Other Fields
Agency Scheme: 
USDCPDIS0023
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
HUD Office of Administrative Law Judges
Name of Hearing Office (global name): 
Department of Commerce: HUD Office of Administrative Law Judges
Sub-Agency/Bureau/Division:: 
HUD (by delegation from U.S. PTO)
Hearing Officer #1 (Title): 
Administrative Law Judge
Hearing Officer #2 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

HUD Administrative Law Judges hear these cases for U.S. Patent and Trademark Office.

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): 
37 CFR Part 11, Subpart C
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.): 
Apart from a pre-hearing statement to be issued prior to the hearing at the request of the hearing officer, a party may be entitled to reasonable and relevant discovery at the discretion of the hearing officer including: "[1] a reasonable number of written requests for admission or interrogatories; (2) Produce for inspection and copying a reasonable number of documents; and (3) Produce for inspection a reasonable number of things other than documents." See 37 CFR 11.52(a). Depositions may be taken for use at the hearing in lieu of the personal appearance of a witness upon a showing of good cause and approval of the hearing officer. See 37 CFR 11.51(a).
Does the hearing officer have subpoena authority?: 
Yes (All Types of Cases)
Are ex parte contacts prohibited?: 
Yes (All Types of Cases)
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
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
In-Person: 
100%
How is the type of hearing selected: 
By Agency
Required by Rule
Please describe: 
No hearing conducted in cases resolved by default or summary judgment.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Yes
If "Varies by Case," please describe: 
Permitted at in-person hearings.
Can parties cross-examine witnesses?: 
Yes
If "Varies by Case," please describe: 
Permitted at in-person hearings.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Presumed Closed (But May Be Open Under Certain Conditions)
If "Varies by Case," please describe: 
Presumed closed (but may be open under certain circumstances) for in-person hearings. N/A for document-only hearings. Closed hearing unless Respondent waives privacy right.
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
About how long does it take on average—as of FY2013—to adjudicate claims/cases at the hearinglevel stage (i.e., from case filing: 
150 Days
Is judicial review available after issuance of a final decision?: 
No
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 (All Decisions)
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: 
Yes (All Types of Cases)
ADJUDICATORS
Total # of Hearing Officers: 
2
Comments/Notes on Hearing-Level Adjudicators (Optional): 
Hearing officer's are appointed by the Director of the USPTO but cannot be subject to supervision by the Director or the Director of the Office of Enrollment and Discipline. See 37 CFR 11.39(b)(1).
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
If "Varies by Case," please describe:: 
(Cases may be settled by the parties before the hearing)
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
10
Total # Cases Decided/Closed (FY2013): 
3
Total # Cases Pending (End of FY2013): 
7
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
No
WRAP-UP
Are there distinctive or innovative features of the hearing-level adjudication program covered on this form that you wish to hig: 
With approval of OPM, USPTO and HUD entered an Interagency Agreement for HUD to provide ALJs (and professional and administrative staff) to adjudicate attorney discipline cases brought by USPTO.
Verified by Agency: 
Verified