Other Fields
Agency Scheme: 
Appeal Level One
Appeals: Basic Structure
Appeal Office (local name): 
Office of the Secretary
Appeal Officer #1 (Title): 
Commission/Commission Member(s)
Are administrative appeals permitted from final decisions issued by this appellate office?: 
Comments/Notes on Adjudication Structure: 
Appellate review by the Commission of written initial decisions issued by NRC presiding officers (other than Commission members) -- primarily Atomic Safety and Licensing Board panels -- relating to a variety program-related areas and hearing tracks (e.g., Part 2/Subparts C, G, J, L & N), as well as several non-program areas for which appeals are available. These non-program areas are: (1) non-discrimination in federally-assisted programs under Title VI, section 504 of the Rehabilitation Act, Age Discrimination Act, and Title IX (see 10 CFR Parts 4 & 5); and, (2) civil penalities under the Program Fraud Civil Remedies Act (see 10 CFR Part 13). The Commission is assisted in its appellate review by the Office of Commission Appellate Adjudication. (*Note: Formal hearing-level proceedings on the non-program areas listed above (i.e., non-discrimination in federally-assisted programs and PFCRA) are conducted by ALJs, and are covered under Scheme Code NRCOALJ0002. Only appellate proceedings on these non-program matters are consolidated on this form, along with program-related appeals.)
PROCESS & PROCEDURE - General Information
Which party (or parties) is/are permitted to file appeals with this office?: 
Private Party
Are private parties permitted to have representation at appeal hearings?: 
Yes (All Types of Cases)
Who may serve as a private party representative?: 
Is the agency permitted to have representation at appeal hearings?: 
Yes (Some Types of Cases)
Who may serve as an agency representative?: 
Are ex parte contacts prohibited?: 
Yes (All Types of Cases)
Regulations/rules of practice for appeal hearings (please include CFR citations): 
10 CFR 2.341 (subpt. C), 2.700 & 2.713 (subpt. G), 2.1000 (subpt. J incorporation of certain C & L provisions), 2.1212 (subpt. L), 2.1407 (subpt. N)
PROCESS & PROCEDURE - Hearing Procedure
What types of hearings are permitted on appeals adjudicated by this office?: 
Written (Document-Only) Hearing
Please provide the approximate percentage of each type of hearing relative to the total number of appeal hearings (FY2013)
Written (Document-Only) Hearing: 
How is the type of hearing selected for appeals heard by this office?: 
Depends on Nature of Case/Claim
If "Depends on Nature of Case/Claim", please describe: 
Appeals reviewed under Subparts C, G, J, & L: Commission may permit oral argument at its discretion. (See, e.g. 2.343) Appeals reviewed under Subpart N: Oral argument before Commission not expressly provided in regulatory provision governing appeals. (10 CFR 2.1407)
How many appeal officers preside at each hearing?: 
Four or More
Is factual development permitted at the appellate hearing as a means of supplementing the record from below?: 
Can third-parties submit amicus briefs and/or evidence?: 
Are appeal hearings recorded and/or transcribed?: 
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts final decisions on appellate cases adjudicated by this office?: 
Staff Attorney
If "Other/Varies by Case," please describe: 
NRC's Office of Commission Appellate Adjudication (OCAA) assists the Commission in its appellate review function. Staff within OCAA, according to NRC's website, "analyze issues on appeal, examine legal or procedural options, provide advice to the Commision and drafts of decisions for Commission consideration." (See NRC web site: http://www.nrc.gov/about-nrc/regulatory/adjudicatory/commission-respons.html)
Who has authority to issue final decisions on appellate cases adjudicated by this office?: 
Adjudication Officer
If "Other/Varies by Case," please specify: 
The Dep. Exec. Director for Info. Services & Admin. and Chief Info. Officer
Do agency regulations or guidance provide time limits for issuance of final decisions on appellate cases?: 
If "Yes," please specify these time limit(s): 
For issuance of debarment/termination and cost disallowance decisions, the President (or designee) shall generally issue a written decision within 30 days of request for review. (45 CFR 1606.10(d)). For suspensions, the President shall issue a written decision within 15 days of the receipt for the appeal. (45 CFR 1623.4(h)(3)).
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: 
Cases involving civil penalties, program fraud civil remedies, and Indian housing hearings all have a right to Judicial Review while others involving suspension and debarment as well as salary offset cases do not have a right to Judicial Review.
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of briefs or other documents in cases adjudicated by this appellate office?: 
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?: 
If "Yes," please provide citation(s): 
10 CFR 10.32(b)-(c)
Do agency regulations/rules of practice provide for closure of the record on appeals heard by this office?: 
If "Yes," please provide citation(s): 
10 CFR 10.32(b)-(c)
Comments/Notes on Appellate Process & Procedures (Optional): 
The regulations make no reference to oral argument before the NRC Personnel Security Review Panel. The Panel appears to make its decisions solely based on the record supplemented by any written briefs and transcribed supplemental testimony (taken in front of another official). See 10 CFR 10.32(b)-(c). Thus, it assumed that appeal hearings before the Panel are written (document-only) hearings.
Total # of Appeal Officers: 
Comments/Notes on Appellate Adjudicators (Optional): 
For reviews related to limited reductions in funding or suspensions, 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(h)(1))
ADR: General Information
Is ADR available at one or more points for appellate cases heard by this office?: 
If "Varies by Case," please describe:: 
Subpart J Proceedings: No limitations on ADR availability. The Commission or ALJ may order parties to appear before a settlement judge, or the parties may, upon motion, seek consent to use other ADR processes under their own proposed ADR proposal. If the latter is approved, such ADR efforts "will be voluntary procedures that supplement rather than limit other available dispute resolution techniques." (18 CFR 385.604(a))
If "Other," please specify:: 
For Subpart J proceedings, ADR methods may include, in addition to mediation, settlement conferences, and arbitration, such methods as: conciliation, facilitation, factfinding, minitrials, or any combination of these methods. (18 CFR 385.604)
Regulations/rules of practice governing ADR process (please include CFR citations): 
18 CFR pt. 385, subpt. F
Verified by Agency: 
Not verified