100 STAT. 2008
PUBLIC LAW 99-509—OCT. 21, 1986
SEC. 9317. IMPROVEMENTS IN CIVIL MONETARY PENALTY AND EXCLUSION PROVISIONS. (a) COLLATERAL ESTOPPEL EFFECT OF PRIOR FEDERAL CRIMINAL
CONVICTIONS.—Section 1128A(c) of the Social Security Act (42 U.S.C. 1320a-7a(c)), as redesignated by section 9313(c), is amended by adding at the end the following new paragraph: "(3) In a proceeding under subsection (a) or (b) which— "(A) is against a person who has been convicted (whether upon a verdict after trial or upon a plea of guilty or nolo contendere) of a Federal crime charging fraud or false statements, and "(B) involves the same transaction as in the criminal action, the person is estopped from denying the essential elements of the criminal offense.". (b) AUTHORITY OF HEARING OFFICER TO SANCTION MISCONDUCT.—
Such section is further amended by adding at the end the following new paragraph: "(4) The official conducting a hearing under this section may sanction a person, including any party or attorney, for failing to comply with an order or procedure, failing to defend an action, or other misconduct as would interfere with the speedy, orderly, or fair conduct of the hearing. Such sanction shall reasonably relate to the severity and nature of the failure or misconduct. Such sanction may include— "(A) in the case of refusal to provide or permit discovery, drawing negative factual inferences or treating such refusal as an admission by deeming the matter, or certain facts, to be established, "(B) prohibiting a party from introducing certain evidence or otherwise supporting a particular claim or defense, "(C) striking pleadings, in whole or in part, 41 "(D) staying the proceedings, . ' "(E) dismissal of the action, "(F) entering a default judgment, Dui "(G) ordering the party or attorney to pay attorneys' fees and other costs caiised by the failure or misconduct, and "(H) refusing to consider any motion or other action which is not filed in a timely manner.". (c) CLARIFICATION OF EXCLUSION AUTHORITY FOR CERTAIN OFFEND-
Health care professionals. State and local governments.
ERS.—Section 1128 of such Act (42 U.S.C. 1320a-7) is amended by adding at the end the following new subsection: "(f) For purposes of subsection (a), a physician or other individual is considered to have been 'convicted' of a criminal offense— "(1) when a judgment of conviction has been entered against the physician or individual by a Federal, State, or local court, regardless of whether there is an appeal pending or whether the judgment of conviction or other record relating to criminal conduct has been expunged; ^' "(2) when there has been a finding of guilt against the physician or individual by a Federal, State, or local court; "(3) when a plea of guilty or nolo contendere by the physician or individual has been accepted by a Federal, State, or local
- 1 court; or
> "(4) when the physician or individual has entered into participation in a first offender or other program where judgment of conviction has been withheld.".
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