⌚ Administrative Simplification Subsection Of HIPAA: Four Components
If an alternative has multiple goals, they must all be examined and balanced against each other. Sathe, and M. It provides a comprehensive vocabulary and coding system of 70, terms for safety-related events and adverse drug reactions. The Attorney General is Administrative Simplification Subsection Of HIPAA: Four Components to invoke the aid of any court of the United States within the Administrative Simplification Subsection Of HIPAA: Four Components the investigation is carried on or of which the subpoenaed person is an inhabitant, or in which he Administrative Simplification Subsection Of HIPAA: Four Components on business or may compliance with the subpoena. He has worked on Administrative Simplification Subsection Of HIPAA: Four Components spon- sored research projects with government and industry, and Administrative Simplification Subsection Of HIPAA: Four Components also served as consultants to many organizations. Although ICPC is not widely used in the Frozen Tamales Analysis States, it is the primary classification system used by much of the international community for electronic documentation of clinical practice in primary care or for reporting to national governments Marshall, So the solution was to install full-length mirrors on elevator doors on each Administrative Simplification Subsection Of HIPAA: Four Components. Section d 2 C Administrative Simplification Subsection Of HIPAA: Four Components that the Secretary or the applicable delegated State must give the lessee a reasonable George Orwells View Of Capitalism Administrative Simplification Subsection Of HIPAA: Four Components time Racial And Cultural Identity Development Model Analysis a written request Administrative Simplification Subsection Of HIPAA: Four Components provide records prior to the issuance of any The Mother-Daughter Book Club Analysis.
What Will Be in My HIPAA Report? The 4 Main Components to a HIPAA Report
When problem ownership is not established, either someone is not doing his or her job or the problem at hand has yet to be identified as belonging to anyone. It is then important for someone to either volunteer to own it or assign it to someone. The design phase involves finding or developing and analyzing possible courses of action. These include understanding the problem and testing solutions for feasibility.
A model of the decision-making problem is constructed, tested, and validated. Let us first define a model. If the real problem is identified as perceived waiting time, it can make a big difference in the proposed solutions and their costs. For example, full-length mirrors probably cost a whole lot less than adding an elevator! Sources: Based on J. Baker and M. Science, 24, pp. Hesse and G. Woolsey MODELS A major characteristic of computerized decision support and many BI tools notably those of business analytics is the inclusion of at least one model. The basic idea is to perform the analysis on a model of reality rather than on the real system. A model is a simplified representation or abstraction of reality.
It is usually simplified because reality is too complex to describe exactly and because much of the complexity is actually irrel- evant in solving a specific problem. For a mathematical model, the variables are identified and their mu- tual relationships are established. Simplifications are made, whenever necessary, through assumptions. For example, a relationship between two variables may be assumed to be linear even though in reality there may be some nonlinear effects. A proper balance be- tween the level of model simplification and the representation of reality must be obtained because of the cost—benefit trade-off.
A simpler model leads to lower development costs, easier manipulation, and a faster solution but is less representative of the real problem and can produce inaccurate results. However, a simpler model generally requires fewer data, or the data are aggregated and easier to obtain. Choice is the critical act of decision making. The choice phase is the one in which the actual decision and the commitment to follow a certain course of action are made. The boundary between the design and choice phases is often unclear because certain activi- ties can be performed during both of them and because the decision maker can return frequently from choice activities to design activities e. The choice phase includes the search for, evaluation of, and recommendation of an appropriate solution to a model.
A solution to a model is a specific set of values for the decision variables in a selected alternative. Choices can be evaluated as to their viability and profitability. Each alternative must be evaluated. If an alternative has multiple goals, they must all be examined and balanced against each other. Sensitivity analysis is used to determine the robustness of any given alternative; slight changes in the parameters should ideally lead to slight or no changes in the alternative chosen. What-if analysis is used to explore major changes in the parameters. Goal seeking helps a manager determine values of the decision variables to meet a specific objective.
These topics are addressed in Chapter 8. And change must be managed. User expectations must be managed as part of change management. The definition of implementation is somewhat complicated because implementation is a long, involved process with vague boundaries. Simplistically, the implementation phase involves putting a recommended solution to work, not necessarily implementing a computer system. Many generic implementation issues, such as resistance to change, degree of support of top management, and user training, are important in dealing with information system—supported decision making. Indeed, many previous technology- related waves e.
Management of change is almost an entire discipline in itself, so we recognize its impor- tance and encourage readers to focus on it independently. Implementation also includes. The importance of project manage- ment goes far beyond analytics, so the last few years have witnessed a major growth in certification programs for project managers. See pmi. Implementation must also involve collecting and analyzing data to learn from the previous decisions and improve the next decision. This is especially true for any public policy decisions. We need to be sure that the data being used for problem identification is valid. Sometimes people find this out only after the implementation phase. The decision-making process, though conducted by people, can be improved with computer support, which is introduced next.
The early definitions of decision support system DSS identified it as a system intended to support managerial decision makers in semistructured and unstructured decision situ- ations. DSS was meant to be an adjunct to decision makers, extending their capabilities but not replacing their judgment. DSS was aimed at decisions that required judgment or at decisions that could not be completely supported by algorithms. Not specifically stated but implied in the early definitions was the notion that the system would be computer based, would operate interactively online, and preferably would have graphical output capabilities, now simplified via browsers and mobile devices. An early framework for computerized decision support includes several major con- cepts that are used in forthcoming sections and chapters of this book.
Gorry and Scott- Morton created and used this framework in the early s, and the framework then evolved into a new technology called DSS. Gorry and Scott-Morton proposed a framework that is a 3-by-3 matrix, as shown in Figure 1. The two dimensions are the degree of structuredness and the types of control. Structured processes are routine and typically repetitive problems for which standard solution methods exist. Unstructured processes are fuzzy, complex problems for which there are no cut-and-dried solution methods. An unstructured problem is one where the articulation of the problem or the solu- tion approach may be unstructured in itself.
In a structured problem, the procedures for obtaining the best or at least a good enough solution are known. Whether the problem involves finding an appropriate inventory level or choosing an optimal investment strat- egy, the objectives are clearly defined. Common objectives are cost minimization and profit maximization. Semistructured problems fall between structured and unstructured problems, hav- ing some structured elements and some unstructured elements. Keen and Scott-Morton mentioned trading bonds, setting marketing budgets for consumer products, and performing capital acquisition analysis as semistructured problems.
The initial pur- pose of this matrix was to suggest different types of computerized support to differ- ent cells in the matrix. Gorry and Scott-Morton suggested, for example, that for making semistructured decisions and unstructured decisions, conventional management information systems MIS and management science MS tools are insufficient. Human intellect and a different approach to computer technologies are necessary. They proposed the use of a supportive information system, which they called a DSS. Note that the more structured and operational control-oriented tasks such as those in cells 1, 2, and 4 of Figure 1. Operational and managerial control decisions are made in all functional areas, especially in finance and production i.
Evaluating credit Preparing budget Laying out plant Scheduling project Designing reward system Categorizing inventory. Building a new plant Planning mergers and acquisitions Planning new products Planning compensation Providing quality assurance Establishing human resources policies Planning inventory. Planning research and development Developing new technologies Planning social responsibility.
Managing finances Monitoring investment portfolio Locating warehouse Monitoring distribution systems. Structured problems, which are encountered repeatedly, have a high level of struc- ture, as their name suggests. It is therefore possible to abstract, analyze, and classify them into specific categories. For example, a make-or-buy decision is one category. Other examples of categories are capital budgeting, allocation of resources, distribution, pro- curement, planning, and inventory control decisions.
For each category of decision, an easy-to-apply prescribed model and solution approach have been developed, generally as quantitative formulas. Therefore, it is possible to use a scientific approach for automat- ing portions of managerial decision making. Solutions to many structured problems can be fully automated see Chapters 2 and It is usually necessary to develop customized solutions. However, such solutions may benefit from data and information generated from corporate or external data sources. Intuition and judgment may play a large role in these types of decisions, as may computerized com- munication and collaboration technologies, as well as cognitive computing Chapter 6 and deep learning Chapter 5.
Management science can provide models for the portion of a decision-making problem that is structured. For the unstructured portion, a DSS can improve the quality of the information on which the decision is based by providing, for example, not only a single solution, but also a range of alternative solutions along with their potential impacts. These capabilities help managers to better understand the nature of problems and, thus, to make better decisions.
It was aimed at decisions that required judgment or at decisions that could not be completely supported by al- gorithms. Not specifically stated but implied in the early definitions was the notion that the system would be computer based, would operate interactively online, and prefer- ably would have graphical output capabilities, now simplified via browsers and mobile devices. A DSS is typically built to support the solution of a certain problem or to evaluate an op- portunity.
Reporting plays a major role in BI; the user gener- ally must identify whether a particular situation warrants attention and then can apply analytical methods. Again, although models and data access generally through a data warehouse are included in BI, a DSS may have its own databases and is developed to solve a specific problem or set of problems and are therefore called DSS applications.
Formally, a DSS is an approach or methodology for supporting decision mak- ing. It uses an interactive, flexible, adaptable computer-based information system CBIS especially developed for supporting the solution to a specific unstructured management problem. In addition, a DSS includes models and is developed possibly by. It can support all phases of deci- sion making and may include a knowledge component. Finally, a DSS can be used by a single user or can be Web based for use by many people at several locations. The capabilities in Figure 1. Supports decision makers, mainly in semistructured and unstructured situations, by bringing together human judgment and computerized information.
Such problems cannot be solved or cannot be solved conveniently by other computerized systems or through use of standard quantitative methods or tools. Generally, these problems gain structure as the DSS is developed. Even some structured problems have been solved by DSS. Supports all managerial levels, ranging from top executives to line managers. Supports individuals as well as groups. Less-structured problems often require the. DSS supports virtual teams through collaborative Web tools. DSS has been developed to support individual and group work as well. The decisions may be made once, several times, or repeatedly.
Supports all phases of the decision-making process: intelligence, design, choice, and implementation. Supports a variety of decision-making processes and styles. Is flexible, so users can add, delete, combine, change, or rearrange basic elements. The decision maker should be reactive, able to confront changing conditions quickly, and able to adapt the DSS to meet these changes. It is also flexible in that it can be readily modified to solve other, similar problems. Is user-friendly, has strong graphical capabilities, and a natural language interactive human-machine interface can greatly increase the effectiveness of DSS.
Most new DSS applications use Web-based interfaces or mobile platform interfaces. Improves the effectiveness of decision making e. When DSS is deployed, decision making often takes longer, but the decisions are better. Provides complete control by the decision maker over all steps of the decision- making process in solving a problem. A DSS specifically aims to support, not to replace, the decision maker. Enables end users to develop and modify simple systems by themselves. Larger systems can be built with assistance from IS specialists. Spreadsheet packages have been utilized in developing simpler systems. Provides models that are generally utilized to analyze decision-making situations.
The modeling capability enables experimentation with different strategies under dif- ferent configurations. Provides access to a variety of data sources, formats, and types, including GIS, mul- timedia, and object-oriented data. Can be employed as a stand-alone tool used by an individual decision maker in one location or distributed throughout an organization and in several organiza- tions along the supply chain. These key DSS characteristics and capabilities allow decision makers to make bet- ter, more consistent decisions in a timely manner, and they are provided by major DSS components,.
A DSS application can be composed of a data management subsystem, a model manage- ment subsystem, a user interface subsystem, and a knowledge-based management sub- system. We show these in Figure 1. The data management subsystem includes a database that contains relevant data for the situation and is managed by software called the database management system DBMS. DBMS is used as both singular and plural system and systems terms, as are many other acronyms in this text.
The data management subsystem can be interconnected with the corporate data warehouse, a repository for corporate relevant decision-making data. Usually, the data are stored or accessed via a database Web server. The data management subsystem is composed of the following elements:. Many of the BI or descriptive analytics applications derive their strength from the data management side of the subsystems. Modeling languages for building cus- tom models are also included.
This software is often called a model base management system MBMS. This component can be connected to corporate or external storage of models. Model solution methods and management systems are implemented in Web de- velopment systems such as Java to run on application servers. The model management subsystem of a DSS is composed of the following elements:. Because DSS deals with semistructured or unstructured problems, it is often neces- sary to customize models, using programming tools and languages. Some examples of these are. OLAP software may also be used to work with models in data analysis. Even languages for simulations such as Arena and. For small- and medium-sized DSS or for less complex ones, a spreadsheet e.
We use Excel for several ex- amples in this book. Application Case 1. The user communicates with and commands the DSS through the user interface subsys- tem. The user is considered part of the system. Researchers assert that some of the unique contributions of DSS are derived from the intensive interaction between the computer and the decision maker. A difficult user interface is one of the major reasons that man- agers do not use computers and quantitative analyses as much as they could, given the availability of these technologies.
For locally used DSS, a spreadsheet also provides a familiar user interface. The Web browser has been recognized as an effective DSS GUI because it is flexible, user-friendly, and a gateway to almost all sources of necessary infor- mation and data. Essentially, Web browsers have led to the development of portals and dashboards, which front end many DSS. Explosive growth in portable devices, including smartphones and tablets, has changed the DSS user interfaces as well. These devices allow either handwritten input or.
Telecommunications network services to educational institutions and government entities are typically pro- vided by a mix of private and public organizations. Many states in the United States have one or more state agencies that are responsible for providing net- work services to schools, colleges, and other state agencies. One example of such an agency is OneNet in Oklahoma. Usually agencies such as OneNet operate as an enterprise-type fund. This cost recovery should occur through a pricing mechanism that is efficient, simple to implement, and equitable. This pricing model typically needs to recognize many factors: convergence of voice, data, and video traffic on the same infrastructure; diversity of user base in terms of educational institu- tions and state agencies; diversity of applications in use by state clients from e-mail to videoconferences, IP telephoning, and distance learning; recovery of current costs as well as planning for upgrades and.
These considerations led to the development of a spreadsheet-based model. In addition, the SNAP-DSS not only illustrates the influence of the changes in the pricing factors on each rate card option but also allows the user to analyze various rate card options in different scenarios using dif- ferent parameters. This model has been used by OneNet financial planners to gain insights into their customers and analyze many what-if scenarios of different rate plan options. Source: Based on J. Chongwatpol and R. Some DSS user interfaces utilize natural language input i. Cell phone inputs through short message service SMS or chatbots are becoming more common for at least some consumer DSS-type applications.
Such capabilities are most useful in locating nearby businesses, addresses, or phone numbers, but it can also be used for many other decision support tasks. Search activities noted in the previous paragraph are also largely accomplished now through apps provided by each search provider. Voice input for these devices and the new smart speakers such as Amazon Echo Alexa and Google Home is common and fairly accurate but not perfect. When voice input with accompanying speech-recognition software and readily available text-to- speech software is used, verbal instructions with accompanied actions and outputs can be invoked.
These are readily available for DSS and are incorporated into the portable devices described earlier. Many of the user interface developments are closely tied to the major new advances in their knowledge-based systems. The knowledge-based management subsystem can support any of the other subsystems or act as an independent component. Many artificial intelligence methods have been implemented in the current generation of learning systems and are easy to integrate into the other DSS com- ponents. This section has covered the history and progression of Decision Support Systems in brief. In the next section we discuss evolution of this support to business intelligence, analytics, and data science. What is the difference between a problem and its symptoms?
Why is it important to classify a problem? Define implementation. What are structured, unstructured, and semistructured decisions? Provide two exam-. Define operational control, managerial control, and strategic planning. Provide two examples of each. What are the nine cells of the decision framework? Explain what each is for. How can computers provide support for making structured decisions? How can computers provide support for making semistructured and unstructured. The timeline in Figure 1. During the s, the primary focus of information systems support for decision making focused on providing structured, periodic reports that a manager could use for decision making or ignore them. Businesses began to create routine reports to inform decision makers managers about what had happened in the previous period e.
Although it was useful to know what had happened in the past, managers needed more than this: They needed a variety of reports at different levels of granularity to better understand and address changing needs and challenges of the busi- ness. These were usually called management information systems MIS. Decision support systems couple the intellectual resources of individuals with the capabilities of the computer to improve the quality of decisions. It is a computer-based support system for management decision makers who deal with semistructured problems. Note that the term decision support system, like management information system and several other terms in the field of IT, is a content-free expression i.
Therefore, there is no universally accepted definition of DSS. During the early days of analytics, data were often obtained from the domain ex- perts using manual processes i. The idea was to do the best with limited resources. Such decision support models were typically called operations research OR. The problems that were too complex to solve optimally using linear or nonlinear mathematical programming techniques were tackled using heuristic methods such as simulation models. We will introduce these as prescriptive analytics later in this chapter. In the late s and early s, in addition to the mature OR models that were being used in many industries and government systems, a new and exciting line of mod- els had emerged: rule-based expert systems ESs.
The s saw a significant change in the way organizations captured business- related data. The old practice had been to have multiple disjointed information systems tailored to capture transactional data of different organizational units or functions e. In the s, these systems were integrated as enterprise-level information systems that we now commonly call en- terprise resource planning ERP systems. The old mostly sequential and nonstandardized data representation schemas were replaced by relational database management RDBM systems.
These systems made it possible to improve the capture and storage of data as well as the relationships between organizational data fields while significantly reducing the replication of information. The need for RDBM and ERP systems emerged when data integrity and consistency became an issue, significantly hindering the effectiveness of business practices.
With ERP, all the data from every corner of the enterprise is collected and integrated into a consistent schema so that every part of the organization has access to the single version of the truth when and where needed. In addition to the emergence of ERP systems, or perhaps because of these systems, business reporting became an on- demand, as-needed business practice. Decision makers could decide when they needed to or wanted to create specialized reports to investigate organizational problems and opportunities.
In the s, the need for more versatile reporting led to the development of execu- tive information systems EISs; DSS designed and developed specifically for executives and their decision-making needs. These systems were designed as graphical dashboards and scorecards so that they could serve as visually appealing displays while focusing on the most important factors for decision makers to keep track of the key performance in- dicators.
To make this highly versatile reporting possible while keeping the transactional integrity of the business information systems intact, it was necessary to create a middle data tier known as a DW as a repository to specifically support business reporting and decision making. In a very short time, most large- to medium-sized businesses adopted data warehousing as their platform for enterprise-wide decision making. The dashboards and scorecards got their data from a DW, and by doing so, they were not hindering the efficiency of the business transaction systems mostly referred to as ERP systems. As the amount of longitudinal data accumulated in the DWs increased, so did the capabilities of hardware. Because of the globalized competitive marketplace, decision makers needed current information in a very digestible format to address business problems and to take advantage of market opportunities in a timely manner.
Because the data in a DW are up- dated periodically, they do not reflect the latest information. To elevate this information latency problem, DW vendors developed a system to update the data more frequently, which led to the terms real-time data warehousing and, more realistically, right-time data warehousing, which differs from the former by adopting a data-refreshing policy based on the needed freshness of the data items i.
With the increasing volumes and varieties of data, the needs for more storage and more processing power emerged. Although large corporations had the means to tackle this problem, small- to medium-sized companies needed more financially manageable business models. This need led to service-oriented architecture and software and infrastructure-as-a-service ana- lytics business models. Smaller companies, therefore, gained access to analytics capabili- ties on an as-needed basis and paid only for what they used, as opposed to investing in financially prohibitive hardware and software resources. In the s, we are seeing yet another paradigm shift in the way that data are captured and used.
Largely because of the widespread use of the Internet, new data gen- eration mediums have emerged. Of all the new data sources e. These unstructured data are rich in information content, but analysis of such data sources poses significant challenges to computational systems from both software and hardware perspectives. Recently, the term Big Data has been coined to highlight the challenges that these new data streams have brought on us. Many advancements in both hardware e. The last few years and the upcoming decade are bringing massive growth in many exciting dimensions. For example, streaming analytics and the sensor technologies have enabled the IoT.
Artificial Intelligence is changing the shape of BI by enabling new ways of analyzing images through deep learning, not just traditional visualization of data. Deep learning and AI are also helping grow voice recognition and speech synthesis, leading to new interfaces in interacting with technologies. Almost half of U. Growth in video interfaces will eventually enable gesture-based interaction with systems. All of these are being enabled due to massive cloud- based data storage and amazingly fast processing capabilities.
And more is yet to come. It is hard to predict what the next decade will bring and what the new analytics-related terms will be. The time between new paradigm shifts in information systems and particularly in analytics has been shrinking, and this trend will continue for the foreseeable future. Even though analytics is not new, the explosion in its popularity is very new. Thanks to the recent explosion in Big Data, ways to collect and store these data and intuitive software tools, data- driven insights are more accessible to business professionals than ever before.
Therefore, in the midst of global competition, there is a huge opportunity to make better managerial decisions by using data and analytics to increase revenue while decreasing costs by building better products, improving customer experience, and catching fraud before it happens, im- proving customer engagement through targeting and customization, and developing entirely. More and more companies are now preparing their employees with the know-how of business analytics to drive effec- tiveness and efficiency in their day-to-day decision-making processes. The next section focuses on a framework for BI. Although most people would agree that BI has evolved into analytics and data science, many vendors and researchers still use that term.
So the next few paragraphs pay homage to that history by specifically focusing on what has been called BI. Following the next section, we introduce analytics and use that as the label for classifying all related concepts. The decision support concepts presented in Sections 1. As noted in Section 1. These systems, which were generally called EISs, then began to offer addi- tional visualization, alerts, and performance measurement capabilities. By , the major commercial products and services appeared under the term business intelligence BI. It is, like DSS, a content-free expression, so it means different things to different people. Part of the confu- sion about BI lies in the flurry of acronyms and buzzwords that are associated with it e.
By analyzing his- torical and current data, situations, and performances, decision makers get valuable insights that enable them to make more informed and better decisions. The process of BI is based on the transformation of data to information, then to decisions, and finally to actions. However, as the history in the previous section points out, the concept is much older; it has its roots in the MIS reporting systems of the s.
During that period, reporting sys- tems were static, were two dimensional, and had no analytical capabilities. In the early s, the concept of EISs emerged. This concept expanded the computerized support to top-level managers and executives. Some of the capabilities introduced were dynamic mul- tidimensional ad hoc or on-demand reporting, forecasting and prediction, trend analysis, drill-down to details, status access, and critical success factors. These features appeared in dozens of commercial products until the mids.
Then the same capabilities and some new ones appeared under the name BI. Today, a good BI-based enterprise information system contains all the information that executives need. By , BI systems started to include artificial intelligence ca- pabilities as well as powerful analytical capabilities. Figure 1. It illustrates the evolution of BI as well. The tools shown in Figure 1.
The most sophisticated BI products include most of these capabilities; others specialize in only some of them. A BI system has four major components: a DW, with its source data; business analytics, a collection of tools for manipulating, mining, and analyzing the data in the DW; BPM for monitoring and analyzing performance; and a user interface e. The re- lationship among these components is illustrated in Figure 1. Where did modern approaches to DW and BI come from? What are their roots, and how do those roots affect the way organizations are managing these initiatives today? The same is true of DW and the BI applications that make these initiatives possible. Source: Based on W. Organizations are being compelled to capture, understand, and harness their data to support decision making to improve business operations.
Legislation and regulation e. Moreover, business cycle times are now extremely compressed; faster, more informed, and better decision making is, therefore, a competitive impera- tive. Managers need the right information at the right time and in the right place. This is the mantra for modern approaches to BI. Organizations have to work smart. Paying careful attention to the management of BI initiatives is a necessary aspect of doing business. It is no surprise, then, that organiza- tions are increasingly championing BI and under its new incarnation as analytics. BI systems rely on a DW as the information source for creating insight and supporting managerial decisions. A multitude of organizational and external data is captured, trans- formed, and stored in a DW to support timely and accurate decisions through enriched business insight.
In simple terms, a DW is a pool of data produced to support decision making; it is also a repository of current and historical data of potential interest to man- agers throughout the organization. Data are usually structured to be available in a form ready for analytical processing activities i. Whereas a DW is a repository of data, data warehousing is literally the entire process. Data warehousing is a discipline that results in applications that provide decision support capability, allows ready access to business information, and creates business insight.
Whereas a DW combines databases across an en- tire enterprise, a DM is usually smaller and focuses on a particular subject or department. A DM is a subset of a data warehouse, typically consisting of a single subject area e. An operational data store ODS provides a fairly recent form of customer information file. This type of database is often used as an interim staging area for a DW. Unlike the static contents of a DW, the contents of an ODS are updated throughout the course of business operations.
An EDW is a large-scale data warehouse that is used across the enterprise for decision support. The large-scale nature of an EDW provides in- tegration of data from many sources into a standard format for effective BI and decision support applications. In Figure 1. Data from many different sources can be extracted, transformed, and loaded into a DW for further access and analytics for decision support.
To illustrate the major characteristics of BI, first we will show what BI is not—namely, transaction processing. We are all familiar with the information systems that support our transactions, like ATM withdrawals, bank deposits, and cash register scans at the grocery store. These transaction processing systems are constantly involved in handling updates to what we might call operational databases. These online transaction processing OLTP systems handle a. In contrast, a DW is typically a distinct system that provides storage for data that will be used for analysis.
Each request is considered to be a transaction, which is a computerized record of a discrete event, such as the receipt of inventory or a customer order. In other words, a transaction requires a set of two or more database updates that must be completed in an all-or-nothing fashion. The very design that makes an OLTP system efficient for transaction processing makes it inefficient for end-user ad hoc reports, queries, and analysis. To resolve these issues, the notions of DW and BI were created. DWs contain a wide variety of data that present a coherent picture of business con- ditions at a single point in time. The idea was to create a database infrastructure that was always online and contained all the information from the OLTP systems, including histori- cal data, but reorganized and structured in such a way that it was fast and efficient for querying, analysis, and decision support.
TUN includes videos similar to the television show CSI to illustrate concepts of analytics in different industries. Watch the video that appears on YouTube. Essentially, you have to assume the role of a customer service center professional. An incoming flight is run- ning late, and several passengers are likely to miss their connecting flights. There are seats on one outgoing flight that can accommodate two of the four passengers. Which two passengers should be given priority? Watch the video, pause it as appropriate, and answer the questions on which pas- sengers should be given priority. Then resume the video to get more information.
After the video is complete, you can see the slides related to this video and how the analy- sis was prepared on a slide set at www. This multimedia excursion provides an example of how additional available information through an enterprise DW can assist in decision making. It is interesting to note that some people believe that DSS is a part of BI—one of its analytical tools. Further, as noted in the next section onward, in many circles, BI has been subsumed by the new terms analytics or data science.
BI cannot simply be a technical exercise for the information systems department. It has to serve as a way to change the manner in which the company con- ducts business by improving its business processes and transforming decision- making processes to be more data driven. Many BI consultants and practitioners involved in suc- cessful BI initiatives advise that a framework for planning is a necessary precondition.
One framework, proposed by Gartner, Inc. At the busi- ness and organizational levels, strategic and operational objectives must be defined while considering the available organizational skills to achieve those objectives. Issues of orga- nizational culture surrounding BI initiatives and building enthusiasm for those initiatives and procedures for the intra-organizational sharing of BI best practices must be consid- ered by upper management—with plans in place to prepare the organization for change.
One of the first steps in that process is to assess the IS organization, the skill sets of the potential classes of users, and whether the culture is amenable to change. From this as- sessment, and assuming there are justification and the need to move ahead, a company can prepare a detailed action plan. Another critical issue for BI implementation success is the integration of several BI projects most enterprises use several BI projects among themselves and with the other IT systems in the organization and its business partners.
Gartner and many other analytics consulting organizations promoted the concept of a BI competence center that would serve the following functions:. Over the last 10 years, the idea of a BI competence center has been abandoned because many advanced technologies covered in this book have reduced the need for a central group to organize many of these functions.
For example, many data visualizations are easily accomplished by end users using the latest visualization pack- ages Chapter 3 will introduce some of these. As noted by Duncan , the BI team would now be more focused on producing curated data sets to enable self- service BI. Because analytics is now permeating across the whole organization, the BI competency center could evolve into an analytics community of excellence to promote best practices and ensure overall alignment of analytics initiatives with organizational strategy.
BI tools sometimes needed to be integrated among themselves, creating synergy. The need for integration pushed software vendors to continuously add capabilities to their products. Customers who buy an all-in-one software package deal with only one vendor and do not have to deal with system connectivity. This led to major chaos in the BI market space.
Many of the software tools that rode the BI wave e. This book covers many of these topics in significant detail by giving examples of how the technologies are evolving and being applied, and the managerial implications. List three of the terms that have been predecessors of analytics. Define BI. List and describe the major components of BI. Define OLTP. Define OLAP. List some other success factors of BI. The word analytics has largely replaced the previous individual components of comput- erized decision support technologies that have been available under various labels in the past. Indeed, many practitioners and academics now use the word analytics in place of BI.
Although many authors and consultants have defined it slightly differently, one can. Of course, many other organizations have proposed their own interpreta- tions and motivations for analytics. These reports essentially provide a sense of what is happening with an organization. Additional technolo- gies have enabled us to create more customized reports that can be generated on an ad hoc basis. The next extension of reporting takes us to OLAP-type queries that allow a user to dig deeper and determine specific sources of concern or opportunities. Technologies available today can also automatically issue alerts for a decision maker when performance warrants such alerts. At a consumer level, we see such alerts for weather or other issues. But similar alerts can also be generated in specific settings when sales fall above or below a certain level within a certain time period or when the inventory for a specific product is running low.
All of these applications are made possible through analysis and queries of data being collected by an organization. The next level of analysis might entail statistical analysis to better understand patterns. When an organization has a good view of what is happening and what is likely to happen, it can also employ other techniques to make the best decisions under the circumstances. This idea of looking at all the data to understand what is happening, what will happen, and how to make the best of it has also been encapsulated by INFORMS in pro- posing three levels of analytics.
These three levels are identified as descriptive, predictive, and prescriptive. It suggests that these three are somewhat independent steps and one type of analytics. It also suggests that there is actually some overlap across these three types of analytics. In either case, the interconnected nature of different types of analytics applications is evident. We next introduce these three levels of analytics. Descriptive or reporting analytics refers to knowing what is happening in the or- ganization and understanding some underlying trends and causes of such occurrences.
First, this involves the consolidation of data sources and availability of all relevant data in a form that enables appropriate reporting and analysis. Usually, the development of this data infrastructure is part of DWs. From this data infrastructure, we can develop ap- propriate reports, queries, alerts, and trends using various reporting tools and techniques. A significant technology that has become a key player in this area is visualization. Using the latest visualization tools in the marketplace, we can now develop powerful in- sights in the operations of our organization. Application Cases 1. Silvaris Corporation was founded in by a team of forest industry professionals to pro- vide technological advancement in the lumber and building material sector.
Silvaris is the first e- commerce platform in the United States spe- cifically for forest products and is headquartered in Seattle, Washington. It is a leading wholesale provider of industrial wood products and surplus building materials. Silvaris sells its products and provides interna- tional logistics services to more than 3, custom- ers. To manage various processes that are involved in a transaction, the company created a proprietary online trading platform to track information flow related to transactions between traders, accounting, credit, and logistics.
This allowed Silvaris to share its real-time information with its customers and partners. But due to the rapidly changing prices of materials, it became necessary for Silvaris to get a real-time view of data without moving them into a separate reporting format. Silvaris started using Tableau because of its abil- ity to connect with and visualize live data. With dash- boards created by Tableau that are easy to understand and explain, Silvaris started using it for reporting pur- poses. This helped Silvaris in pulling out informa- tion quickly from the data and identifying issues that impact its business. Silvaris succeeded in managing. Now, Silvaris keeps track of online orders placed by customers and knows when to send renew pushes to which customers to keep them purchasing online.
Also, analysts of Silvaris can save time by generating dashboards instead of writ- ing hundreds of pages of reports by using Tableau. Sources: Tableau. Many industries need to analyze data in real time. Real-time analysis enables the analysts to identify issues that impact their business. Visualization is sometimes the best way to begin analyzing the live data streams. Tableau is one such data visualization tool that has the capability to analyze live data with- out bringing live data into a separate reporting format. Predictive analytics aims to determine what is likely to happen in the future. This analysis is based on statistical techniques as well as other more recently developed techniques that fall under the general category of data mining.
A number of techniques are used in developing predictive analytical applications, including various classification algorithms. For example, as described in Chapters 4 and 5, we can use classification techniques such as logistic regression, de- cision tree models, and neural networks to predict how well a motion picture will do at the box office. We can also use clustering algorithms for segmenting customers into different clusters to be able to target specific promotions to them. Finally, we can use association mining techniques Chapters 4 and 5 to estimate relationships between different purchasing behaviors. That is, if a customer buys one product, what else is the customer likely to purchase?
Such analysis can assist a retailer in recommending or promoting related products. For example, any product search on Amazon. We will study these techniques and their applications in Chapters 3 through 6. Siemens is a German company headquartered in Berlin, Germany. It has an annual rev- enue of 76 billion euros. The visual analytics group of Siemens is tasked with end-to-end reporting solutions and consulting for all of Siemens internal BI needs. This group was fac- ing the challenge of providing reporting solutions to the entire Siemens organization across different depart- ments while maintaining a balance between gover- nance and self-service capabilities.
Siemens needed a platform that could analyze its multiple cases of cus- tomer satisfaction surveys, logistic processes, and finan- cial reporting. This platform should be easy to use for their employees so that they could use these data for analysis and decision making. In addition, the platform should be easily integrated with existing Siemens sys- tems and give employees a seamless user experience. It allowed Siemens to create highly interactive dash- boards that enabled it to detect issues early and thus save a significant amount of money. The dashboards developed by Dundas BI helped Siemens global. Many organizations want tools that can be used to analyze data from multiple divisions. These tools can help them improve performance and make data discovery transparent to their users so that they can identify issues within the business easily.
Sources: Dundas. Any athletic activity is prone to injuries. If the inju- ries are not handled properly, then the team suffers. Using analytics to understand injuries can help in deriving valuable insights that would enable coaches and team doctors to manage the team composition, understand player profiles, and ultimately aid in bet- ter decision making concerning which players might be available to play at any given time.
In an exploratory study, Oklahoma State University analyzed U. The project followed the Cross-Industry Standard Process for Data Mining CRISP-DM methodology to be described in Chapter 4 to understand the problem of making recommendations on managing injuries, understanding the various data elements collected about injuries, cleaning the data, developing visual- izations to draw various inferences, building predic- tive models to analyze the injury healing time period, and drawing sequence rules to predict the relation- ships among the injuries and the various body part parts afflicted with injuries.
Healing time was calculated for each record, which was classified into different sets of time periods: 0—1 month, 1—2 months, 2—4 months, 4—6 months, and 6—24 months. Some of the predictor variables were current status of injury, severity, body part, body site, type of injury, activity, event location, action taken, and position played. The success of classifying the healing category was quite good: Accuracy was For any analytics project, it is always important to understand the business domain and the cur- rent state of the business problem through exten- sive analysis of the only resource—historical data.
Visualizations often provide a great tool for gaining the initial insights into data, which can be further refined based on expert opinions to identify the rela- tive importance of the data elements related to the problem. Visualizations also aid in generating ideas for obscure problems, which can be pursued in building PMs that could help organizations in deci- sion making. The third category of analytics is termed prescriptive analytics. The goal of prescriptive analytics is to recognize what is going on as well as the likely forecast and make deci- sions to achieve the best performance possible.
This group of techniques has historically been studied under the umbrella of OR or management sciences and is generally aimed at. The goal here is to provide a decision or a recom- mendation for a specific action. The decisions may be presented to a deci- sion maker in a report or may be used directly in an automated decision rules system e. Thus, these types of analytics can also be termed decision or normative analytics.
We will learn about some aspects of prescriptive analytics in Chapter 8. It is almost fashionable to attach the word analytics to any specific industry or type of data. Besides the general category of text analytics—aimed at getting value out of text to be studied in Chapter 7 —or Web analytics—analyzing Web data streams also in. This application case is based on a project that involved one of the coauthors A company that does not wish to disclose its name or even its precise industry was facing a major problem of making decisions on which inventory of raw materials to use to satisfy which customers.
This company sup- plies custom configured steel bars to its customers. These bars may be cut into specific shapes or sizes and may have unique material and finishing require- ments. The company procures raw materials from around the world and stores them in its warehouse. When a prospective customer calls the company to request a quote for the specialty bars meeting spe- cific material requirements composition, origin of the metal, quality, shapes, sizes, etc.
It must make available-to-promise ATP decisions, which determine in real time the dates when the salesper- son can promise delivery of products that customers requested during the quotation stage. Previously, a salesperson had to make such decisions by analyz- ing reports on available inventory of raw materials. Thus, the inventory in stock might not really be inven- tory available. On the other hand, there may be raw material that is expected to be delivered in the near future that could also be used for satisfying the order. Finally, there might even be an opportunity to charge a premium for a new order by repurposing previously committed inventory to satisfy this new order while delaying an already committed order.
Of course, such deci- sions should be based on the cost—benefit analyses of delaying a previous order. The system should thus be able to pull real-time data about inventory, committed orders, incoming raw material, produc- tion constraints, and so on. To support these ATP decisions, a real-time DSS was developed to find an optimal assignment of the available inventory and to support additional what-if analysis. The DSS uses a suite of mixed- integer pro- gramming models that are solved using commercial software. The company has incorporated the DSS into its enterprise resource planning system to seam- lessly facilitate its use of business analytics. Why would reallocation of inventory from one customer to another be a major issue for discussion?
Source: M. Pajouh Foad, D. Xing, S. Hariharan, Y. Zhou, B. Balasundaram, T. Sharda, R. Examples of such areas are marketing analytics, retail analytics, fraud analytics, transportation analytics, health analytics, sports analytics, talent ana- lytics, behavioral analytics, and so forth. For example, we will soon see several appli- cations in sports analytics. The next section will introduce health analytics and market analytics broadly. Although this may result in overselling the concept of analytics, the benefit is that more people in specific industries are aware of the power and potential of analytics.
It also provides a focus to professionals developing and ap- plying the concepts of analytics in a vertical sector. Although many of the techniques to develop analytics applications may be common, there are unique issues within each vertical segment that influence how the data may be collected, processed, ana- lyzed, and the applications implemented. Thus, the differentiation of analytics based on a vertical focus is good for the overall growth of the discipline. Even as the concept of analytics is receiving more at- tention in industry and academic circles, another term has already been introduced and is becoming popular. Consumer reporting agencies and their agents are prohibited from disclosing to third parties any information that would alert them to the fact that the FBI had requested such information.
The Cable Act requires prior subscriber consent for any disclosure of personally identifiable information from a cable provider except in the instance of a court order for production of the information. Disclosure of tax return information accessed through administrative subpoenas is limited by 26 U. Disclosing non-taxpayer information in a manner prohibited by 26 U. Entities responding to subpoena requests, however, are exempt from the general prohibition. In addition, 20 U. Federal courts have held that FERPA does not provide a private right of action against an entity seeking educational records, however, as the statute only authorizes the Secretary of Education or an adminstrative head of an education agency to take appropriate actions to enforce the provisions of FERPA.
In addition, at least one federal court has held that FERPA prohibits the disclosure but not the act of accessing such records. Permissible disclosure in other circumstances, including, presumably, in response to an administrative subpoena request, is limited to include only the names and addresses of subscribers. Intra-agency Regulations, Guidelines, and Directives. See Appendices A, B, and C for references to intra-agency regulations, guidelines and directives related to administrative subpoena issuance. Brief descriptions of such regulations and guidelines are included in the appendices where provided by the agency holding the subpoena authority.
In addition to being governed by statutory issuance standards, agencies issuing administrative subpoenas are also governed by internal agency regulations and guidelines. Most agencies holding statutory administrative subpoena authorities have a structured system of issuance in place, requiring pre-approval from various agency officials as to the legality of issuance based on scope, necessity, and other considerations. The Inspector General Act has since been amended multiple times to create an Office of Inspector General within most federal agencies and other entities.
Inspectors General are intended to function independent of the agency head. They are appointed by the President, subject to the advice and consent of the Senate, and removeable only by the President. In order to fulfill their investigative responsibilities, Inspectors General are authorized to exercise certain administrative subpoena authority. Federal courts have generally stated that Inspectors General hold broad investigative authority 90 to carry out their responsibilities of promoting efficiency and preventing fraud, waste, abuse, and mismanagement in federal government programs.
Inspectors General are authorized to exercise administrative subpoena authority to obtain information required for administrative, civil and criminal investigation. An Inspector General is required by statute to report to the Attorney General any discovery of grounds to believe that a violation of federal law has occurred. Inspector General administrative subpoena authority has been upheld by federal courts even in situations where the Inspector General is cooperating with divisions of the Justice Department exercising criminal prosecutorial authority where there are reasonable grounds to believe a violation of federal criminal law has occurred.
The Inspector General Act solely authorizes subpoena duces tecum , or documentary requests. See 28 U. Federal courts have enforced Inspector General administrative subpoenas where 1 the subpoena is within the statutory authority of the agency; 2 the information sought is reasonably relevant to the inquiry; 96 and 3 the demand is not unreasonably broad or burdensome.
The Inspector General Act contains no internal privacy protections directed specifically at the subpoena authority provided in the Act. Inspector General subpoena authority is also subject to the same general statutory privacy-protective requirements applicable to other agency subpoena authorities. These privacy-protective statutes are listed and described supra in section II. Agency guidelines implementing these privacy-protective statutes are generally applicable to the Inspector General subpoena authority as well as other subpoena authorities exercised by an agency.
Federal courts have held that the enforceability of an Inspector General administrative subpoena authority is subject to many of the limitations imposed on other administrative subpoena authorities, including the requirements that such a subpoena: 1 be issued for a lawful purpose within the statutory authority of the Inspector General Act, 2 be reasonably relevant to that purpose, and 3 not be unduly burdensome. In addition to these generally applicable requirements, the Offices of Inspector General in specific agencies have established and published specific intra-agency policies governing requests for and issuance of Inspector General administrative subpoenas.
Administrative subpoenas have proved an effective resource in the investigation and prosecution of federal health care offenses. In enacting HIPAA in , Congress targeted health care fraud as a major factor in the exploding cost of federal health care programs, and created a carefully balanced array of new criminal statutes, administrative sanctions, investigative tools and a fraud and abuse control program to be jointly promulgated by the Secretary of HHS and the Attorney General. The administrative subpoena authority for the Attorney General as enacted in 18 U. Health care fraud administrative subpoenas facilitate a more efficient and expeditious coordinated approach to the investigation of federal criminal health care fraud offenses.
First, unlike grand jury subpoenas, the evidence produced in a criminal investigation in response to such a subpoena can be shared with attorneys in the Civil Division of the Department of Justice. This enables the government to pursue parallel criminal and civil relief simultaneously and to resolve these matters in a coordinated and timely fashion. The early global resolution of all pending civil and criminal exposure is considered of great importance by many targets of health care fraud investigations who find a benefit in a relatively swift resolution which permits them to put the episode behind them and begin with a fresh start.
Also, the sharing of information allowed with the use of administrative subpoenas eliminates the need of the government to otherwise serve two sets of subpoenas, one criminal and one civil, in each health care fraud investigation, and similarly avoids cost and expense which would otherwise be imposed if two sets of the same documents had to be produced. Finally, the civil investigation does not have to be suspended pending resolution of the criminal case when information can be shared as the investigation proceeds. Source and Scope of Subpoena Authority under 18 U.
In evaluating the scope of an administrative subpoena issued under 18 U. Applicable Subpoena Enforcement Mechanisms. In cases of refusal to comply with a subpoena, the Attorney General is authorized to seek the aid of a United States district court where the investigation is occurring or where the subpoenaed person resides. See Section II. In addition to extrinsic statutory limitations, 18 U. At any time before the return date specified for subpoenaed information, for instance, the person or entity subpoenaed may petition for an order modifying or quashing the summons or modifying any court nondisclosure order acquired by the government.
See 18 U. Federal courts have determined that the authority granted under 18 U. While section contains no requirement that patients be notified of impending subpoena of their health records, the subsequent use and disclosure of information gathered through compliance with such a subpoena is limited under the statute. While the statute does not generally prohibit a governmental entity from notifying a person or entity of the disclosure of records under section , a district court in which the subpoena is or will be served may issue an ex parte order prohibiting a person or entity from disclosing to any other person or entity except in the course of obtaining legal advice from an attorney the existence of a subpoena served under this section for ninety days.
Such an order may only be issued upon a finding by the court that disclosure may result in: a endangerment to the life or physical safety of any person, b flight to avoid prosecution, c destruction of or tampering with evidence, or d intimidation of potential witnesses. This ex parte order of nondisclosure may be extended for additional periods of up to ninety days only upon a showing that the conditions recounted above still exist. In evaluating subpoenas issued under 18 U. Standards Governing the Issuance of Administrative Subpoenas. During calendar year , United States Attorneys offices issued a total of 2, administrative subpoenas in investigations related to health care offenses pursuant to 18 U. The Assistant Attorney General for the Criminal Division is also authorized to issue subpoenas under this authority but issued no such subpoenas during calendar year In addition, the use of an administrative subpoena provides a mechanism for information sharing between the FBI, HHS, and other law enforcement agencies as well as the Civil Division of the Department of Justice.
Therefore, documents and records obtained under the administrative subpoena can be utilized both in a civil investigation and a criminal investigation stemming from the same fraudulent scheme. Should the statutory authority provided in 18 U. A grand jury subpoena remains an option in such investigations, however, and is sometimes utilized when confidentiality is important to the development of the case. Section authority has been used in notable health care fraud investigations conducted by the FBI to obtain records and documents in major U. The incriminating information obtained via an administrative subpoena in these investigations could have been obtained by grand jury subpoena.
However, because an administrative subpoena can be obtained more quickly and its use avoids the Fed. For example, information obtained by administrative subpoena in such investigations may be used not only for criminal prosecution purposes, but also for negotiating a civil settlement. As Congress recognized in authorizing subpoena authority for investigations relating to health care fraud and abuse in 18 U. The use of administrative subpoenas, in lieu of grand jury subpoenas, has enhanced the ability of the FBI to con online child exploitationoffenses in an expeditious manner. Section created a speedy mechanism to identify electronic communication services or remote computing services. A timely method was needed because the informat extremely perishable.
Many private and commercial online service providers maintain records on Internet usage by periods of time, sometimes two days or less. As a result, the Internet service provider is often no longer able to provide the needed information. In addition investigative information can be particularly important in cases involving the abuse and exploitation of children. Suc broader when the information is obtained by administrative subpoena, as opposed to by grand jury subpoena, in vi disclosure of grand jury information under Rule 6 of the Federal Rules of Criminal Procedure. Administrative subpoenas issued under section m require production as soon as possible after service of the subpoena, but not less than twenty-four hours after such issuance.
The Attorney General has no authority to enforce an administrative subpoena issued under 18 U. The Attorney General is permitted to invoke the aid of any court of the United States within the j the investigation is carried on or of which the subpoenaed person is an inhabitant, or in which he carries on business or may compliance with the subpoena. Failure to comply with a court order may be punished by the court as contempt. Title 18 U. This ex parte order is renewable for additional 90 day period based on a finding that the reasons listed above continue to exist. A governmental entity issuing a subpoena request under this section related to child exploitation and abuse investigations is subject to the limitations placed on the production of evidence pursuant to compulsory process, including, but not limited to: 1 5 U.
Part 16, Subpart D; 2 5 U. Part 16, Subpart A; 3 42 U. Regulations are found at 34 C. Part See Subsection II. See Attorney General Order No. Other intra-agency guidelines relevant to the issuance of administrative subpoenas under 18 U. During calendar year , the United States Attorneys offices issued seventy-one administrative subpoenas and the FBI issued 1, administrative subpoenas under this authority.
Furthermore, unlike grand jury material which is protected under Fed. Delay could literally mean the difference between life and death for a threatened child. In contrast, the disclosure limitations placed on investigators using grand jury subpoenas may not allow investigators to share information necessary to the location and apprehension of violent child sexual predators. Administrative subpoenas issued under section may require production as soon as possible after service of the subpoena, but not less than twenty-four hours after such issuance. Subsection 10 c authorizes the Attorney General to seek enforcement by requesting an order from the appropriate United States district court requiring a subpoenaed person or entity to appear. Failure to appear may result in a contempt order.
A federal court petitioned to order compliance with an administrative subpoena issued under 18 U. Subsection a 5 permits the recipient of an administrative subpoena to seek to modify the scope of the administrative demand, or modify any a court nondisclosure order acquired by the government. In order to request issuance of a subpoena by the Secretary of the Treasury under 18 U. Upon issuing a subpoena under 18 U. Frequency of use and usefulness of administrative subpoena authority pursuant to 18 U.
On November 15, , the Secretary of Treasury issued Treasury Directive , properly delegating the authority for issuance of administrative subpoenas to the USSS. The authority granted in 18 U. As administrative subpoena authorities are created by separate statutes differing in purpose and content, and no significant or consistent patterns emerge from a study of these authorities, making any recommendations generally applicable to these various authorities would be neither prudent nor practicable. As various agencies participating in the study referred to suggestions regarding authority-specific changes, the Department of Justice looks forward to working with Congress and other agencies in the future to evaluate these potential changes.
Frequency Report, 18 U. Grand jury subpoenas, administrative law judge subpoenas, and investigative authorities requiring judicial approval are not within the scope of the report; however, descriptions of administrative law judge subpoenas submitted by individual agencies and entities have been included as submitted. Authority to require by order that any person engaged in the production, processing, handling or storage of extremely hazardous substances submit written r eports or responses to questions as required by the Board to carry out its duties authorized by 42 U.
Enforcement proceeding in Federal district court Applicable privacy exemptions of the Freedom of Infor mation Act, 5 U. Standards and procedures not explicitly provided. This subpoena authority is an essential tool in conducting investigations, allowing the Board to obtain the cooperation of, and gather critical information from, witnesses and companies who are often reluctant and at times obstructionist. This authority has been used or cited in several investigations. The authority is to issue subpoenas for the attendance and testimony of witnesses and the production of relevant papers, books, and documents.
Enforcement proceeding in Federal district court Applicable privacy exemption of the Freedom of Infor mation Act, 5 U. Walling, U. Procedures: subpoenas must be issued in accordance with procedures established by an internal Board order. Part 11 Enforcement action in federal district court. Section 6 c of the CEA, 7 U. Privacy Act of , 5 U. Records Maintained on Individuals, 17 C. Right to Financial Privacy Act, 12 U. Procedures by which persons submitting information to the CFTC during the course of an investigation may specifically seek confidential tr eatment of information for purposes of FOIA disclosure are set forth in 17 C. A request for confidential tr eatment of information for purposes of FOIA shall not, however, prevent disclosure for law enforcement purposes or when disclosure is otherwise found appropriate in the public interest and permitted by law.
An order of the CFTC authorizing one or more member s of the CFTC or of its staff to issue subpoenas in the course of a par ticular investi gation shall include 1 a general description of the scope of the investigation; 2 the authority under which the investigation is being conducted; and 3 a designation of the member s of the CFTC or its staff authorized by the CFTC to issue subpoenas.
Part 10 See also 17 C. See 17 C. Administrative law judges and judgment officers preside over adjudicatory proceedings. Presiding officers are authorized to issue administrative subpoenas. In enforcement proceedings, a subpoena ad testificandum shall be issued upon a showing by the requesting party of the general relevance of the testimony being sought. The administrative law judge considering any application for a subpoena duces tecum shall issue the subpoena if he is satisfied th e application complies with 17 C. No detailed or burdensome showing shall be required as a condition to the issuan ce of any subpoena. Part 12 If any party or person against whom an order to produce has been directed acting in good faith has reason to believe that any documents or other tangible thing ordered to be produced contains a trade secret, or commer ciall y sensitive or other confidential information, the party or person may, in lieu of serving any such document, file and serve a written request for confidential tr eatment of such documents.
Administrative law judges and judgment officers preside over reparations proceedings and are authorized to issue admin istrative subpoenas. In the event the Administrative Law Judge determines that a requested subpoena is unreasonable, oppressive, excessive in scope or unduly burdensome, he may refuse to issue the subpoena, or may issue it only upon such conditions as he determines fairness requires. Such assistance m ay be provided without regard to whether the facts stated in the request would also constitute a violation of the laws of the United States. Production of all information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence regardless of medium necessary for the performance of the functions assigned under the Inspector General Act essentially a subpoena duces tecum.
In case of refusal to obey, enforcement is obtained by order of any appropriate U. Notification requirements of ten days from the date of service or fourteen days from the date of mailing of notice apply when records at a financial institution are sought of customers covered by the RFPA. Customers have a right to challenge in an appropriate U. This administrative subpoena authority was recently provided in the Commodity Futures Modern ization Act of , Pub.
The CFTC has not yet issued standards, qualifiers or procedures concerning this authority. With respect to subpoenas under the Inspector General Act, if the person does not respond to the subpoena, or file a motion to quash it, OIG requests the U. Department of Justice to file a Petition for Enforcement of Subpoena in the appropriate Federal district court. With respect to the Inspector General Act, a person is permitted ten days from receipt, or fourteen days from the mailing of the notice of subpoena, to comply with the deman d, or file a motion to quash it, in the appropriate Federal district court.
See Burlington Northern R. Office of Inspector General, R. Retirement Board, F. With respect to the Right to Financial Privacy Act, if the data subject of the records fails to respond, or files a motion to quash, then the responsible financial institution must deliver that person's financial records to OIG after OIG presents a Certificate of Compliance with the Right to Financial Privacy Act to the appropriate records custodian. With respect to the Right to Financial Privacy Act, a person is permitted ten days from receipt, or fourteen days from the mailing of the notice of subpoena, to file a mot ion to quash it in the appropriate Federal district court.
Compel testimony of witnesses at hearings. Federal court in the distr ict of th e hear ing or the district where the person resides or transacts business. Personal ser vice Subpoenas may be issued only by the Chairman of the Board or by a Board member designated by the Chairman. Department of Defense Holds no administrative subpoena authority, excluding Inspector General authority. Subpoena authority is available in court martial proceedings, however. Department of the Air Force Holds no administrative subpoena authority.
Department of the Army Holds no administrative subpoena authority. In case of disobedience to a subpoena, the Secretary or any of her examiners may invoke the aid of any court of the United States in requiring the attendance and testimony of witnesses and the production of accounts, records, and memoranda. Any district court of the United States within the jurisdiction of which any hear ing is carried on may, in case of contumacy or refusal to obey a subpoena issued to any person, issue an order requiring the person to appear before the Secretary or her examiner or to produce accounts, records, and memoranda if so ordered, or to give evidence touching any matter pertinent to any complaint; and any failure to obey such order of the court shall be punished by the court as a contempt thereof.
When the ALJ issues a subpoena under the Food Stamp Act, the party who requested the subpoena shall serve all other parties with a copy of the subpoena, notice of the names and addresses of the individuals subpoenaed an d specify any documents required to be produced. Subpoenas shall be issued by the ALJ, over the facsimile signature of the Secretary, upon a reasonable showing by the applicant of the grounds, necessity and reasonable scope thereof. Enforcement authority, if any, is provided for by the specific statutes under which the subpoena is issued. Notification requirements and privacy protections, if any, are provided for by the specific statutes under which the subpoena is issued.
Issuance standards, if any, are provided for by the specific statutes under which the subpoena is issued. Sanctions include: drawing an inference in favor of the requesting party with regard to the information sought; in the case of requests for admission, deem admitted each item as to which an admission is requested; prohibit the party failing to comply with such or der from introducing evidence concerning, or otherwise relying upon testimony relating to the information sought; strike any part of the pleadings or other submissions of the party failing to comply with such requests; or request the Attorney General petition an appropriate district court for an order to enforce a subpoena.
When an ALJ issues a subpoena under the PFCRA, the party who requested the subpoena must serve all other parties with notice of the names and addresses of the individuals subpoenaed an d specify any documents required to be produced. A subpoena issued under 7 C. The investigating official may designate a person to act on his behalf to receive the documents or other materials sought by a subpoena issued. For a subpoena to be issued by an ALJ, the party requesting the subpoena must submit a written request not less than 15 days before the date fixed for the hearing unless otherwise allowed by the ALJ for good cause shown.
B, App. In the case of contumacy or refusal to obey a subpoena by a person who resides, is found, or transacts business within the jurisdiction of the United States District Court, the Board will apply to the Court through the Attorney General of the United States for an order requiring the person to appear before the Board. A failure to obey such an order is punish able by a contempt order. If a person refuses to obey a subpoena, the Director, acting through the Office of the General Counsel of the USDA and the Department of Justice, may apply to the United States District Court in the jur isdiction where the person resides to have the subpoena enforced. A Hearing Officer must obtain the con currence of the Director prior to issuing a subpoena.
A subpoena shall be issued for documents only if the Director or Hearing Officer determine that the appellant or the agency has established that production of documentary evidence is necessary and is reasonably calculated to lead to information which would affect the final determination or is necessary to fully present the case before the Division. A subpoena shall be issued for appearance of a witness only if the Director or Hearing Officer determines that the appellan t or the agency has established that either a representative of the Department or a private individual possesses information that is pertinent and necessary for disclosure of all relevant facts which could impact the final determination, that information can not be obtained except through testimony of the person, and that the testimony cannot be obtained absent issuance of a subpoena.
The Secretary may invoke the aid of the appropriate U. District Court to enforce subpoenas. Service of a subpoena is required. During investigation or administrative proceedings. The Administrator may require by subpoena the attendance and testimony of witnesses and the production of all such documentar y evidence relating to any matter under investigation or at any designated place of hearing. The Administrator may invoke the aid of the U. This section adopts section s 48, 49 and 50 of Title 15 Federal Trade Commission Act which may require by subpoena the attendance and testimony of witnesses and the production of documents relating to any matter under investigation or the subject of a proceeding. Service of the subpoena is required.
The Secretary may require by subpoena the atten dance and testimony of witnesses and the production of documents relating to any matt er un der investi gation or th e subject of a proceeding. During investigation or administ rative proceedings. The Secretary may require by subpoena the atten dance and testi mony of witnesses and the production of documents relating to any matt er un der investi gati on or th e subject of a proceeding. Dist rict Court to enforce subpoenas. The Secretary may also require access to office and warehouse premises. The Secretary may require by subpoena the atten dance and testi mony of witnesses and the production of documents relating to any matter under investigation or the subject of a proceeding.
Authority to require any person to furnish information or documents relating to: a the identification, nature, and quantity of hazardous substances generated, treated, stored, or disposed of at a site; b the nature or extent of a release or threatened release of hazardous substances at a site; or c information relating to the ability of a respon sible party to pay for or to perform a cleanup. This auth ority may be exercised only for purposes of determining the need for respon se action, or choosing or taking any response action under CERCLA. With respect to releases or threatened releases where either the release is on or the sole source of the release is from any facility under USDA jurisdiction, custody, or control, the Secretary may issue, with the concurrence of the Attorney General, an administrative order directing compliance with the request.
USDA may ask the Attorney General to file a civil action to compel compliance with a request or order issued under Section e. Part 2 and 7 C. A request for financial information is normally only appropriate once the potential liability of a party has been established. The agency should then send appropriate financial questi ons to the PRP for purposes of making the ability to pay determination.
Administrative subpoenas for testimony and production of documen ts are issued by USDA Administrative Law Judges at the request of any party to an administrative proceeding brought to enforce the statutes. If a subpoena is not honored, the General Counsel can seek judicial enforcement of that subpoena by the Department of Justice in a Federal district court. The Food Safety and Inspection Service will first seek document production or testimony on a voluntary basis. If the requested documents or testimony are not provided on a voluntary basis, a subpoena will be issued to compel their production.
The Privacy Act and the Trade Secrets Act provisions and prohibitions are applicable to the exercise of subpoena authorities. The General Counsel must concur in the issuance of the subpoena. An administrative subpoena will be issued by USDA administrative Law Judges in administrative proceedings upon a reasonable showing by the applicant of the grounds and necessity thereof; and with respect to subpoenas for the production of documents, the request shall show their competency, relevan cy and materiality.
See 7 C. C The Animal and Plant Health Inspection Service will first seek documen t production or testimony on a voluntary basis. An administrative subpoena will be issued by USDA Administrative Law Judges in administrative proceedings upon a reasonable showing by the applicant of the grounds and necessity thereof; and with respect to subpoenas for the production of documents, the request shall show their competency, relevancy and materiality. Packers, stockyards, dealers, market agencies; and those with whom it does business. Section 6 [15 U. Investigatory subpoenas enforced in district court.
Forthwith demand issued when circumstances warrant. Must have statutory jurisdiction over person and activity under investigation or being proceeded against, which is basis for authority to subpoena records in possession of unregulated entities. Reviewed for legal sufficiency by OGC. Commission merchants, dealers and brokers; financial in stitutions. Investigatory subpoenas issue pursuant to section 13 a - viola tion of section 2 or other sections of Act, e. Hearing subpoenas issue pursuant to Sec. Section 13 d [7 U. No notification requirements; time usually provided to amass required records. Must have statutory jurisdiction over person and activity under investigation or being proceeded against, which is basis for authority to subpoena records in possession of financial institutions.
Subpoena requests ar e reviewed for legal sufficiency by OGC. Investigatory subpoenas are issued by agency Administrator. Ser ved by agency investigator. Standards for issuance at 7 CFR OIG-USDA is auth orized to "require [by subpoena] the production of all information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence necessary in the performance of the functions assigned by the IG Act. In case of a "refusal to obey", OIG may seek the enforcement of a subpoena in any appropriate United States district court. OIG should obtain information from other Federal agencies by means oth er than subpoenas.
OIG-USDA internal procedures require retention of audit work papers, some of which may include documen ts obtained by subpoena. US Department of Agriculture Regulatory authority for issuing admin istrative subpoenas that could not be ascribed to a particular division within the USDA. Rules of practice govern ing proceeding on petitions to modify or to be exempted from compact over-order price regulations promulgated by the Northeast Dairy Compact Commission, 7 C. The hearing panel may compel production of documentary evidence, appearance of witnesses, or the giving of testi mony by subpoena throughout all signatory states pursuant to section 16 a of the Compact.
In the case of contumacy by, or refusal to obey a subpoena issued under the Act, any person, the Secretary of Agriculture may invoke the aid of any court of the United States within the jurisdiction of which the investigation or proceeding is conducted, or wher e the person resides or conducts business, in order to enforce a subpoena. Any failure to obey the order of the court may be punished by the court as a contempt of the court. Under 15 C. These administrative subpoenas may only be issued by an Administrative Law Judge. See 15 C. The Secretary may issue subpoenas for the attendance and testimony of witnesses and the production of relevant papers, books, and documents, and administer oaths.
Such attendance of witnesses and the production of such documentary evidence may be required from any place in the United States at any design ated place or hearing. The administrative law judge may issue subpoenas for the attendance and testimony of witnesses and the production of relevant papers, books, and documents, and administer oaths. The Secretary may require any person to submit a report before, during, or after that person may engage in any weather modification attem pt or activity.
This mechanism has not been used in the recent past. Attorney to seek an order of injun ction or similar judicial determination from the U. Each day of operation in violation constitutes a separate violation. All civil penalties [sic] procedures shall be in accordance with 15 CFR Part US Department of Comprehensive 42 U. The statute states that the Registrar is to be located in China. For the efficient administration of the functions vested in the registrar by this chapter, he may require, by subpoena issued by him or under his direction, 1 the attendance of any witness and the production of any book, paper, documen t, or other evidence from any place in China at any designated place of hearing in China, or, if the witness is actually resident or temporarily sojourning outside of China, at any designated place of hearing within fifty miles of the actual residence or place of sojourn of such witness, and 2 th e taking of a deposition before any designated person having power to administer oaths.
In the case of a deposition, the testimony shall be reduced to writing by the person taking the deposition or under his direction, and shall th en be subscribed by the deponent. The r egistrar, or any officer , empl oyee, or agent of the United States auth orized in writing by him, may administer oaths and examine any witness. Any witn ess summoned or whose deposition is taken under this secti on shall be paid the same fees and mileage as are paid witnesses in the courts of the United States. Such court may thereupon order the witness to comply with the requirements of such subpoena and to give evidence touching the matter in question. Any failure to obey such order may be punished by such court as a contempt thereof. Such penalty shall be recoverable in a civil suit brought in the name of the United States.
There are no regulations implementing this authority. Education Department may by this authority require any person to produce documents and records pertaining to participation in the student financial assistance programs authorized under Title IV of the HEA. Education Department is to request the attorney general to seek enforcement of the subpoena in federal district court. None specified in statute itself; nothing in the statute preempts otherwise applicable requirements of the Right to Financial Privacy Act, and those requirements would remain applicable where Education Department seeks records from a financial institution of a customer protected that Act. Information pertaining to an individual may be protected by virtue of the Privacy Act once records are produced to Education Department, and in instances in which records sought by the subpoena may result in the production of information that would be included in records maintained by Education Department in a system of records subject to the Privacy Act, an appropriate notice would be included in the subpoena explaining the authority for the demand, the purposes for which the information is expected to be used, the routine uses for that information, and the consequences of failure to provide the information, as required by 5 U.
The delegation requires the concurren ce of the Office of General Counsel. No specific stan dards have been adopted for issuance; in the only instance we are aware of in which the subpoena was used, the cognizant Edication Department official was advised why the records were needed, whether the records sought were related to participating in the student assistan ce programs, whether the records had been sought by other means, and whether the records were likely to be subject to privilege. Functions transferred to the Secretary of Energy, 42 U. Any failure to obey such order of the court may be punished by such court as contempt of court.
Certain DOE officials may sign, issue an d serve subpoenas of persons and documents. The Hearing Officer shall have all powers necessary to regulate the conduct of proceedings concerning review of security clearances, including issuing subpoenas for witnesses to atten d the hearing or for the production of specific documents or other physical evidence. Requests for suboenas shall be liberally granted. The AEC was abolished in 42 U. Requests for subpoenas shall be liberally granted. Any appropriate United States district court may, in case of contumacy or refusal to obey a subpoena, issue an order requiring th e recipient of the subpoena to appear before th e Commission and to give testimony touching on the matter in question, or to produce documents.
DOE regulations contain instructions on how subpoenas are to be delivered. The Federal Power Commission was terminated and its functions, personnel, property, funds, etc. Any appropriate United States district court or certain other Federal courts may enjoin violations and enforce compliance with the Federal Power Act or any rule, regulation, or order thereunder. A court may also gr ant a permanent or tempor ary injunction or decree or restraining order. Section 6 a 4 , P. United States district court, pursuant to section 6 a 4. The appropriate United States district court may, upon petition of the Attorney General at the request of the Secretary, in the case of refusal to obey a subpoena or order, issue an order requiring compliance therewith.
Any failure to obey an order of the court may be punished by the court as a contempt th ereof. It shall be unlawful for any person to violate any provision of th is Act or any rule or order under the NGPA. Any appropriate United States district court or certain other Federal courts may enjoin violations and enforce compliance with the NGPA or any rule, regulation, or order there- thereunder. Criminal penalties are also provided. Appx et seq. Ex Order , in section , also delegates to the Secretary of Energy the subpoena power with respect to section of the DPA.
In the event of refusal to obey, court order obtain ed through petition to enforce filed in the appropriate U. District Court. None specific to the Inspector General Act; statutory notification requirements followed for Inspector General subpoenas issued pursuant to the Right of Financial Privacy Act. OIG has established within OIG various policies and procedures regarding subpoena request and issuance.
In a hearing to assess a civil m oney penalty for violations with respect to adulterated food, the presiding officer may authorize a party to obtain discovery from other persons and may issue a subpoena to compel testimony or production of documents from any person. In the course of any investigation or hearing with respect to civil money penalties for violations with respect to devices, or the introduction into intersta te commerce of adulterated food, the Secretary may issue subpoenas requiring the attendance and testimony of witnesses and the production of documents. In the event of refusal to obey a subpoena in a hearing to assess civil money pen alties for violations with respect to adulterated food, court order obtained through petition to enforce filed in the appropriate U.
The presiding officer in a hearing to assess civil money pen alties for violations with respect to adulterated food is governed by the Federal Rules of Civil Procedure. In the course of any investigation or hearing with respect to debarment, tempor ary den ial of approval, or suspension of any corporation, partner ship, associ ation , or individual, the Secretary may issue subpoenas requiring the attendance and testimony of witnesses and the production of evidence regarding the matter under investigation.
In the course of any investigation or hearing with respect to the potential imposition of civil money penalties for, among other things, false statements, misrepresentations, the payment of bribes or illegal gratuities in connection with an abbreviated drug application, the Secretary can issue subpoenas requiring the attendance and testimony of witnesses and the production of evidence regarding the matter under investigation. Department of Health and Human Services.
In connection with hearings with respect to the imposition of civil money penalties, the presiding officer has the authority to issue subpoenas requiring the attendance and testimony of witnesses and the production of evidence relating to the matter under investigation. The presiding officer can sanction a person, including a party or its counsel, for failure to comply with a subpoena by 1 the employment of an inference in favor of the person requesting the information; 2 prohibiting th e party not complying with the subpoena from introducing evidence, or relying on testimony, regarding the information sought; and 3 striking pleadin gs of the noncomplying party.
A party to the hearing is required to request documents at least 60 days prior to the hearing. A party wishing to procure the attendance and testimony of an individual at a hearing and the production of documents at the hearing is required to request that the presiding officer issue a subpoena at least 20 days prior to the hearing. A party or person to whom a subpoena is addressed who believes that the subpoena is unreasonable, oppressive, excessive in scope, etc. A party or prospective witness may file a mot ion for a protective order with respect to discovery sought by a party or with respect to a hearing, in order to limit the availability or disclosure of evidence.
In event of refusal to obey, court order obtain ed through petition to enforce filed in the appropriate U. A party must file a written request for a subpoena with the administrative law judge at least 5 days prior to the date set for the hearing. The r equest must identify the witnesses or documents to be produced and specify the pertinent facts that the party expects to establish by the witnesses or documents, and why those facts could not be established without the use of a subpoena. The subpoena must be reasonably necessary for the full presentation of the case. With respect to hearings before an ALJ on appeals of, among other things, denials of certain contracts and refusals to waive certain regulations, etc.
The Secretary has the authority to issue subpoenas in investigating matters and holding hearings under the Administrative Simplification provisions of HIPAA, with respect to matters involving the imposition of civil money penalties. With respect to the privacy provisions, the Secretary has delegated that authority to the Office for Civil Rights. Notice by service of the subpoena. The Department is in the process of developing standards and procedures for the issuance of administrative subpoenas under the Administrative Simplification provisions of HIPAA.
No covered entity is required to comply with the regulations adopted under the Admin istrative Simplification provisions of HIPAA until at the earliest. In any hearing, investigation, or other proceeding relating to grants to States for medical assistance programs, the Secretary has the authority to issue subpoenas requiring the attendance and testimony of witnesses and the production of any evidence that relates to any matter under investi gation or in question.
A party wishing to obtain the issuan ce of a subpoena shall file a written request at least 10 days before the hearing. The written request must state the pertinent facts which the party expects to establish by the witnesses or documents and wheth er such facts could be established by other means. In a hearing with respect to an appeal by a rural health clinic of the termination of an agreement between CMS and the rural health clinic, an administrative law judge may issue subpoenas upon his own motion or at the request of a party. In a hearing with respect to an appeal of the failure of CMS to enter into an agreement with an entity with respect to federally qualified health service centers, an administrative law judge may issue subpoenas upon his own motion or at the request of a party.
In a hearing with respect to an appeal of the termination by CMS of an agreement with a federally qualified health center, an administrative law judge may issue subpoenas upon his own motion or at the request of a party. A party wishing to obtain a subpoena must file with the hearing officer a written request for a subpoena at least 10 days before the hearing. The written request must identify the witnesses or documen ts to be produced, identifying the pertinen t facts to be established by the testimony or documents sought.
The hearing officer may issue subpoenas if th ey are reasonably necessary for full presentation of the case. A party must issue a predecision request for information or data. Only when this request has failed to produce the necessary evidence, can the party submit a written request to the Medicare Geogra phic Classification Review Board for issuance of a subpoena for attendance and testimony of witnesses or production of documents. The r equest must identify the individual or documen ts that ar e to be produced and must state the pertinent facts that the party expects to establish by the requested witnesses or documents, and whether these facts could be established by other evidenced without the use of a subpoena.
The Board may issue subpoenas if they are reasonably necessary for full presentation of the case, and only after a predecision request for information or data has failed to produce the necessary evidence. The written request must state the pertinent facts which the party expects to establish by the witnesses or documents an d whether such facts could be established by other means. In a hearing with respect to an appeal by a provider of a decision by CMS terminating the provider agreement for failure to comply with the disclosure of information requirements set forth in 42 CFR Part Subpart C, an administrative law judge may issue subpoenas upon his own motion or at the request of a party. In a hearing with respect to an appeal by a nonparticipating hospital that pr ovides emergency services of a determination by CMS that the hospital does not qualify to claim reimbursement, an administrative law judge may issue subpoenas upon his own motion or at the request of a party.
In proceedings to impose civil monetary fines for violations with respect to enrollment, disenrollment, excessive premiums, misrepresentations, or falsifications of information, an administrative law judge has the authority to issue subpoenas requiring the attendance of witnesses at hear ings and the production of documents at or in relation to hearings. In a hearing with respect to an appeal of a prospective lab dissatisfied with a reconsidered or a revised reconsidered deter mination regarding denial of a CLIA certificate or of approval for Medicare payment for services, an administrative law judge may issue subpoenas upon his own motion or at the request of a party.
The r equest must identify the witnesses or documents to be produced and specify the pertinent facts that the party expects to establish by the witnesses or documents and why those facts could not be established without the use of a subpoena. The written motion must specify th e evidence to be produced and designate the witnesses. The person to whom the subpoena is directed may file a motion to quash the subpoena within 10 days of service thereof. The Secretary is authorized to delegate, and has delegated, this authority to the Inspector General.
District Court where the subpoenaed person is found, resides, or transacts business. If the Inspector General, as the investigating official, concludes that a subpoena pursuant to 31 U. In hearings with respect to program fraud, administrative law judges can issue subpoenas for the attendance of witnesses and the production of documents at depositions or at hearings. The subpoena issued by the Inspector General must identify the authority pursuant to which the subpoena is issued, and identify the records and documents sought. At the hearing stage, the parties must file motions for discovery before the ALJ at least 15 days before the hearing, which includes a copy of the requested discovery and a statement of the scope of the proposed depositions.
A party may, within 10 days of service, file an opposition to the motion for discovery or a motion for a protective order. A party seeking the attendance and testimony of an individual and the production of documents by that witness can request the ALJ to issue a subpoena. The motion must be filed at least 15 days prior to the date set for the hearing. A party or the individual to whom the subpoena is directed may file a motion to quash the subpoena within 10 days after service.
The ALJ, pursuant to a motion for a pr otective order, may make any order necessary to protect a par ty or person from annoyance, embarrassment, oppression, or undue burden or expense. Secretary is authorized to issue subpoenas for testimony and documents in connection with an investigation. Enforced by action in U. Privacy Act, 5 U. Discretion of administering office. Same as above. Same as above Same as above. Notification is by service of a copy of the subpoena on the responding party, and the privacy protections include the Privacy Act, supra, the Right to Financial Privacy Act, 12 U.
Case law restricts the authority to issue subpoenas to those issued in furtherance of a lawful investigation of the inspector general, and which are reasonably relevant to the inquiry and not over ly broad or burdensome. Authority for issuance of subpoenas to same extent as ordered or served in aid of a civil action in the U. District Court for the district in which the investigation is taking place. Oder of the appropriate U. The provisions of the F.
The protections of persons subject to subpoenas are set forth at Rule 45 c. It has been the experien ce of this office that the Department of Justice believes that it can not enforce administrative subpoenas that do n ot contain the prescribed language of Rule 45 c and d. This office has consistently required the use of the language of Rule 45 c and d in the administrative subpoenas that it reviews for legal sufficiency. The Department of the Interior has published regulations to govern proceedings conducted before administrative law judges and boards of contract appeals judges.
These regulations, also referenced above, describe the authority of the judges to issue subpoenas to compel the attendance of witnesses, and to take and cause depositions to be taken for the purpose of taking testimony. Some regulations also grant subpoena authority to require persons to produce documents 43 C. In contract disputes and in Indian probate, surface mining, and program fraud cases, the agency can request that the Attorney General file a petition in U. District Court to enforce a subpoena issued by the presiding officer. In public lands cases, the wilful refusal to comply with a subpoen a may be punished as a misdemeanor. See citations under paragraph 1 above. The procedural regulations include General requirements for requesting, issuing, and service of subpoenas.
Executive Order , 52 Fed. Through Executive Order , supra, Sec. Authority to issue an order directing compliance with a CERCLA section e request for inform ation concerning the identification, nature, and quantity of certain materials, the natur e or extent of a release or threatened release of a hazardous substance, or information relating to the ability of a person to pay or to perform a cleanup. The order may be issued after such notice and opportunity for consultation as is reasonably appropriate under the circumstances. The Secretary is authorized to issue orders "only if there is a reasonable basis to believe that ther e may be a release or threat of release of a hazardous substance or pollutant or contaminant" from a facility.
In addition, the authority under section e may be exercised only for the purposes of determining the need for response, or choosing or taking any response action under CERCLA, or otherwise enforcing the provisions of CERCLA. A subpoena will serve as a command to produce evidence or to permit inspection or to command an appear ance, and may be issued jointly or separate. A subpoena to command atten dance shall issue from the court for the district in which the hearing or trial is to take place. Similarly, one commanding production of evidence shall issue from the court for the district where production or inspection is to occur.Provides access to a variety of Administrative Simplification Subsection Of HIPAA: Four Components sources, formats, and can dogs eat tuna fish, including GIS, mul- Administrative Simplification Subsection Of HIPAA: Four Components, and object-oriented data. Submissions from executive branch entities and legal research identified Administrative Simplification Subsection Of HIPAA: Four Components existing administrative subpoena authorities held by Administrative Simplification Subsection Of HIPAA: Four Components executive branch entities under current law. Service of a subpoena is required. Administrative Simplification Subsection Of HIPAA: Four Components, the Pearson team is to be commended: Executive Editor Samantha Lewis who Administrative Simplification Subsection Of HIPAA: Four Components this project; the copyeditors; and the production team, Faraz Sharique Ali at Pearson, and Gowthaman and staff at Integra Software Services, who The American Dream In Easy Rider the manuscript into a How Did Theodore Roosevelt Progressive. The r equest must identify the witnesses or documents to Administrative Simplification Subsection Of HIPAA: Four Components produced who was in the triple entente specify the pertinent facts that the party expects to establish Administrative Simplification Subsection Of HIPAA: Four Components the witnesses or documents and why those facts Buck Vs Sled Dog Research Paper not be established without the use of Administrative Simplification Subsection Of HIPAA: Four Components subpoena. Administrative Simplification Subsection Of HIPAA: Four Components of the domain areas for comprehensive clinical and Administrative Simplification Subsection Of HIPAA: Four Components safety data is a subject for additional work.