Other Fields
Agency Scheme: 
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 Executive Director
Hearing Officer #1 (Title): 
Judgment Officer
Hearing Officer #2 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

This adjudication scheme provides a forum for reparation disputes between two private individuals under section 14 of the Commodity Exchange Act. The Commission's website states: "CFTC's Reparations program is designed to provide an inexpensive, expeditious, fair, and impartial forum to handle complaints and resolve disputes between futures customers and commodity futures professionals."

There are three different sets of procedures depending on the nature of the dispute and the parties' respective elections: (1) "voluntary decisional proceedings" (claims of any amount); (2) "summary decisional proceedings" (claims of $30,000 or less); and (3) "formal decisional proceedings" (claims that exceed $30,000).

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
About what percentage of private parties were represented at hearings (FY2013)?: 
33.00%
Is the agency permitted to have representation at hearings?: 
N/A (e.g., Agency Not Party to Hearing)
Regulations/rules of practice for hearings (please include CFR citations): 
17 CFR pt. 12
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.): 
Written discovery available in all proceedings: document production requests; depositions on written interrogatories; and requests for admission. See 17 CFR 12.30 - 12.34.
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)
How far in advance of the hearing date is notice typically provided?: 
30 Days
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted at the hearing-level stage?: 
Written (Document-Only) Hearing
In-Person
Video
Phone
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
0%
In-Person: 
0%
Video: 
0%
Phone: 
100%
How is the type of hearing selected: 
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
For voluntary proceedings, the parties agree to forgo oral hearing; only written hearings are permitted. (17 CFR 12.105). For summary proceedings, oral hearings are subject to Judgment Officer discretion "when appropriate and necessary for the resolution of factual issues." Oral hearings, when held are either telephonic or in-person in Washington, DC. (17 CFR 12.208-12.209). Lastly, for formal proceedings, oral hearings are normally held. Oral hearings may be either between telephonic or in-person hearings at one of the specified locations throughout the country. (17 CFR 12.312)
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
Summary proceedings: When in-person (oral) hearings are held, witness testimony is permitted at the Judgment Officer's discretion in summary proceedings. Formal proceedings: When in-person (oral) hearings are held, witness testimony is available as of right. Voluntary proceedings: N/A. Oral hearings unavailable.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
Summary proceedings: When in-person (oral) hearings are held, cross-examination of witnesses is permitted at the Judgment Officer's discretion in summary proceedings. Formal proceedings: When in-person (oral) hearings are held, cross-examination of witnesses available as of right. Voluntary proceedings: N/A. Oral hearings unavailable.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
Formal proceedings: Hearings are required to be open to the public (with just cause allowing hearing closure) the hearing) See 17 CFR 12.312. Summary proceedings: Unknown; regulations silent. Voluntary proceedings: N/A. Oral hearings unavailable.
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
If "Other," please specify (drafts): 
Judgment Officer drafts decision.
Who has authority to issue final decisions?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
About how long does it take on average—as of FY2013—to adjudicate claims/cases at the hearinglevel stage (i.e., from case filing: 
427 Days
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at the hearing-level stage?: 
Differentiated 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?: 
No
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): 
The three different types of proceedings differ mostly in their respective levels of procedural formality. Voluntary proceedings are the most informal with no oral hearing. The following averages are from the date received (filing) in the Complaints Section to date of 1st Decision by the Presiding Officer in FY 2013: • Defaults – 209 days • Formals – 679 days • Summary – 505 days • Voluntary – 316 days
ADJUDICATORS
Total # of Hearing Officers: 
1
Comments/Notes on Hearing-Level Adjudicators (Optional): 
Under 17 CFR part 12, a Judgment Officer means an employee of the Commission who is authorized to conduct all reparations proceedings. In appropriate circumstances, the functions of a Judgment Officer may be performed by an Administrative Law Judge.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
19
Total # Cases Decided/Closed (FY2013): 
14
Total # Cases Pending (End of FY2013): 
21
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
No
Verified by Agency: 
Verified