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EPAOGRAN0005 - Appeal Level 1 - Procedures

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Agency Scheme:

EPAOGRAN0005

Level:

Appeal Level One

ADJUDICATION STRUCTURE

Appeals: Basic Structure

Appeal Office (local name):

Office of Grants and Debarment

Appeal Office (global name):

Environmental Protection Agency: Office of Grants and Debarment

Sub-Agency/Bureau/Division::

Office of Administration and Resources Management

Appeal Officer #1 (Title):

Director

Appeal Officer #2 (Title):

Regional Administrator

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

No

Comments/Notes on Adjudication Structure:

Informal process for review of adverse agency decisions against "affected entities" (i.e., applicants or grantees) related to most pre-award and post-award assistance agreement (e.g., grant, cooperative agreement) disputes or enforcement actions by EPA (except competitive assistance agreements). Affected entities may be governmental entities, colleges, hospitals, and other non-profit entities receiving agency monies. (See 40 CFR Part 30 & Part 31, Subpart F). EPA adjudicators serving as "Review Officials" (ROs) depend on the locus of the challenged agency decision. EPA Headquarters officials serve as ROs on cases arising from agreements awarded by a Headquarters program office. For assistance agreements awarded at the regional level, the RO is the Regional Administrator or his/her designee. (40 CFR 31.71, 31.75)

PROCESS & PROCEDURE - General Information

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

Private Party

Are private parties permitted to have representation at appeal hearings?:

Yes (All Types of Cases)

Who may serve as a private party representative?:

Either

Is the agency permitted to have representation at appeal hearings?:

N/A (e.g., Agency Not Party to Hearing)

Are ex parte contacts prohibited?:

No

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

40 CFR 31.75 - 31.77

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?:

No

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?:

Adjudication Officer

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):

Review Officials must issue a written decision within 45 calendar days of the filing of a review request by the applicant/grantee. (40 CFR 31.77(b))

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

No

PROCESS & PROCEDURE - Case Management

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?:

Yes (All Decisions)

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):

Scope of Review: The only basis for review of a Dispute Deciding Official's decision is a "clear and prejudicial error of law, fact, or application of agency policy in deciding the Appeal." (40 CFR 31.75(b)) Efiling: Electronic filing of appeal documents is by email only, rather than an Internet-based efiling process.

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?
Director			No	No	As the head of the Office of Grants and Debarment, the Director is responsible for overseeing all aspects of the Office's programs and operations.	No
Regional Administrator	ES	n/a	Yes	No	As the head of an EPA region, the Regional Administrator is responsible for overseeing all aspects of the Division's programs and operations.	No

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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EPAOGRAN0005 - Appeal Level 1 - Procedures