Other Fields
Agency Scheme: 
DOTRNPRC0008
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Assistant Secretary for Administration
Name of Hearing Office (global name): 
Department of Transportation: Office of the Assistant Secretary for Administration
Hearing Officer #1 (Title): 
Assistant Secretary for Administration
Hearing Officer #2 (Title): 
Fact-finding official
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
No
Comments/Notes on Adjudication Structure: 

-The applicable regulations define both the "debarring official" and the "suspending official" who hears these cases as the agency head or his designee. See 2 CFR 180.930, 180.1010. Though those regulations do not specify who the designee might be if the agency head is not hearing the case, other sections suggest that the Assistant Secretary for Administration has been delegated authority to oversee both procurement and nonprocurement/financial assistance transactions. See 49 CFR 1.38(a). Hence, I assume that this Assistant Secretary and his Office are the relevant hearing officer and hearing office.
-The regulations briefly provide that the suspending or debarring official "may refer disputed material facts to another official for findings of fact," which he may then reject only after finding them to be arbitrary, capricious or clearly erroneous." 2 CFR 180.750(b); 2 CFR 180.845(c). I have therefore named "Fact-finding official" as a Hearing Officer 2.

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Is the agency permitted to have representation at hearings?: 
No
Regulations/rules of practice for hearings (please include CFR citations): 
2 CFR 180.715 - 180.755; 2 CFR 180.815 - 180.885.
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
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 Agency
Depends on Nature of Case/Claim
Please describe: 
-The regulations provide that the agency suspending or debarring official determines when "additional factfinding" is needed based on certain criteria (e.g., when the suspension/debarment is not based upon a conviction or civil judgment and the respondent raises a genuine dispute of fact). See 2 CFR 180.735 and 180.830. That "additional factfinding" is the first proceeding equivalent to an oral hearing where respondents can present and cross-examine witnesses. See 2 CFR 180.745 and 180.840. Contested suspensions or debarments without such additional factfinding are more informal, allowing parties to present information in opposition orally, but more likely contemplating that they will do so in writing. See 2 CFR 180.720 and 180.815.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
-In those cases where "additional factfinding" proceedings (i.e., a true oral hearing) are held, parties have the opportunity to present and cross-examine witnesses. See 2 CFR 180.745 and 2 CFR 180.840.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
-In those cases where "additional factfinding" proceedings (i.e., a true oral hearing) are held, parties have the opportunity to present and cross-examine witnesses. See 2 CFR 180.745 and 2 CFR 180.840.
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
-In those cases where there is no "additional factfinding" and the respondent presents information in opposition to the suspension/debarment in writing only, there is effectively no hearing to open to the public. As for cases where "additional factfinding" is held, the regulations are silent as to whether such hearings are 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?: 
Yes (All Types of Cases)
If "Yes," please specify these time limit(s): 
See 2 CFR 180.755 - "The suspending official must make a written decision whether to continue, modify, or terminate your suspension within 45 days of closing the official record." See also 2 CFR 180.870(a) - "The debarring official must make a written decision whether to debar within 45 days of closing the official record."
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?: 
Yes (All Types of Cases)
If "Yes," please provide citation(s): 
2 CFR 180.755 and 180.870(a) - ""The official record closes upon the [suspending or debarring] official's receipt of final submissions, information and findings of fact, if any."
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): 
2 CFR 180.755 and 180.870(a) - "The official record closes upon the [suspending or debarring] official's receipt of final submissions, information and findings of fact, if any. The [suspending or debarring] official may extend that period for good cause."
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
-The regulations do not specify exactly who may represent private parties. They do provide that private parties "or [their] representative[s]" must provide information in opposition if they wish to contest these punishments, but they do not define the term "representative." See 2 CFR 180.720; 2 CFR 180.815. -As these proceedings are more inquisitorial than adversarial in nature, with the private party alone presenting additional facts in front of the suspending or debarring official, I have answered that the agency is not represented. The regulations clarify that the agency bears the burden to establish a cause for debarment in such actions, see 2 CFR 180.855, but the burden immediately shifts to the respondent to show that debarment is not warranted. Id. Most likely, the suspending or debarring official (who initiates and presides over the proceedings) briefly establishes the cause for punishment and the hearings focus on the respondent's rebuttal. -There is no express provision for discovery in the regulations. Though the initial suspension/debarment notices must disclose the proposed action and the causes for it, they must only do so "in terms sufficient to put [the respondent] on notice" without disclosing the Government's evidence. 2 CFR 180.715(c); 2 CFR 180.805(b). -In those cases where additional factfinding is permitted, the regulations state that "the [suspending or debarring] official or designee must conduct additional proceedings to resolve those facts." 2 CFR 180.735(c); 2 CFR 180.830(c). Considering that respondents in those cases may present witnesses and confront the witnesses against them, see 2 CFR 180.745(a) and 2 CFR 180.840(a), notice of the hearing is necessarily implied.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
Yes
If "Yes," when is ADR available?: 
Before Claim/Case Filed
Pre-Hearing
Post-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
What type(s) of ADR are available?: 
Settlement Conference
Who conducts the ADR?: 
Agency Program Official
Regulations/rules of practice governing ADR process (please include CFR citations): 
2 CFR 180.635 - 180.645
Comments/Notes on ADR Process (Optional): 
The regulations above set out the agency's general settlement authority in nonprocurement suspension and debarment matters. See 2 CFR 180.635 (stating that "a Federal agency may settle a debarment or suspension action at any time if it is in the best interest of the Federal Government"). This compromise authority is counted as ADR for purposes of this study.
Verified by Agency: 
Not verified