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DOSOCWCO0005 - Appeal Level 1 - Procedures

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Agency Scheme:

DOSOCWCO0005

Level:

Appeal Level One

ADJUDICATION STRUCTURE

Appeals: Basic Structure

Appeal Office (local name):

Office of the Legal Advisor

Appeal Office (global name):

Department of State: Office of the Legal Advisor

Sub-Agency/Bureau/Division::

Office of the Secretary of State

Appeal Officer #1 (Title):

Secretary of State

Appeal Officer #2 (Title):

Designee

Are administrative appeals permitted from final decisions issued by this appellate office?:

No

Comments/Notes on Adjudication Structure:

Formal adjudication scheme jointly administered by the Departments of State (DOS) and Commerce (DOC) relating to imposition of administrative (civil) penalties for certain violations of the Chemical Weapons Convention Implementation Act of 1998. Administrative penalties may be imposed for: refusing to permit entry or inspection; failure to establish or maintain required records. (22 CFR Part 103, Subpart C). The Department of Commerce initiates enforcement proceedings by issuing a notice of violation, and DOC ALJs conduct hearings and issue initial decisions. (See 22 CFR 103.7; 15 CFR pt. 719). Any party may petition the Secretary of State for review of the DOC ALJ's initial decision. (22 CFR 103.8). The Secretary's review authority is discretionary. Appeals are heard by the Secretary of State or his/her designee. (*Note 1: Only the Department of State's appellate review of civil penalties is covered on this form.)

PROCESS & PROCEDURE - General Information

Which party (or parties) is/are permitted to file appeals with this office?:

Either

Who may serve as a private party representative?:

Attorney

Who may serve as an agency representative?:

Attorney

Regulations/rules of practice for appeal hearings (please include CFR citations):

22 CFR 103.8

PROCESS & PROCEDURE - Hearing Procedure

What types of hearings are permitted on appeals adjudicated by this office?:

Written (Document-Only) Hearing

How is the type of hearing selected for appeals heard by this office?:

Required by Rule

How many appeal officers preside at each hearing?:

One

Is factual development permitted at the appellate hearing as a means of supplementing the record from below?:

No

Can third-parties submit amicus briefs and/or evidence?:

No

Are appeal hearings recorded and/or transcribed?:

N/A (Document-Only Hearings)

Are appeal hearings open to the public?:

N/A (Document-Only Hearing)

PROCESS & PROCEDURE - Post-Hearing Procedure

Who typically drafts final decisions on appellate cases adjudicated by this office?:

Staff Attorney

Who has authority to issue final decisions on appellate cases adjudicated by this office?:

Adjudication Officer

Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?:

Yes (All Types of Cases)

If "Yes," please specify these time limit(s):

The Secretary must issue a final decision within 30 days of receiving the ALJ's initial decision. (22 CFR 103.8(b)).

Is judicial review available after issuance of a final decision on appellate cases adjudicated by this office?:

Yes (All Types of Cases)

PROCESS & PROCEDURE - Case Management

How are claims/cases processed at this appellate office?:

First-In/First-Out Basis

Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?:

No

Are final decisions issued by this appellate office published and/or posted on the agency website?:

No

Do agency regulations/rules of practice specify the contents of the administrative record on appeals heard by this office?:

No

Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?:

No

PROCESS & PROCEDURE

Comments/Notes on Appellate Process & Procedures (Optional):

If the Secretary accepts an appeal for review, parties are entitled to submit written briefs. Briefing is limited to the issue(s) set forth in the Secretary's notification of acceptance of a petition for review. The Department of Commerce, by regulation, is obligated to review the administrative record and the parties' briefs and make recommendations to the Secretary regarding the propriety of the ALJ's initial decision.

ADJUDICATORS

Total # of Appeal Officers:

1

Information About Appeal Officer:

Adjudication Officer Title	Pay Plan	Pay Range	Are persons in this position subject to performance evaluation?	Are persons in this position employed full-time as adjudication officers?	If "No", briefly describe other duties:	Are persons in this position subject to quality control measures or production goals?
Secretary of State	EX	I	No	No	As a cabinet-level official and head of the DOS, the Secretary of State is responsible for all agency operations, programs, and personnel.	No
Designee

ADR: General Information

Is ADR available at one or more points for appellate cases heard by this office?:

No

ADR – Summary Statistics

For Fiscal Year 2013, please provide the following annual ADR statistics:

CASELOAD STATISTICS - Supplementary Statistics

Supplementary Caseload Statistics by Case Type:

Verified by Agency:

Not verified

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DOSOCWCO0005 - Appeal Level 1 - Procedures