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DOTRCVRT0017 - Hearing Level - Procedures

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Agency Scheme:

DOTRCVRT0017

ADJUDICATION STRUCTURE

Hearing Level: Basic Structure

Name of Hearing Office (local name):

Office of Civil Rights

Name of Hearing Office (global name):

Department of Transportation: Office of Civil Rights

Hearing Officer #1 (Title):

Hearing Examiner/Administrative Law Judge (ALJ)

Hearing Officer #2 (Title):

Director of the Departmental Office of Civil Rights

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

Yes (Some Types of Cases)

Comments/Notes on Adjudication Structure:

-Hearing Officer 1 is labeled "Hearing Examiner/Administrative Law Judge (ALJ)" because the governing regulations delegate primary hearing authority to a "hearing examiner" appointed per 5 U.S.C. 3105 or detailed to the agency per 5 U.S.C. 3344. See 49 CFR 21.15(b) (Title VI); see also 49 CFR 25.605 (incorporating in Title IX actions the procedures of 49 CFR Part 21). These statutes pertain to appointment or detailing of ALJs. The procedures for disability discrimination cases under 49 CFR Part 27 mirror those in Parts 21 and 25, but name ALJs directly as the hearing officers. See 49 CFR 27.127(c).
-The Director of the Departmental Office of Civil Rights is labeled Hearing Officer 2 because, in some cases, the Secretary's designee (which, per 49 CFR 1.41, is the Director) may act as hearing officer in the first instance. See 49 CFR 21.15(b) (providing for hearings before the Secretary at his discretion); see also 49 CFR 21.23 (defining "Secretary"). There is no such provision for disability discrimination cases under 49 CFR Part 27.
-The Secretary or his designee is the appellate officer across all of these cases. (See 49 CFR 21.17(a)-(b)).

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?:

Attorney

Is the agency permitted to have representation at hearings?:

Yes (All Types of Cases)

Who may serve as an agency representative?:

Attorney

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

49 CFR 21.13 - 21.17; 49 CFR 25.605; 49 CFR 27.125 - 27.129

Other published guidance for hearings (if any):

https://www.civilrights.dot.gov/complaint-resolution

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.):

49 CFR 21.15(d)(2) - ". . . rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination shall be applied where reasonably necessary by the officer conducting the hearing. ... All documents and other evidence offered or taken for the record shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced on either side of the issues."

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

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?:

Adjudication Officer Discretion

Can parties cross-examine witnesses?:

Adjudication Officer Discretion

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:

The regulations allow parties to waive an oral hearing and submit written information and argument for the record. See 49 CFR 21.15(a); 49 CFR 27.127(b). When parties submit written information instead of having an in-person hearing, this question is not applicable. When an in-person hearing takes place, the regulations do not state whether the hearing is open to the public.

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?:

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?:

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):

-49 CFR 21.15(d)(2) provides that "[t]echnical rules of evidence do not apply to hearings conducted pursuant to this part, but rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination shall be applied where reasonably necessary by the officer conducting the hearing." See also 49 CFR 25.605 (incorporating in Title IX actions the procedures of 49 CFR Part 21). A similar provision exists for disability discrimination cases. See 49 CFR 27.127(e)(2).

ADJUDICATORS

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?
Hearing Examiner/Administrative Law Judge (ALJ)	0935-Administrative Law Judge	AL	01 - 03	No	Yes
Director of the Departmental Office of Civil Rights				No	No	The Director of the Departmental Office of Civil Rights conducts all stages of the formal employment discrimination complaints process; provides guidance concerning the implementation and enforcement of all civil rights laws; regulations and Executive Orders for which the Department is responsible; performs activities to ensure compliance with external civil rights programs; and reviews the Operating Administrations' enforcement of these authorities. See 49 CFR 1.41.	No

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

-The "Hearing Examiners" are appointed or detailed to the agency pursuant to the statutes governing appointment or detailing of ALJs. See 49 CFR 21.15(b) (citing 5 U.S.C. 3105 and 5 U.S.C. 3344); see also 49 CFR 27.127(c) (naming ALJs directly as the hearing officers).

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

Supplementary Caseload Statistics by Case Type:

Verified by Agency:

Not verified

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DOTRCVRT0017 - Hearing Level - Procedures