Other Fields
Agency Scheme: 
CFTCFORM0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Proceedings
Name of Hearing Office (global name): 
Commodity Futures Trading Commission: Office of Proceedings
Sub-Agency/Bureau/Division:: 
Office of the Executive Director
Hearing Officer #1 (Title): 
Administrative Law Judge
Hearing Officer #2 (Title): 
Presiding Officer
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

This "formal" adjudication scheme primarily involves enforcement proceedings initiated by the CFTC Division of Enforcement by way of administrative compliant. The Commission has discretion "to appoint a Presiding Officer other than an administrative law judge ("ALJ") to conduct proceedings within the scope of 17 CFR part 10, unless some other provision of law requires the use of an ALJ in a particular category of proceeding." 78 Fed. Reg. 12,933, 12,934 (Feb. 26, 2013).

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Either
Is the agency permitted to have representation at hearings?: 
Yes (All Types of Cases)
Regulations/rules of practice for hearings (please include CFR citations): 
17 CFR 10, Subpart E; 17 CFR 148, Subpart C
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
Yes (All Types of Cases)
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
The scope of discovery is broad and involves all non-confidential documentation relevant to the case. Parties are required to make prehearing disclosures, including: case outline; legal theories; identity and location of lay and expert witnesses, and summaries of expected testimony; investigatory materials (from Division of Enforcement); list of documents to be introduced at hearing; and index of withheld documents. Parties may also seek permission to take depositions (oral or through written interrogatories) under certain circumstances. (See 17 CFR 10.41 - .44).
Does the hearing officer have subpoena authority?: 
Yes (All Types of Cases)
Are ex parte contacts prohibited?: 
Yes (All Types of Cases)
Are parties provided notice of hearing?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted at the hearing-level stage?: 
Written (Document-Only) Hearing
In-Person
Phone
How is the type of hearing selected: 
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
All formal case types, apart from the registration of entities before the Commission require oral hearings under 17 CFR 10. However, for the registration of entities under the Commodity Exchange Act an ALJ or presiding officer may make an initial determination on whether an oral hearing is necessary. In these situations the hearing officer also may choose to have an oral hearing in accordance with 17 CFR 112.209(b). See 17 CFR 3.60(d).
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
Witness testimony is permitted for all in-person (oral) hearings. Not applicable to document-only hearings that occur in some registration of entities cases.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
Cross-examination is permitted for all in-person (oral) hearings. Not applicable to document-only hearings that occur in some registration of entities cases.
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Presumed Open (But May Be Closed Under Certain Conditions)
If "Varies by Case," please describe: 
By rule, hearings are generally open to the public except upon order of presiding officer at request of respondent or witness in order to prevent unwarranted disclosure of trade secrets or other sensitive commercial or financial information. (See 17 CFR 10.64).
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
Who has authority to issue final decisions?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of hearing-related briefs or other documents?: 
Yes
Are final decisions published and/or posted on the agency website?: 
Yes (Some Decisions)
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (Some Types of Cases)
If "Yes," please provide citation(s): 
17 CFR 10.65, 10.104
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
No
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Formal proceedings permit intervention by interested parties. There are also mechanisms for disposition without full hearing thorough motions for summary disposition (when there are no genuine issue of material fact), and, if all parties consent, a "shortened procedure" (with submission of direct evidence) in lieu of full hearing. See 17 CFR 10.91 - 10.92.
ADJUDICATORS
Comments/Notes on Hearing-Level Adjudicators (Optional): 
A presiding officer can be: "A member of the Commission, and Administrative Law Judge, or a hearing officer designated by the Commission to conduct a hearing on a specific matter, or the Commission itself, if it is to preside at or accept the introduction of evidence in a particular proceeding (provisions of the rules in this part which refer to Administrative Law Judges may be applicable to other Presiding Officers as well, as set forth in ยง 10.8.)" See 17 CFR 10.2(n). The Commission may appoint Presiding Officers apart from ALJs to oversee hearings and if this happens then the Presiding Officer must abide by all the rules guiding ALJs. See 17 CFR 10.8.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Verified by Agency: 
Verified