---
kind: "section"
citation: "13 C.F.R. § 142.21"
title: "13"
number: "142.21"
heading: "How will the hearing be conducted and who has the burden of proof?"
url: "https://uscodex.org/cfr/13/142.21"
---

# §142.21. How will the hearing be conducted and who has the burden of proof?

- (a) The ALJ conducts a hearing in order to determine whether a defendant is liable for a civil penalty, assessment, or both and, if so, the appropriate amount of the civil penalty and/or assessment. The hearing will be recorded and transcribed, and the transcript of testimony, exhibits admitted at the hearing, and all papers and requests filed in the proceeding constitute the record for a decision by the ALJ.
- (b) SBA must prove a defendant's liability and any aggravating factors by a preponderance of the evidence.
- (c) A defendant must prove any affirmative defenses and any mitigating factors by a preponderance of the evidence.
- (d) The hearing will be open to the public unless otherwise ordered by the ALJ for good cause shown.

## Notes

### Authority

Authority: 15 U.S.C. 634(b); 31 U.S.C. 3803(g)(2).

### Source

Source: 61 FR 2691, Jan. 29, 1996, unless otherwise noted.