---
kind: "section"
citation: "5 C.F.R. § 1201.43"
title: "5"
number: "1201.43"
heading: "Sanctions."
url: "https://uscodex.org/cfr/5/1201.43"
---

# §1201.43. Sanctions.


The judge may impose sanctions upon the parties as necessary to serve the ends of justice. This authority covers, but is not limited to, the circumstances set forth in paragraphs [(a)](#a), [(b)](#b), [(c)](#c), [(d)](#d), and [(e)](#e) of this section. Before imposing a sanction, the judge shall provide appropriate prior warning, allow a response to the actual or proposed sanction when feasible, and document the reasons for any resulting sanction in the record.

- (a) **Failure to comply with an order.** When a party fails to comply with an order, the judge may:
  - (1) Draw an inference in favor of the requesting party with regard to the information sought;
  - (2) Prohibit the party failing to comply with the order from introducing evidence concerning the information sought, or from otherwise relying upon testimony related to that information;
  - (3) Permit the requesting party to introduce secondary evidence concerning the information sought; and
  - (4) Eliminate from consideration any appropriate part of the pleadings or other submissions of the party that fails to comply with the order.
- (b) **Failure to prosecute or defend appeal.** If a party fails to prosecute or defend an appeal, the judge may dismiss the appeal with prejudice or rule in favor of the appellant.
- (c) **Failure to make timely filing.** The judge may refuse to consider any motion or other pleading that is not filed in a timely fashion in compliance with this subpart.
- (d) **Exclusion of a representative or other person.** A judge may exclude or limit the participation of a representative or other person in the case for contumacious conduct or conduct prejudicial to the administration of justice. When the judge excludes a party's representative, the judge will afford the party a reasonable time to obtain another representative before proceeding with the case.
- (e) **Cancellation, suspension, or termination of hearing.** A judge may cancel a scheduled hearing, or suspend or terminate a hearing in progress, for contumacious conduct or conduct prejudicial to the administration of justice on the part of the appellant or the appellant's representative. If the judge suspends a hearing, the parties must be given notice as to when the hearing will resume. If the judge cancels or terminates a hearing, the judge must set a reasonable time during which the record will be kept open for receipt of written submissions.

## Notes

### Amendments

[54 FR 53504, Dec. 29, 1989, as amended at 77 FR 62366, Oct. 12, 2012]

### Authority

Authority: 5 U.S.C. 1204, 1305, and 7701, and 38 U.S.C. 4331, unless otherwise noted.

### Source

Source: 54 FR 53504, Dec. 29, 1989, unless otherwise noted.

### Amendments

[54 FR 53504, Dec. 29, 1989, as amended at 77 FR 62366, Oct. 12, 2012]