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DOTRSHIP0014 - Hearing Level - Procedures

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Agency Scheme:

DOTRSHIP0014

ADJUDICATION STRUCTURE

Hearing Level: Basic Structure

Name of Hearing Office (local name):

Office of the Administrator

Name of Hearing Office (global name):

Department of Transportation: Office of the Administrator

Hearing Officer #1 (Title):

Associate Administrator for Seaway Operations

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

Yes (All Types of Cases)

Comments/Notes on Adjudication Structure:

The operative regulation names the Associate Administrator as the hearing official for these cases in the first instance. See 33 CFR 401.203. Although there are two Associate Administrators, the regulations appear to reference the Associate Administrator for Seaway Operations is the Associate Administrator. See http://www.greatlakes-seaway.com/en/pdf/fy2012ar.pdf (organizational chart, p.36).
-Cases begin with the Associate Administrator and are appealed to the Administrator (i.e., the agency head). See 33 CFR 401.203.

PROCESS & PROCEDURE - General Information

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

33 CFR 401.203(a) - (c), (e)

PROCESS & PROCEDURE - Pre-Hearing Procedure

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

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

ADJUDICATORS

Total # of Hearing Officers:

1

Information About Officer:

Adjudication Officer Title
Associate Administrator for Seaway Operations

ADR: General Information

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

Yes

If "Yes," when is ADR available?:

Pre-Hearing

Post-Hearing

Is ADR a mandatory or voluntary process?:

Voluntary

What type(s) of ADR are available?:

Other

If "Other," please specify::

Respondent petitioning for full remittance or mitigation of the penalty assessed

Who conducts the ADR?:

Agency Counsel

Regulations/rules of practice governing ADR process (please include CFR citations):

33 CFR 401.203(b) (c)

Comments/Notes on ADR Process (Optional):

-The Associate Administrator has the ability to mitigate the penalty or remit it in full upon petition, counted in this scheme as a method of ADR. This process is only triggered if the Associate Administrator decides to impose a penalty and the respondent files a petition for relief within 15 days. See 33 CFR 401.203(b).

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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DOTRSHIP0014 - Hearing Level - Procedures