property, services.
conc!vdes that a subpoene pursuant to (1) Any person who makes a eleim or money is subject to e dnl penalty b authonty confermd by 31 U.5 C.
that the person knows or has reason to j
regardless of whsther euch property.
Sa>tts)is warranted-know-g services. or money is actually delivered (11he subpoena so fuued shaU (f)1s fales, fictf uous. or fraudulent i or paid.
, neufy the person to whom it la (II)Indudes or is supponed by any t
(5)If the Covernrnent has made any addresud of the autnority under which wntten statement which asserta a
- payment (includmg transformd property the subpoens is issued and shall idenufy matertal fact which is falu. Actiuous. or g or provided services) on a claim. a 3
the records et documents sought fraudulent f person subject to e dvil penalty under (2)De lavestigating omcial may
. designate a person to act on his or her (iii)Indudes or is supported by any 1 Paragraph (s)(1)of this secuoe shall wntien statement that
' also be subject to an asussment of not ' behalf to mealve h documents sought (A) Omns a material fact more than twice the amount of such
' and
}
(B)is falu. fictitious. or fra adulent as claim or that portion breof that la (3)De person receiving such g a result of euch omission; and determined to be in violation of subpoena shall be required to tender to g
(C)!s a statement in which the puson paragraph (s)(1) of this section. Such the investigating omcial or the person E makins such statement has e duty to asusement shau be in lieu of damages designated to receive the documenta a todude such matenal fact or sustained by the Government because of cerufication that the documents sought f
(iv)is fos payment for h provision of such claim.
kan bun produced. or est such property or urvices which the person (b) Stosaments.
documents am not aval!able and the hae not provided wee claimed. shall be (1) Any Pe son who makes a written fossons therefor, or that such eublect. in addition in ary other remedy statement that-documents. suttably identined. have that may be presenbed by law.to a evil (1 D' penait kno)w person knows or has reason to been withheld based upon the asserdon suchcfaim.of not more than g3.000 for each of an identified pnvilege.
I (A) Asserts a materialfact whichisB (b)If the imsugating omdal (2) Each voucher. invoice. claim form. 4 falu. Acuuous, or fraudulent or t concludes that an action under the 1
or other indmdual requesi or demand E (B)is false. Actitious. or fraudulent g Program Freud Ov!! Remedies Act may for propeny, services. or money E because it omits a estarialfact that the E be warranted. the investigating omdal constitutes a uparate claim.
person making the statement has a duty shah submH a sport containing the
]
(3) A claim shall be considered made to include in such statement and findings and conclusions of such i
to the authonty. recipient. or pany when (if) Conteira or is secompanied by an tenstaanoa to Be mvlewing omdal j
such cJoim is setually made to an agent.
expmse certincation or affirmation of h b estut poos.Ne. bekn inlusung l
fiscalintennediary or other ent ty, the truthfulness sad accuracy of the an investigation se submitting a report includmg ny State or pohtacal contents of W statement. shaU be involving a heensee false statement to subdmsion themof. actar,g for or on subject. in add Uon to any other remedy ee Wewing official the investigatmg i thet may be prescribed by !sw. to a civil a
consuh w!& b Esecunn i penalty of not more than g3.000 for each etw for Opusuons to ascenata such statement.
whethe any oder apucy acuan is (2) Each wntten mpreseatsbon.
under consideration, pending. or sur be cartification. or affirmstion consutotes a a n wu mgud to se beensea.and to e separate statement.
EBow fw cow &nadon bHwwn any (3) A statement shall be considemd acun under his pan and other made 1o the authonty when such
- I"*** **D*8-ato tement is actuaUy mede to an agent.
(c) ng in his secuen shaU hscal intermediary, or other entity
- pnclude or hmit an investigating including any State or political
- dal e &scnose to min aUessueas subdmsion Wreof. setmg for ce on to e DepaMarat of Justaos for behalf of the authority.
enn unda es Falu Nms Act or other (c)No proof of a cine latent to el. W to min &e usuar to the defra ud is requin[to eatsblish habihtyaeevon Dimeter for Opuscons for ander th!s sectson.
enfwcement oction ander the Atosuc (d)In an cau in which it is Energy Act or to dein initiating an determine [that more than one person is l "IMHj8 Bon se poHP I*"* to 68 Wewing omcal to avoid 11sb!: for esking a claim or statement under this section. sach such person j
'*"" "' * 'O*' '"I"***"8 mey be held hable for a civilpenalty ocoon b 6e Comminion er wah a under this section.
{ CMminalinenhasuon or prowestion.
g in &Js secum modanes (e)la any case to which it is determmed that more than one pemon is any reep netbility of an investigeting beble for making a claim under this el to mp n vio ebees of caminal section on which the Covernment has
" 'I made payment (includir g transferred property or provided utvicesk an assessment may be imposed ogstast any such person or Jointh and severally ogamst any combmahon of such parwns.
13 3 Septwnber 34 W
115(s) 117(c)
PART 13 a PROGRAM FRAUD CIVIL REMEDIES 1
I tLs eteme in the revtertne eeriaisc g 13.s tweg,naroe, #er he*ie a I 13.7 Cosweeit (s)If. based en the report of the
- mener'L (a) On or eher the date the investigstm)hcial determmee that there ofhcial under i 13 4;bl. the (e)De reviewing ofhefel may issue a Department of justics approves the revnewmg o.
complemt under i 13.7 only if-issusace of a complaint in accordance is edequele evidence 1o kheve that a (1) De Department oflastice with 31 L!.5 C 3403(b)(1). the reviewing person is hable under I 13 3 of this part approves the isessace of a complatat la ofhef al may serve a complaint on the the nyiewmg ofhcial shall transmit to a written statement descibed la F1 4efendant, as provided la !13A the Attorney General a written notice of US C 3m3(b)(1), and (b) ne complaint shallstate-the revnewmg ofheial's intention to tasue (2)in the case of a!!egations of (1)ne a!!egations of hability assinat a complemt utider i 13.7.
hability under i 13.3(a) with respect to a the defendent ladudag the statutory (b) Such notice shall include-cists, the reviewing omeial determines g bests for habi!!ty. an identincation of (1) A statement of the reviewmg that, with respect to eucA claim se a g the claims or statements that are tha ofhetal's ressons for issuir:g a complaint group of related c! alms submitted at the E basis for the a!!eged liability.and the (2) A statement specifymg the g aame time auch claim is submitted (as ev.dence that supports the a!!egations of g defined in paragraph (b) of this section), g reasons wh hability alle froen such c aims or statements; D
habihty; g the amount of money or the value of (2)The estimum amount of penalties E
(3) A desenption of the c3 elms or g property or services demanded ce and assessments for which the 3 statements upon which the allegations requested in violation afllus) does defendant may be hvid hable:
l of Labihty an based.
sx* ucced 350 Don (3) Instructions for Rhng an answer to (4) An estimate of the amount of (b) For the purposes of this section. a request a hearing. includmg a specific money of the value of property. services.
related gtoup of claims submitted at the statement of the defendent's right to or other benef ts requested or demanded same time shallinclude ordy those request a hearing by niing an answer in violstion of i 13 3 of this part cfsima ansing from the same transaction and to be represented by a i
($) A statement of any esculpatory or le #. g*snt loart opphcation. or representative: and i
mitigstmg circumstances that may relste contract) that are submitted (4)That fa!!ure to file an answer to the claims or statements known by simultaneously as part of a single within 30 days of service of the i
the reviewmg official or the request demand. or submission.
complaint will result in the imposition of investigstmg omcial and (c) Nothing in this section shaU be the maximum amount of penalties and (8) A statement that there is a construed to hmit the reviewsng assessments without right to appeal as
...vnsble prospect cf co!!ectmg an omeis!'s authority to join in a single provided in i 13.10.
appropnate amount of penalties and complaint agemst a person clates that it) At the same time the reviewsag a ssessments are unrelated or were not submitted omcf al serves the complaint he or she
)
etmultaneously.rtgardless of the shall serve the defendant with a copy of amount of money, or the value of these regulat6ena.
preperty or services. demanded or req ues te d.
I i
i i
1 i
l i
1 l
October 31,1991 (reset) u-4
r I
118(a) 1112(b) t PART13 e PROGRAMFRAUDCIY!LREMEDIES i
(3) my state any reanene why b this sectica lf such a decision has been '
defendent contends that the penetties leeu*d. and shall yest the defendent as and enenmente should be less than the opportunity to answer the sempletal.
statutory memi==r and (3) A deciales of the A4 denytag a (4)Shell state the name oddress and defendent's motles under pareysph (e) telephone number of the porosa of thle section le not subject to i
euthorised by the defendast to set as rea=='daretion under 618.88.
i defendent's representation. Wany.
(h)N defendsat may appealto te (c)If the defendant le unable to Als en motherity head 6e desdelen deartas e onewer meeting the requiremente of paragraph (b) of thle secuan wHhla the mouse to roepen by fulas a mouse of appeal with me aetherity head within 13 time provided. the defendent before the empiration of 30 days ders aher the A4 deales the metism.
service of the sempletat.Sie wNb the De timely fHing of a mettee of appeal sheB etey the lattial dociaien estil the mytewing amcial e general answer motherity head desides the leave.
- besrms. and a request for se eatenoies (t)lf the defendant Blas a timely..
i denytag habluty ans mquesting a
. of time within which to Ale sa answer moties of esmeal with the authority beed.
6e A4 she'll forward the record of the l (meeting the requiremente of pareyephb)of this section.no sviewies e presseding to the eetherley head.
s she!! file promptly with the A4 the (1)De authertty bend sheB deside
,M, " tame eneuse 6e defendant's
' whetherentreerdinary l liebihty,and the request See ascomplaint. the general enewer de feUure to fue e see saew w based estension of time se provided la $ 18.11.
For good cause shown. the A4 may seieh as 6e record fare the AM.
l grant the defendant up to 30 additiemal (b)lf the authority beed decidos that i
dsYo withist which to file an amower esteerdhary aircumstances emeused j
i meeting the requiremente of parayaph g, g,g,,g,,g.e feuere to fue a theely l @)*I8h's session.
answer the authority heed shau romand 1 the ease to the A4 with lastruemens es i 43.58 Detmet usea seawe se me en Feat the defendant en oppermessy te
! enoese.
l I"#
8**"*#**"'*""""
maswer.
(e) Semce of a complemt must be h
(e) lithe defendent dess not Sie sa -
(!)lf the head desides that mede by certified or registered mail or g anewer within the time prescribedin 6e defendent's le to fue a nach
{
by deliv.ry in any menner authonsed bY 's $ 13. pia) the reviewing afhdalsesy answerle act==aad the autherhy Rule 4(d)of the Federal Rules of Civil 2 refer the complaint to the A4 E beed shsE soinstate to initial deciales
@)Upon h mfuralof te semplaint. E of the Ay,whis shaU hoosaw Analand procedure. Semce as complete ur. der
- h A 4 sheB preenpth serve en span the parties 3D days aher mmpt-(b) Proof of ermee. statmg the name defendent in the menner p.;" -f la the e ey headleaves such dosioien.
. and address of the person on whom the i 13.g a notice that an taitial deciales I complems wee served and the menner will be issued under this secuen.
(c)no A4 shaU suume the lects
- agg, and dete of semce. mey be mede by-o!!eged in the semplaint to be true, and.
Upes meetpl af as answer 6e (1) Affidsvit of the individualsemng the complaint by dehvery:
if each facte estabheb habuity under.
mylming eScialcheB fue the i 13.3. the A4 shallleous sa initial sampiow and namer wie te A4 g
(2) A United Stesee Poetal Semce decision imposing the memissues amount
. retem mceipt sard acknowledgmg of penetties and assessmente aliswed g gle nesse af toseng,
- receipt or under the statute.
la)N to A4menige te B (3) Written ockriowledgment of receipt (d) y.acept se otherwise provided la.
semplew and samw.es A4 shaB C by the defendent or has of her f Mpmeenteh this secteen, by faihng to Rio a timely prompth sorw a menos of boarms span an,e wains an p
I the I '88 A"***
eneesmente toepened ab repaph I '*"I *
- etsuch mouse u te fa The defendant may request e -
(c) of this section sad the initial cecialen mpmeenteWm$6e asterHy.
heer)ms by fihng an anower with the shall become haal and hindaag u S) Such modes shen laclade-.
- parties 30 days sher N is loosed. pon the (1)m watemw time and plass.and revieweg officiel withm ao days of
. service of the complemt. 5ervice of an (ellf. before such en mittal desiolen 6e esture of to W anewer shall be made by dehvenne a becomes feat. the defendant Bias a (3) m legalauthority and juriadwea=
copy to the reviewmg official or by motion with the AI.) seeklag to reopen seder which the heartag is to be held; placmg a copy m the Umted States mail. '
on the grounds that entrosetmary (8)N mottore af fact and lew to be j
postage prepaid and addressed to the circometences prevented the defendant asesreed.
mvwwmg official An ensmer shall be
. from fihng an onewer theinitial (4) A doesrlpties af the procedwee for
)
deemed to be a requesi for hearing.
decision sheU be stayed poedag the the sendset er the heartas:
1 (b)la the answerahe defendem-Age decielen en the met 6en.
(g) h name, address. and telepheme (1) Shell admit or deny each of the tr)lf. en such motion. the defendant number of the representative of the allegetiene of habihty mede in the can demonstrate estreerdamery setherity sad af the defendaat.if say; complatnt circumstances emessing the failure to file and (2) Shell state any defense on which a timely anewet. the A4 shall withdrew (8)Such other mattere as the A4 the defendem sntends to rely:
the lential deciesen in paragraph (c) of deems approprtete.
45 October 31, #91(reest) -
1 i
11D(a) 1120(a)
PART 13 e PROGRAM FRAUD C(VIL REMED!ES
- 1 ttta terwe to tre hearme-of such feets. It shall be accompanied by (g)Regulste the couru of the beenng (s)ne parties to the beenna shall be a cart & tate of the reprenntauve of and the conduct of repruentatives and the defendant and the authority.
record tha t it is made in good faith, parties:
(b) Pursuant to 31 U.S C. 3730(c)f 5). a (e) Upon the fihy of such a mot >on (g) Ems mine witnesses; pnvate plainti!! under the False Claims and efhdavit the ALI shsu proceed no
- 00) Receive. rule on. sacjode. ar hmit Act may participate in these further in the case until he or she evidence.
proceedings to the eatent authonzed by tosolves the matter of 6squahfication la (11) Upon motion of a party, take the provisicms of that Act.
accordance with paragraph (f) of this ome!al notice of facts:
sectica.
(12) Upon motion of a party, dec6de I '" ** * **" ***"", tM (a)The investigation ofTacial (f)(1)If the All determhs that a cases,in whok er in part, by summary nvwwarq omeiat and any employn s' reviewing ometalis esquahnei the AIJ Ndgment where there is no disputed shall &smiss the complaint w'thout issue of matenal fact agent of the authority who takes partin. preludace.
(13) Conduct any conference.
tnwestigation.propenng. or prosentmg a I partseular case may not. to such case or i (2)If the AL) disgushfles himself or argument, or hearing on motions in a factua!!y related case --
brnE h can shu k repaigned penon or by ukphone.and (1)PanicJpate in the hearmg as the promptly to anohr ALI.
(14] Exercise euch other authority as (3)If the AL] denlea a motion to la Mcessary to carry out the
- 2) Participate or advise in the initial disqualify, the authonty beed mey f*sponsibilitwo of the ALI seder this decision or the review of 6e initia1 determine the matter only es part ofits P&Ft-decision by the authenty heed. except review of the initial decision upon (c)he Alldoes not have the as a witness or a representative in M
aveodry to and Fedwalsutuks w regulat60ns tersh&
pubhc proceedmgs: or g t3.ty meste etperum (3) Make the collectitm of pertalties and essessments under 31 U.S.C.3406-Except as otherwise hmited by this I
'M (b) The AL) shall not be responsible pm au pmn may (a)na AL)may schedule probearms to. or subject to the supervision or (a) Be secompanied npnsenki and conferences as appropr6sta,
&rection of. the mvestigatmg official or adyned by a repnsentative:
(b) Upon the motloo of any party the the reviewmt officl*.
(b) Participate in any conference bald All shall schdah at kast om (c) Emcept as provided in paregraph by & A!J-prehearms conferena at a reasonable (s) of this section. the nprenntative for (c) Conduct discovery-time in advance of the bearing.
h Covemment may be employed (d) e to stipuistion of fact or law, g
ccalerences to d as I
B anywhere in the authonty. includma in g which a a!! be made part of the M E (1)Simphncation of the lesses:
t W offaces of either the investigatmg (e) Pnunt puence ninant to th g
b (2 N necessity or desirebihty of g othesalor th rev>ewmg ofLcal E ame)ndments to b plesdints. inc1=dina E ' "' ' ' ,.h ' "' '"*8 E I11.15 Es pe w sensacia.
"'8" C"
R y,
g the need for a mars definitt statement No part) or person (escept employees (g) Present oral arguments at the "I
of & AL) e office) shad communicate an heanns ee permitted by the AL).and
[
spy ws) with the AL} on any matter at (h) Submit wntten bnefs and g) wygjier b g.
inue m a esse unless on notice and rtin ca t a m
proposed nn6ngs of feet and embmission of the case on a rup$ted opponumsy for au pames to participate This provision don not prohibit a conclusions ofis w after the beanng.
,,c,4 person or party from inquinns a bout the i 18 18 Authedry et #ie AIJ-(5) Weef a pany chooen to wahe statu of a can or askms routine (e)m alt shall condwet a fair and appusacs at an oral kanns and 2 questions concernma admirustrative impartial hesnns avoid delay.maatain submit only documentary evndence hmetaans or procedures.
order, and assun that a record of the (suW M 6e obW d peer pe) d d
and wMnen asymment 8 88" # O' """N' d b he Ia N setherity to--
(a) A revewmg ofLeial or AL)in a (1) Set and cher:ge the dets. time, and gy) gegduhng dates for the enchange particu!st can snay disquahfy butnif piece of b hunng upon reasonable t
or herself at any time.
nouce to the pamu; of witnen lists and of proposed exhibits:
(b) A pany may Als with h ALl a (2) Certunue or name th kanng in motion for esquahfication of a whole or in pan for a masonabk pared gg) p,,,,,,,,7; j
rev6 ewing omcial or an ALI. Such
- I "* *-
i (9)De time and place for b beanag:
motion shall be accornpan ed by an (3) Hold conferences to 6dentify or g and amdavit ellegmg personal bias or othe, simphfy the issues. or to conalder other (10) Such other matters as may tend to reason for disqua hfication.
sneners ht may aid in b supedJtnova expe&u h fair and Nst dapanion d I
(c) Such metron and sidevit shall be disposition of the proceedmg:
b procondags fued promptly upon the party's (4) Admmistet oaths and amtr.etions:
(d)he All mer issue an order l
&acovery of rusons requinna (5) Issue subpoenas requiring the contatnkg sU maners agned uMn by esquahfication. or euch obtections.
attendance of witnesses and the h pames a wdered by b AM at a ahaU be deemed weind.
productson of documents at depoastsona prehearmg conference.
id) Such a!Lda vtt shall sta te specific D' s a baarmge:
$ tLao tapesoeurs et i--
--a-(sets that suppen the pany's behef ht (6) Fule on motions and other (a) Upon wrteten request to h personal bias or other reeson for procedural ma tters; nviewmg ometal. the defendant may
&squahfication exists and the time and (7) Regu!ste the scope and timmg of review ariy relevant and matenal circumstancu of the pany's discovery dacovery; documents. tre nacnpta, records. and Septeteet 30,1991 13 4
.~
s 112O(s) 1124(b)
FART 13 e PROGRAM FRAUD C(VIL REMEDIES ohr matenals that relate to the (Ills neccesary for the expeditious, be deemed to be authest c for the allegations ut out m h core:plemt and fair, and ressonsble consideration of the purpose of admissibility at the hearms.
upon which the fm&ngs and conclusions issues:
of the investigstmg official under (11)le not unduly costly or
,g i 13 4(b) are band, unless such burdensome; dxuments m subset to e pnvilege (hi) Will not unduly delay the (a) A party wishing to procure the omder Federallaw. Upon payment of proceeding: and appearance and testimony of any ins for dupbcation. tne defendant nrsy (iv) Does not seek prtvGeged inctvidual si b hurmg may request nbtem copies of such documents.
mformanon.
that the AL{ issue e subpoena.
- 3) Upon wniten requeit to the (4)ne burden of showing that (b) A subposna regoiring the uewmg ometal. the defendant also d!scovery should be aUowed le on the attendance and testimony of an eney obtain a copy of all esculpatory party seeking discovery.
indMdual may also require the information in the posnes.on of the (llh All may grant discovery todividual to produce documente et the revawmg ofLeial or investigetmg subject to a protecuve order ander
- beartas, omcial nlatmg to the allegations in the i 1224.
complaint. even if it is contained in a (e) DepoeWons.
(c) A party seeking a subpoena shall document that would otherwin be (1)If a monon for depostoonis Es a written request therefor not ins than 18 days before h date fixed for pnvileged if the document would Fonted de ALI shaU issue a subpoena obrwise be privileged only that for the deponent which may require the the hearing unless otherwin allowed by peruon contaming exculpatory deponent to produce docusents.De
& e $ for cape down. Such infortr.ation must be decloud.
nbpuna shsU specify the time and nquest da spedy an documenu 2 P ace at which the deposition w1D be be produced and shall 6esignate the l
(c)h ootice unt to the Attorney Cet ers) from the reviewmg omcial as beli Mmuns and doenbe h addrus and lom bred we ancient desenbed m i 13.5 is not dacoverable (2)N prty peking to depose shall under any circumstances.
aru se nbpune in the manner parucularity 2 pumn sud Mmnen a befound.
(d) N defendant mey fue a motaan to
]3)n" deJnen may Kle Me se (d)h embpoena shad specify the 8C compel disclonre of the documents time and p.sce at which the witne.s le to subject to the provisioris of this secuen.
I*"
Euch a motion may ordy be fued w.'th umf P
appear and any documents the witnese the AL] followig the fihr.3 of an answer days o fv6 h to prodeos.
N ro,v)ide for the takmg of a verbatimpeking to depose tha;;
(e)& party peking the subpoena r
P"#"*"' I 3 3 3 p
shall serve it in the manner pmocribed g
g i 13J1 theevery U transcnpt of the deposit 6on.whichit in 113A A enbpoena se a party er upon E
(a)h fo!!cwing types of dacovery f shall make a vailable to all other parties E ** 858'5d**3 **d*"h' ***tr*3 *'
- are euthonsed:
E for inspection and repytag.
3 party may be served by Stet class mall.
(1) Requests for production of (O Ead pany sW beat na om costs (O A pany or &e le&vidual to whom documents for inspecuen and copymg.
- M'8""Y-O'" N#*I' M 88FN'"O (2) Requesta for admissions of the
&eALIase e t quash et eubpwns i1322 EscAs authenticity of any r:1rsant document e etammeets, eneYe'of wttnew meta, hin days a se ce se or eese.
of the truth cf ariy relevant fact (a) At lesat in deye before the bearing subpoena for compliance ifit le less (3)Wntieninterrogatones and or at such other times as may be cedered
&an ten days shar serenos I4l O'benhone.
by the A4 the parties shall exchange (b)For the purpose of this section and Il 1322 and 1322. the term witness bsts. copies of pnor statementa
$ $3J4 protese5e sener.
of preposed witnesus, and ccmles of documents" includes mformauen.
(e) A party or a prospective witnew or doeurnents. reports. a nswere. records.
propoud beanns nhibits. including deponent may Me a modon lor a copin of any wetten etstements that protective order Mth roepect to accounts. papers, and other deta and the party iritends to offer in lies of itvo documentary endence. Nothing disocrvery sought h an opposing pony testimony in accorcence with i 183@)-
conteined herem sha!! be interpreted to At the tims the above documenta ar*
er with respect to the hearmg. soaking to limit the eva!! ability or daciosure of require the creeuon of a document.
exchanged any pany that intende to evidenes.
)
(c)Unless mutually egreed to by the rely on the transcript of deposities parties, &scovery is evesieble only as testimony in lieu of Uve testimoey at the (b)ln inabg e prometive wder, b ordered by the AL] h ALIshan bearms. if permitted by the A14 shall W **I ad' ""I wder wMd ngu'sto the nmirs of discovery.
provide esci party with a copy of the (g*,**f "nba Idlhfobons for escovery.
epecific psges of the trarmertpt 18 totands n emen (1) A party seekm3 d.scovery mey Ne to introduce les evidence, oppression. or endue burden or expense
- ggy,,,,,,,,g g g a neuen with the A4 Such a motion (b)If a party objects.b A14 sha!!act i
shallbe secomprued by a cery of the edmit into evidence the testimony of pat ne discovery not be had requested escovery. or in the case of any witness when ume does not ht b discovery may be had deportions e summary of the scope of appear on the witness het or any ashibit l on specified terms and condluona.
the proposed depositici..
not prended to the opposing party as uding a designance of b time or (2) Withm ten days of wmca. e pany provided above unlen the A!J Sade piacc:
may fue an oypostoon to 6 anonen good essee for the failure or that abwe (t)ht the dacovery may be had and/or a mot on for protective artier as in no pretv&ce to the ob}ectmg party.
erh through a method of &acovery paonded m i 1324 (c) Urdess another party ob> cts o$er than that regoested j
13]h ALImay g*snt a motaon for within the time set by b hLI.
(4) ht censin mattere not be decovery ordyif he or she finds that the documents exchanged in accordma ined into, ce that the ocup of dacovery sough 6 w+& paragraph (a) of this sectice shau
. &acovery be hmited to certain matters:
T3-7 Septerntw 341991
i e
s-13.24(b) 13.3Ma)
PART 13 e PROGRAM FRAUD CIVIL REMEDES i
(1)hst discovery be conducted with (c)Proofofservice. A cenificate of (c). (dk and (e) of this section. shall l
rio one presens eacept persons the individual serym; the document by rsesonsbly relate to b seventy and designated by the AL).
personal del very or Dy mall. settm3 natwo of the failcre ce misconduct.
i (tl Nt the contents of discovery or fonh the manner of wrvice. shall be (c) When a pany falls to comply with evider.ce by sesied.
p oof of serv co.
an order. includMg an order for taking a (7) nst a deposition after being saaled be oper.ed only by ceder of the it m Co m tenen edama, deposition. the productaos of evidence AL).
(e)In computing any peNod of time within the party's corttrol se a request (s)h1 e trede ucret or other ander this pan or in an order issued for admissioe.b ALimay -
(1) Draw an inference in forse of the confidential re search. development.
thereunder. the time begins with the day commercialinformst on.or facts following the aet. event. or defauit. and requesting pany with regard to the pertaining to any cnminal investigation, includes the la et day of b persed, informsuom sought proceedmg or other admmistrouve unless it is a Esturday. Sunday. oe lesal gg) g, g gen g,,,,,,i, g, invest:sstion not te disclosed or be holiday observed by the Federal admission. derm asch astier of which disclosed only in a designated wey or government. in wh>ch event it includes as admisska is aqueswd w be adanwd-(9) That the parties simultaneously file the namt business day.
specif.ed documents or information (b) When the persod of time allowed is (3) Prohibit the party is!!ing to comply enclosed in waled envelopes to be less than seven days. intermedists with even order from introdsbg opened as direcied by & ALg.
Es turds yo. Sundays. sad legal ho!!ders Mdmoncenkg. et obrwin I
observed by the Federalgovernment nlymg upon usumony rehung a b shall be escluded from the computsuon.
hformsuon @ and De party requesimg a eubpoene shall (c) Where e document has beun Strb any pan of he pleadhgs or psy the cost of the fees and milesse of terved or inued b placing it in the 06# tubmfHW o epany W 2 any witnen subpoensed in the amountP mail. an additionaffire days will be comply wie such mgent.
that would be ps)able to a witness m a edded to the tm.s permitted for any (d)lf a party is11e to prosecarts or proceedmg m Uruled States Disinct de an scuoe under his pan j
response.
Court A check for witness fees and commnced by semice of a notice of mileage shall accompariy the subpoens i tu h headag. the A4 may dissales es acum 3 when served.eacen thet when a E (a) Any application to the ALIfor an
,r or cay issue an initial decision insposing 33 subpoens is issues en behalf of the 4 order or rulms sha!! be by motion.
E penslues and assenmaats.
f autFonty,a chech fra witnes fees and E Motions shallstste the relief sought, the E (e)N AQmay refuse to seasider 2 milease need not accompany the 3 authonty relied sport and the fsets g any motion. request, responsa. bnef or
- enbprena, a!!eged. and shell be filed wtth the AU other document which is not Aled la a I12 Farm meig one somos se sis ***
and served on all cht parties.
timely faabios.
(a) Form-(b) Except for motions made during a (1) Docenents fDed with the AM shall prehesnng conference or at the haanag.
g g g,,,,,,
,,,,,,g, s!! mouons shall be in writing.& AM (s)N ALIshan conduct a bearing on include an ongmal and two copies.
may requW that oral motions be the record in order to determine whether (2) Etsry pieadme and psper filed in reduced to wntmg.
the defendant is ilsble for a civil penalty the proceeding s'.sti e 'em a caption (c) Within 15 days after a wntten or assessment ander l 13J and,ir so.
witmg forth the title of.h action. the motion is served, of such other time as the approprists amount of any such civil csu number aistgned'ey t. e AM and a may be fixed by the ALI. ar.y party ar.sy per.alty or assessment considenna any designs tion of te pefer (e 3.. motaen to Ele a response to such mouca.
aggtsysting or altgeting factsca.
quash subpoerd (3)Esery piesdmg and paper sha!! be (d)ne AL} may not grant a wrinan (b)ne authortty shall prove signed by. and shall contam the address motion before the time for Almg defendant's liability sad any and telephone eiumber of the pany or r; uses thereto has empired.except aggravating factors by a preponderance the person on whose behalf W paper sent of:he perties or foHowsag of he evidence t
4 s.
- the monoe. but may (cine defendant dab prove any was filed. or his or her nyreunistve.
(4) papers are considered filed when
- c. v g neny such motion without affirmative 6efenset and any mutigetmg awatt y e.esponse.
factore by a preponderance of b they are mailed Date of mellms may be estsblished by a ceruficate from the 4)ne A4 shall make a ressonable evidemos.
party or its wpresentatwo or by proof effen to dispose of all outstanding (d)m bearing shaU be spes to the
- that h document was sent by certified monons pnor to h ber.nning of the pubhc unless otherertse ordered by the haanag.
AM for good cause shows.
or registered ma11.
(b)Servsce. A party filing a document g 13.73 Senseens.
ItL31 Detwmeeg me amoise et
, senh the A4 shan at the ume of films.
(s)ne A4 may sanction a person.
pensraeo sne saseeemoms.
- serve a copy r f such document on every includmg any party or representative (alin determining an sprroprnets other peny. Service upon any party of
' for-amount of civil penalties and any document ohr than those required (1) Failmg to comply with an order, assessments. the AM and the esthonry to be served as presenbed to I 134 shall rule. or procedure governmg the head. epon appeal abould evaluate any be made by delwenna a copy or by proceedmg:
circumstances that mitigs's or aggravate placmg a copy of the document m the (2) Fallmg to prosecute or defend as the molation and should artiradate in United Stales mail. poetsgo p*speid sLnd action; or their opinions the reasona that support addressed. la the party's last known (3) Engsging in other misconduct that the penalties and assessrsents they address. When a party to represented by interferes wnh the speedy, orderty, or impose. Because of the intangNe costs I a reprewritatne. service shall be made fair conduct of the beenna of f'sud.the sapense of trivestigstmg wpon such representatwo an lieu of the (b) Any such sanctiort including but e ach conduct. and the need to deter
! a.ctual party.
not timtW 7 h 4ted in paragraphs others who might be similarly tempted.
Septe rnber El,1991 N
13.31(a)
W)
PART T3 e PROGRAM FRAUD CIVIL REMEDIES
- ordmerily double damsgo and a (15)ne need to deter the defendant easmination shall be conducted in the significant civil penalty should be and others from er.geging in the same or manner of direct examination and may 1 imposed.
similar misconduct.
proceed by lesdmg questions only if the
{ Ib) Although not enheustive the (c) Nothing in this section shall be witnese is a hostee witness, an adrerne followmg factom are among thou that construed to hmit the A14 or the party, or a witness 6dentified erith an
. anay mfh.ence the AL) and the authortty authority head from considering any adverse party.
' head m determmma the amount of other factors that in any given case may (f) Upon motion of any party. the ALI penshies and essessments to impose mitigste or aggravate the offense for shau order witnesses enduded so that with respect to the miscondst (Ls.. the which penalues and anessments sa they cannot hear the tutimony of oder l'stse, fiet tious or fra udulent c! alms or imposed.
witnesses. This rule does not authonse
- statements) charged in the cornplaint:
esdueloo of-(1) ne eumber of false. fictitious. or I "
(1) A party who is an indivsdush fra udulent c!sims or statements:
(elne harmg m['stnet of es (g)ln b case of a party that in mot an be hew (2)ne time pened our which euch (1118*nybd8 ciel
' claims or ststements were made United States in which the defendant tbdiveal, an officer or employee of the party appearing for h enuty pro se ce (3)The degree of the defendant's
'g "p"d I
of N designated by the pam's npmsentaun:
P NePect to ee United States in whict, h claim se (3) An indMdual whose presemos le (4) ne amogni of money or N esloe o$er face n
ma be shown by a peg to be menh ee of h proprty. Semcas. or benefit faluly claimed.
agreed upon by the defendant and the pmentanen of su can,includmg an tndMdual employed by the Government (1)The value of the Governmerit's q'] Each prty sha!! han b ergsged in assisting the nprenstauve b
actualloss ea e tesuh of the misconduct.
epportunity to present argu r.ent with I** O' O'"'""""*
a including foresusble connquential darnages and the costs ofinvestigstan:
rup,ct to the location of the hearing.
Itua gessemos.
(c) ne heanns shall be held at h (elne rvistionship of the amount p!sce and at the time ordered by the g,).Ik q shau deurmh h Irrposed as etvil pensities to the amount BA14 admissibuity of evidenm.
of the Government a lon; t;
N Eaupt u W in eis part, b is.za wimese a.
A14 shaU not be bound by the Federal efense.
(s) Escapt as provided in paragraph E mules of Evidence.Howem.the A14 th con e n na t one pubhc health or ufety o pubhc
[b) of this section, testimony at the H may apply the FedmlRu eo
' confidence in the management of beenna shaU be given orally by Evidence where appropnate, as, to clad r per e71 ri the mp
) t ed tson of ALI i
n e intended beneficianes of such progran,-
testimony may be admitted in the forms and Isematerial evidence (8) Whether the defendant has of a written ststement or deposition.
(d) Although relevant, evidence may
? engagedin a pattern of the same or Any such wntien statement must be be escluded ifits probative value to
' elmder misconduct provided to an other panies along with substantisp outwe6ghed by the danger y
(8) Whether the defendent attempted h last Wwn addmn M sd witnen.
6MNhMNN
. to concas! the misconduct.
in a mariner which allows sufficient t.ime issues, ce by considerations of undue (10)ne deg ee to which the
, for other partses to subpoena auch delay or needless prewntation of defendaat hae involved others en the
. witans for cron4maminatson at es cumh h masconduct or in conceshng it.
I beanna Pnor written statements of (e) Although relevant, evidence may (11] Where the maconduct of wnnesus proposed to testify at the be excluded if it is prtvalered under
, hetnr:
employees or agente is impowd to the I
and deposition transatpte shall Federallaw.
. defendent. the entent to whics the 1 be sac anged as provided in 111.22(s).
(f) Evidence concerning offers of
! co(ntrol over the mode and ordee ofc)Th W shu eurm nos comprein or seement shaU be defeodant a practics, fostemd or e
tr.sdmissible la the extent prov*d in atternpted to preclude such misconduct
' nterrogating witnesees and presentmg Rule aos of the Federsl Rules of i
(12) Whether the defenAnt i evWace so as sw Ev e nce.
coc'pusad in or obetrucw an investigation of the muscenduct l pru(1) Make the interrogstnam and (g)The A1J ehaD permit the parties to entanon ef!ective Ice the tetroduce rebuttal witnesses and (13) Whether the defendent enieted i ascertaintnent of the truth; ev e nes.
tn identifyms and prosecuting other wrongdo m (2) Avoid needless consumptnam of (b) AD docusnents and other evidence time; and offered or taken for the record shall be (14) The complezJty of the program or (3) Protect witnesses froen harassment open to examinattoe by all partees, transaction. and the degree of the ce undue embarrassment.
an!ns phrwise ordered by the AL]
defendent a sophistication with respect (d) The ALI shell permit the parties to pursuant to i 11J4.
to (L includmg the entent of the conduct such cross-eumination as may defendant's pnot partictpation in the be required for a full and true daciosure I'128 D*"**
progra n er m simdar trenssetions of the facts.
(a) ne hesnng will kn recceded and (13) Whether the defendant has been (e) At the dist:retion of the A14 a transcrbd Tr racripts may be found. in any enmmal civil, or
' wtmess may be cross.ememined on obtsmed lo!!owing the heanns frtwo the administrattve proceedmg to have
, matters relevant to the procndmg A14 at a cost not to escred the scrual
' engtged in simdar miscoeduct or to wuhout regard to the scope of his ce her cost of duphcation.
have duh dishonntir with the direct esamination. To the estent (b)ne transcript of test 2 mony, Government of the United States or of a permitted by the AL). cross.esamtrafvm exhibits and other evidence admitad at State. daectly or indirectly; and on metiers outside the scope of direct the hesnng and all pepers and requests C*
Septernber M 991
.f 13 W b) 13 4 PART 13 o PGOGRAM FRAUD CIVIL REMEDIES filed m the proceedm; conststute the decision within 20 days of receipt of the l record of the proceed 2ng to the authonry record for h decia% by the AQ and Wtial decision. !f service was made by head.
h authwity bead.
mai!. nceipt will be presumed to be lho (d) A not6ce of appeal sheD be (c) Th. record me) be tospected and days from rt e date of malhas la the accompanied by a wntten bne!
cop >ed (upon payment of a renonable absence of contrary proof.
specifying etteptions to the initial feel by anyone, unless otherwtse (b) Every such motion must set forth decfslon and ressons supportmg the ordered by the AQ pursuant to i 13R the matters claimed to have been exceptions.
I12 m aarme m erroneously decided and the asture of (ej ne repruentattee for the h alleged errors. Each monon shall be Conrnment may fue a betefin N Ay may require the parties to file post-beanns bnels in any event. anY accompanied by a supporting brief.
opposition to exceptions within 30 days party sney file a post-beantig bnel.he (c) Responses to such anotions shall be of receiving the notice of appeal sad AM shall fin the time for films such stowed only wpon request of the AQ.
eccompanymg brief.
bne's. not to I aceed to days frorn the (d) No party may Ne a motion fee (f)Wre is no right le appear date the parties receive the transcnpt of reconsiderauon of an wtialdecision personaUy before the authority head.
the heanna or.if apphcable. the 61 hu been revised in response to a W bre h WI to appal any
. stipulaled record. Euch bneIs mey be previous motion for reconsideration.
laterloevtory ruling by the AQ.
secomperned by proposed findmgs of (e)The AQ may dispou of a motion (h)ln reviewing the initial decialon.
fact and conclusions ofisw.The AQ for reconsidersuon by denytag it et by the enthoHty head shau not consider l er.sy permit the parties to fue reply 1ssving a revised initial dectsloa.
any objection that wee not raised before l bnefs.
(f)If the AQ denies a motion for the AQ unites a demonstratico is made reconsiderstion, the tattial decision shad of entreordinary circumstances cousing j g is.gr su es s.g const tute the finaldecision of the the fausre to raise the obloction.
I le)N AM shallissue an initial authonty head and shall be final and (I) ff any party demonstrates to the 1 dec:sion be sed erly on the record.
bindmg on the parties 30 days aher the satisfaction of the authority bead that
' which she!! contam findings of fact.
AQ denies the motion. unless the tattial additional evidence not presented at h conclusions of law. and the amount of decision is timely appealed to the each bearing la material and that there any penalties and asussments im sed. 3 outhonty head in accordance with 5 were reasonable grounds for the Isuure D
b)The findm s of fact shsh inc de a D I 13 38-II lo passent such evidence at such 1
E m(der on each of the followig issues:
f E 1 11f the AQ !ssues a revised initial E hearig. the authority head shaU romand j
R 11) Whether the claims or statements R decision. that decision shall constitute 3 the artter to the AQ for consideretion 6denufied en the comp!amt. or any l the East decision of the authority band of such additional endence
' pomons thereof. violate i 13 3. and I and shall be final and bindmg on the (J) N authority head may affirm.
4 (2)1f the person to hable for penalties e parters 30 days afterit is issued unless reduca, reverse. compreenise, remand. or j head in accordance with 113 38lt is timely appealed to the authorey settle any penalty or saaeemment.
or sesessments. the appropnate amount of any such penalties or asussments determined by the AM in any lattial considenng any mitagetmg or
' g gy, g,3 g, q g,,g, I decialeeL eggravatmg factors that he or she fada (k)N authority bead shan promptly in the case. such as those desenbed in I (e) Any defendant who has flied a i
g ggg timely an:wer and who is determined in ! serve asch party 2 h appeal with a lel The AQ shall promptly serve the an mitial decision to be liable for a civil l copy of h decWoe of b authority bend and a statement describing the initial decision on all parties withm 90 penalty or asussment may spPeel such days afier the tame for submission of d'Cion to 6 authonty head by films a ; rnght of any person determined to be posi.heanns bnefs and reply bnefs lif netace of appeal with the authority head lasble fw a penalty or aseenment to a
permitted) has espired.The AQ shall at in accwdence wt3 this section.
seek Wal rewew.
the same time serve all parties with e (b)(1) A notice of appealmay be !!Ied
(!) Unless a petithee for totiew is hied statement duenbing the nght of any at any time within 30 days after the AQ as prodded to 31 UE. 3006 sh defendant determmed to tie hab:e for a tesues en mttial decision. However,if defendant has exhausted all carti penalty or asseesment to file a ancon pany fues a motion is administrative remedios under thu sert motion for reconsideration with the A4 reconsidestion under i 13.34.
and within 90 days aber the data on or a notice of appeal with the authonty consideration of the appealshau be which the authertty head serves the besd. If the AQ fails to sneet the stayed avtomaticahy peridmg resolutico defendant with a oppy of the authortty deadlme contemed m this paragraph. he of me moten in mconsideram head's decision, a detenntnation that a or shs shallnotify the panies of the (2)If a motion for reconsideratico is defendant is hable under i 13.3 sa fmal reason for the delay and shall set a ne=
timely filed. e notice of appeal may be and is not sob)ect is )wdicial renew.
de edtme FUed within 30 days after the AQ drnies I TLa0 9trye arsered try me Department idl Unies: the lattial decision of the the motion or issues a revised initial susseen.
AQ is timely appealed to the authonty decision whichever opplies.
If at ariy time the Attorney General or head or a motion for reconsideretion of 13)The authonty hs ad may entend the, an Assistant Attorney General the mitial decision to timely filed the 12"'al 30 day penod fw sn additional 30 designated by b Attornty General initial decision shall constitute the final days tf the defendant files with the transmits to the authority bead a written decision of the authonty head and shall sumoney head a request for en f
I mdmg that continuation of the be fmal and bindmg on the parties 30 eatensen ethin the wtial May dys after it ts issued by the AQ.
Penod and shows good cause.
g administrative process described in this par *i with respect to a clats or statement (c)If the defendant hits a tamely i 13Je s4cowomroom e< aesi seemsen nota:e of appeel with the authority head i may adversely affect any pendmg or potential criminal or envil actice rotated is) Encept as prended in paragraph and the time for fdmg motions for to such clsun or statement. b authenty Idl of this section. any pany may file a reconsiderstion under i 13.33 has
' besd shall siey the process immediately.
anchon for recemsiderstaon of the arutaal expired the AQ shall forward tbs The authonty head may order the Septsmt>er 3419F1 13 10
a l
13A0 1347(c) l PART 13 e PROGRAM FRAUD CIVIL REMEDIES process resumed only upon receipt of pendarcy of any action to collect the wrttten authornatson of the Attemey penalties and essessmenta under Ceneral g is.gg.
j
$tL41 Star pomeng es, eel (d)De Attomey Generalhas
[e) An initial decision is stared
- * *i"' * * " " th "'I '* '#*E' "l**
l
- E*"
estomatically pendm3 disposition of a unotion for recons 6deration or of an pendency of any review under I 1M2 ee
)
appeal to the authenty head.
o any scuon to ncour penah 4ad (b) No sdministrative sta ts eva!!able a sussmente under *1 UAC.aeos, following a Anal decistoo ofthe te)De bnsussung oEncomey
""th N ' d' recommend settlement terms to the reviewing ofDeist the authority be6d. er i tL42 Junkw revese.
the Attomey Generst as appropstata.
Section 3a05 of title 31.Un!ted Statu $ D8 f"'lewing official sney rmamond Code authernes Jud6cialrevlew by an 4 settlement terms to the authority beed, appropriate United States District Court E ce the Attomey Cerieral as appropriate.
(f) Any compromise or settlement of a Ensidecision of the authority head g imposing penalties or essessments snust be in writing.
ander this part and specahes the g gg,gy m E
"" ' I"' '"O ""' "'
(s) ne notice of hearing wfth roepect I 114 Coneeson ad crve penemme arW to a c! alm or statement must be eseved anaeseme%L in the marirmpecified to I13J withia sections 3406 and $436(b) of tttle y1.
9 yeart afts the date on which such UrJted $tsles Code. authonse actions ejsim or statement it made.
for collection of c$nt penalties and (b)lf the defendent falls to serve e asussments imposed under this part timely enswar. service of a notice under j and specfy the procedures for such 11310(b) shall be deemed a nouce of actions.
beanns for purposes of this sectAon.
(c) ne statute oflimitations sney be i ned m te newetratta enset i
extended by ag*sement of the parthes.
j ne amount of any penalty or l assessment which has become Gnal or for which e judgment has been entered t* der 113 42 or i 13 43. or any amount g o ed upon in a compromise or a / Pnent under i 13 46. moy be co!!ec id by admmistrative offut under 3 31 US C. 3?Ill emerpt that en g administrative offsei may not be made
- under this subsection against a nfund of an ove peyinent of Federaltanes then
- or later owing by the Uruted States to l the defendant.
1 1 I ta 45 Depoem en Yrssawy ed uresos sesee.
I All amounts collected purwent to th.s part shall be deposited as miscellaneous a
j receipts in the Tressury of the United States. except as provided m 31 US C-ame(s).
l I tLee Cecoromese er seenemern.
(a) Parties may make offers of I
colnpromise or settlement at ar'y ame.
l es(clustre author:ty to compromise or b)De reviewmg of6cial has the i settle a case under this ps t et any tame g after the date on which the reviewma
'i officialis permitted to issue e complaint and before the date on which the All lasues en trutial decmon.
(c) De authority heed has exclustve authertty to c.ornpromise or eettle e case ander this part at any time after the date on which the AL) suues en mitial decision. except d. inns the pendency of ary revnew under l 13 C or dunng the 13 11 Septsmber 3C,1991
~
o
,4 CERTIFIED AND REGISTERED MAIL Mr. Lloyd P. Zerr 718 13th Street, N.E.
Washington, D.C.
20002
Dear Mr. Zerr:
Pursuant to 10 C.F.R.
13.7 and 31 U.S.C. 3802, I hereby serve notice upon you of my intention to refer the enclosed complaint, alleging violations of the Program Fraud Civil Remedies Act, to the Administrative Law Judge for the United States Nuclear Regulatory Commission, not less than 30 days from your receipt of this complaint.
As is explained in the complaint and the regulations attached thereto, you may request a hearing within that thirty-day period.
Failure to do so will result in your possible waiver of that right.
Should you wish to discuss this matter, please contact John Szabo of my office at 301-504-1610.
Yours truly, Martin G. Malsch NRC Reviewing Official and Deputy General Counsel for Licensing and Regulation Office of the General Counsel
Enclosure:
As stated A
OGC B[
OGk OGCk,.h.k 0FC JFikbrald MMaNeb
~
1;AME JSzabo OATE 11/10/92 11/lb/92 13/ )J92 7./FICIAL RECORD COPY DOCUMENT NAME; G ; \\ ETHICS \\ E.CoM j
.