Other Fields
Agency Scheme: 
LSCODBAR0001
Level: 
Appeal Level One
ADJUDICATION STRUCTURE
Appeals: Basic Structure
Appeal Office (local name): 
Office of the President
Appeal Office (global name): 
Legal Services Corporation: Office of the President
Appeal Officer #1 (Title): 
President
Appeal Officer #2 (Title): 
Designee
Are administrative appeals permitted from final decisions issued by this appellate office?: 
No
Comments/Notes on Adjudication Structure: 
These procedures involve enforcement proceedings by LSC against funding recipients (i.e., LSC grantees or contractors) relating to proposed adverse actions based on alleged substantial noncompliance with, or violation of, the Legal Services Corporation Act or other applicable laws or regulations or substantial failure to provide high quality, economical, and effective legal assistance. (45 CFR Parts 1606 & 1623) Enforcement actions are initiated when LSC issues written notice of its preliminary decision to terminate funding (by 5% or greater), reduce funding (by less than 5%), suspend funding, or debar a recipient from future grants or contract. Recipient's are permitted written (document-only) hearings, informal conferences, or a hearing before an impartial decision maker depending on the nature of the proposed LSC action. Disallowed costs, 45 CFR Part 1630, also follow procedures involving written (document-only) hearings. Appeals are permitted to the LSC President in all situations except for suspensions of 30 days or less or disallowed costs that do not exceed $2,500.
PROCESS & PROCEDURE - General Information
Which party (or parties) is/are permitted to file appeals with this office?: 
Either
Are private parties permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Either
About what percentage of private parties were represented at hearings (FY2013)?: 
0.00%
Is the agency permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as an agency representative?: 
Either
Are ex parte contacts prohibited?: 
No
Regulations/rules of practice for appeal hearings (please include CFR citations): 
45 CFR 1606.10 (debarment/termination), 1623.4(h) (suspension), 1630.7 (cost disallowances)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
In-Person
Video
Phone
Please provide the approximate percentage of each type of hearing relative to the total number of appeal hearings (FY2013)
Written (Document-Only) Hearing: 
100%
How is the type of hearing selected for appeals heard by this office?: 
By Private Party
Required by Rule
How many appeal officers preside at each hearing?: 
One
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
Yes (All Types of Cases)
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are appeal hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
This question is not applicable to document-only hearings.
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Staff Attorney
Who has authority to issue final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?: 
Yes (All Types of Cases)
If "Yes," please specify these time limit(s): 
For cost disallowance decisions, the President (or designee) shall act on the appeal within 30 days of the request for review. 45 CFR 1630.7(f). For suspensions of more than 30 days, the President shall issue a written decision within 15 days of the receipt for the appeal. 45 CFR 1623.4(h)(3). For terminations, limited reductions of funding and debarments, the President shall act on the appeal within 30 days of the request for review. 45 CFR 1606.10(e).
Is judicial review available after issuance of a final decision on appellate cases adjudicated by this office?: 
Yes (Some Types of Cases)
If "Yes (Some Types of Cases)," please describe types of decisions/cases that are judicially reviewable: 
Judicial review is not provided for in the regulatory process but grantees may challenge final LSC decisions under a rational basis standard.
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at this appellate office?: 
First-In/First-Out Basis
Please briefly describe your case management practice(s) at this office: 
Appeals are infrequent and handled immediately.
Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?: 
No
Are final decisions issued by this appellate office published and/or posted on the agency website?: 
Yes (All Decisions)
Do agency regulations/rules of practice specify the contents of the administrative record on appeals heard by this office?: 
No
Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?: 
No
PROCESS & PROCEDURE
Comments/Notes on Appellate Process & Procedures (Optional): 
For debarments or terminations (of 5% or greater), the recipient may request a document review or informal conference and then request a de novo hearing before an impartial hearing officer as a first level of "appeal" prior to appeal to the LSC President. 45 CFR 1606.8.
ADJUDICATORS
Total # of Appeal Officers: 
1
Comments/Notes on Appellate Adjudicators (Optional): 
For reviews related to limited reductions in funding, suspensions, or disallowed costs, if the President was involved in the underlying decision, then appellate review is conducted by an impartial senior LSC official who has had no prior involvement in the matter. 45 CFR 1606.10(d), 1623.4(h)(1), 1630.7(f).
ADR: General Information
Is ADR available at one or more points for appellate cases heard by this office?: 
Yes
If "Yes," when is ADR available?: 
Pre-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
Varies by Case
If "Varies by Case," please describe:: 
All of these procedures, except for disallowed costs, include an option for an informal conference which is meant to provide a non-adversarial forum for addressing the proposed LSC action. Appeals to the President occur after the informal conference.
What type(s) of ADR are available?: 
Settlement Conference
Other
If "Other," please specify:: 
All of these procedures, except for disallowed costs, include an informal conference which is meant to provide a non-adversarial forum for addressing the proposed LSC action. For terminations, limited reductions of funding, or debarments, LSC may permit the recipient to avoid the action through adoption of corrective actions. 45 CFR 1606.7. Appeals to the President occur after the informal conference or failure of corrective actions.
Who conducts the ADR?: 
Agency Program Official
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
1
Total # Cases Decided/Closed (FY2013): 
1
Total # Cases Pending (End of FY2013): 
0
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
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.: 
LSC is not a federal agency or a part of the federal governments, but has the equivalent agency role and responsibility regarding grants that LSC awards pursuant to the LSC Act using Congressionally appropriated funds. 42 USC 2996d(e) and 2996e. LSC has very few proceedings that might be considered adjudications.
Verified by Agency: 
Verified