[Code of Federal Regulations]

[Title 45, Volume 3]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR672.12]



[Page 237-238]

 

                        TITLE 45--PUBLIC WELFARE

 

                 CHAPTER VI--NATIONAL SCIENCE FOUNDATION

 

PART 672_ENFORCEMENT AND HEARING PROCEDURES--Table of Contents

 

Sec. 672.12  Prehearing conference.



    (a) Purpose of prehearing conference. Unless a conference appears 

unnecessary, the Presiding Officer, at any time before the hearing 

begins, shall direct the parties and their counsel or other 

representatives to appear at a conference before him to consider:

    (1) The settlement of the case;

    (2) The simplification of issues and stipulation of facts not in 

dispute;

    (3) The necessity or desirability of amendments to pleadings;

    (4) The exchange of exhibits, documents, prepared testimony, and 

admissions or stipulations of fact which will avoid unnecessary proof;

    (5) The limitation of the number of expert or other witnesses;

    (6) Setting a time and place for the hearing; and

    (7) Any other matters which may expedite the proceeding.

    (b) Exchange of witness lists and documents. Unless otherwise 

ordered by the Presiding Officer, each party at the prehearing 

conference shall make available to all other parties (1) the names of 

the expert and other witnesses he intends to call, together with a brief 

narrative summary of their expected testimony, and (2) copies of all 

documents and exhibits which each party intends to introduce into 

evidence. Documents and exhibits shall be marked for identification as 

ordered by the Presiding Officer. The Presiding Officer may exclude from 

evidence any document or testimony not disclosed at the prehearing 

conference. If the Presiding Officer permits the submittal of new 

evidence, he will grant parties a reasonable opportunity to respond.

    (c) Record of the prehearing conference. No transcript of a 

prehearing conference relating to settlement shall be made. With respect 

to other prehearing conferences, no transcript of any prehearing 

conferences shall be made unless ordered by the Presiding Officer upon 

motion of a party or sua sponte. The Presiding Officer shall prepare and 

file for the record a written summary of the action taken at the 

conference. The summary shall incorporate any written stipulations or 

agreements of the parties and all rulings and appropriate orders 

containing directions to the parties.

    (d) Unavailability of a prehearing conference. If a prehearing 

conference is unnecessary or impracticable, the Presiding Officer, on 

motion or sua sponte, may conduct a telephonic conference or direct the 

parties to correspond with him to accomplish any of the objectives set 

forth in this section.

    (e) Other discovery. (1) Except as provided by paragraph (b) of this 

section, further discovery shall be permitted only upon determination by 

the Presiding Officer that (i) such discovery will not in any way 

unreasonably delay the proceeding; (ii) the information to be obtained 

is not otherwise obtainable; and (iii) such information has significant 

probative value.

    (2) The Presiding Officer shall order depositions upon oral 

questions only upon a showing of good cause and upon a finding that (i) 

the information sought cannot be obtained by alternative methods; or 

(ii) there is substantial reason to believe that relevant and probative 

evidence may otherwise not be preserved for presentation by a witness at 

the hearing.

    (3) Any party may request further discovery by motion. Such a motion 

shall set forth (i) the circumstances



[[Page 238]]



warranting the taking of the discovery; (ii) the nature of the 

information expected to be discovered; and (iii) the proposed time and 

place where it will be taken. If the Presiding Officer determines that 

the motion should be granted, he shall issue an order granting 

discovery, with any qualifying conditions and terms.

    (4) When the information sought to be obtained is within the control 

of one of the parties, failure to comply with an order issued pursuant 

to this paragraph may lead to (i) the inference that the information to 

be discovered would be adverse to the party from whom the information 

was sought; or (ii) the issuance of a default.