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DHSCCGHP0004 - Hearing Level - Procedures

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Agency Scheme:

DHSCCGHP0004

ADJUDICATION STRUCTURE

Hearing Level: Basic Structure

Name of Hearing Office (local name):

Coast Guard Hearing Office

Name of Hearing Office (global name):

Department of Homeland Security: Coast Guard Hearing Office

Hearing Officer #1 (Title):

Office Chief

Hearing Officer #2 (Title):

Hearing Officer

Are administrative appeals permitted from final decisions at the hearing-level stage?:

Yes (All Types of Cases)

Comments/Notes on Adjudication Structure:

After a District Commander finds a primie facie case for a violation following an investigation, he forwards the case file to the Hearing Officer. The party in violation has the right to a hearing or to submit written evidence and arguments in lieu of a hearing. The Hearing Officer issues a written decision either assessing a penalty or dismissing the case. A party assessed a penalty has the right to an administrative appeal. Appeals are decided by the delegate of the Commandant of the Coast Guard (appeal authority), affirming/reversing/modifying the decision or remanding for additional proceedings.

The Hearing Officer is a Coast Guard officer/employee who has been delegated the authority to assess civil penalties.

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)?:

10.00%

Is the agency permitted to have representation at hearings?:

No

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

33 CFR Subpart 1.07

Other published guidance for hearings (if any):

http://www.uscg.mil/directives/ci/16000-16999/CI_16200_5B.pdf

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 alleged violator may, upon request, receive a free copy of all the written evidence in the case file, except material that would disclose or lead to the disclosure of the identity of a confidential informant. Other evidence or material, such as blueprints, sound or video tapes, oil samples, and photographs may be examined in the Hearing Officer's offices. The Hearing Officer may provide for examination or testing of evidence at other locations if there are adequate safeguards to prevent loss or tampering." 33 CFR 1.07-30

Does the hearing officer have subpoena authority?:

Yes (Some 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?:

27 Days

PROCESS & PROCEDURE - Hearing Procedure

What types of hearings are permitted at the hearing-level stage?:

Written (Document-Only) Hearing

In-Person

Video

Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)

Written (Document-Only) Hearing:

99%

In-Person:

0%

Video:

1%

Phone:

0%

How is the type of hearing selected:

By Private Party

How many hearing officers preside at each hearing?:

One

Is witness testimony permitted at hearings?:

Yes

Can parties cross-examine witnesses?:

Adjudication Officer Discretion

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

No

Are hearings recorded and/or transcribed?:

Only at Party Request

Are hearings open to the public?:

Yes (Hearings Always Open/All Types of Cases)

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?:

Yes (All Types of Cases)

PROCESS & PROCEDURE - Case Management

How are claims/cases processed at the hearing-level stage?:

First-In/First-Out Basis

Please briefly describe your case management practice(s) at the hearing level stage:

Cases are generally processed on a first-in first-out basis, but Hearing Officers have discretion to manage their own case load. Factors such as extensions of time to respond or scheduling a hearing as opposed to receiving evidence from the charged party in lieu of a hearing, may result in faster processing for some cases than for others.

Does the agency permit web-based electronic filing of hearing-related briefs or other documents?:

No

Are final decisions published and/or posted on the agency website?:

No

Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?:

Yes (All Types of Cases)

If "Yes," please provide citation(s):

33 CFR 1.07-55

Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce:

Yes (All Types of Cases)

If "Yes," please provide citation(s):

33 CFR 1.07-70; 33 CFR 1.07-80

PROCESS & PROCEDURE - Comments

Comments/Notes on Hearing-Level Process & Procedures (Optional):

3. Hearing procedure. A telephone hearing is authorized only when necessitated by very unusual circumstances. 3. Hearing procedure. Hearing Officers routinely audio record the hearing and provide a copy of the audio file to the charged party. 3. Hearing procedure. Hearing are open to the public but usually occur on CG facilities that may restrict public access.

ADJUDICATORS

Total # of Hearing Officers:

3

Information About Officer:

Adjudication Officer Title	Job Series	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?	If "Yes," briefly describe:
Office Chief	0905-Gen'l Attorney Series	GS	15	Yes	No	This position is for the office chief who supervises the hearing officers and the administrative staff. Duties are primarily supervisory, but the office chief is authorized to adjudicate cases.	Yes	The Hearing Office has informal time-line goals for processing cases, and the office chief reports certain time-line metrics to his supervisor, the Deputy Judge Advocate General.
Hearing Officer	N/A (Private Employee/Contractor)	Coast Guard Active Duty	CDR (O-5)	Yes	Yes		Yes	The Hearing Officer has informal time-line goals for processing cases, and the office chief can review final decisions, after they have been issued, for quality of the work product.

Comments/Notes on Hearing-Level Adjudicators (Optional):

"Hearing Officers explain their findings in written decision letters. They do not discuss with parties, members of the public, Coast Guard field or program management personnel, the exercise of their independent judgment or discretion generally or in specific cases. ... Hearing Officers do not engage in off-the-record communications regarding cases or any alleged violations with Coast Guard field or program management personnel, or parties. All Hearing Officer communications regarding the specifics of a case or alleged violations are conducted in writing and are maintained in the civil penalty case file." See http://www.uscg.mil/directives/ci/16000-16999/CI_16200_5B.pdf, page 4 ("The Hearing Officer").

ADR: General Information

Is ADR available at one or more points during the hearing process?:

No

ADR – Summary Statistics

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

CASELOAD STATISTICS - Supplementary Statistics

Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen:

No

Supplementary Caseload Statistics by Case Type:

Case Type
The only case type adjudicated are Class I civil penalty cases.

Verified by Agency:

Verified

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DHSCCGHP0004 - Hearing Level - Procedures