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IMLSNOND0002 - Hearing Level - Procedures

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Agency Scheme:

IMLSNOND0002

ADJUDICATION STRUCTURE

Hearing Level: Basic Structure

Name of Hearing Office (local name):

Office of General Counsel

Name of Hearing Office (global name):

Institute for Museum and Library Services: Office of General Counsel

Hearing Officer #1 (Title):

Director (or Designee)

Hearing Officer #2 (Title):

Director's Designee (as needed)

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

Yes (Some Types of Cases)

Comments/Notes on Adjudication Structure:

Formal adjudication proceedings to suspend, terminate, or deny IMLS funding to program participants or applicants based on a finding of noncompliance with requirements under Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), which prohibits recipients of federal financial assistance from discriminating on the basis of race, color, or national origin in the operation of their programs.

Hearings may be in-person (evidentiary) or on the written record only, at the election of the applicant or recipient. Hearings are held before either the "responsible Endowment official," who may be the Director (or his/her designee) or, at the responsible Endowment official's discretion, before a hearing examiner (administrative law judge) appointed in accordance with section 11 of the Administrative Procedure Act. (45 CFR 1110.8(b), 1110.9, also 5 U.S.C. 3105).

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

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):

45 CFR part 1110

PROCESS & PROCEDURE - Pre-Hearing Procedure

Is discovery permitted by either party at the hearing-level stage?:

Yes (Some Types of Cases)

Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.):

As noted in 45 CFR 1110.9(d), the hearing, decision, and any administrative review is conducted in conformity with 5 U.S.C. 554-557.

Does the hearing officer have subpoena authority?:

Yes (Some Types of Cases)

Are ex parte contacts prohibited?:

Yes (Some 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?:

20 Days

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

By Private Party

How many hearing officers preside at each hearing?:

One

Is witness testimony permitted at hearings?:

Yes

Can parties cross-examine witnesses?:

Yes

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

Adjudication Officer Discretion

Are hearings recorded and/or transcribed?:

Yes

PROCESS & PROCEDURE - Post-Hearing Procedure

Who typically drafts the decision at the hearing-level stage?:

Adjudication Officer

Staff Attorney

Other

If "Other," please specify (drafts):

* Decision by person other than the responsible Endowment (IMLS) official ("REO"): If the hearing is held by a hearing examiner, such hearing examiner will either make an initial decision, if so authorized, or certify the entire record including his/her recommended findings and proposed decision to the REO for a final decision. Where the initial decision is made by the hearing examiner, the applicant or recipient may, within 30 days, file with the REO his/her exceptions to the initial decision." (45 CFR 1110.10(a), see also 1110.10(b) and (c))

Who has authority to issue final decisions?:

Adjudication Officer

Other

If "Other," please specify:

Hearing examiner initial decisions (when issued) become the final decision of the responsible Endowment (IMLS) official ("REO") when no exceptions or REO "own motion" reviews are filed. Decisions issued by the REO are final decisions. However, by rule, all final decisions are subject to "approval" by the Director. (45 CFR 1110.9(c), 1110.10(e)).

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

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)

If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe:

Final decisions with precedent value are published.

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

Information About Officer:

Adjudication Officer Title	Job Series	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:
Director (or Designee)			No	The official has other agency program and/or administrative duties.	No
Director's Designee (as needed)	0935-Administrative Law Judge	Yes	No	The official has other agency program and/or administrative duties.	Yes	The position is not full-time; the employee is annually evaluated on how well he/she has performed his/her duties throughout the year.

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

Is ADR a mandatory or voluntary process?:

Voluntary

What type(s) of ADR are available?:

Settlement Conference

Who conducts the ADR?:

Agency ADR Official

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:

Verified by Agency:

Verified

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IMLSNOND0002 - Hearing Level - Procedures