Other Fields
Agency Scheme: 
DHSCCGFM0005
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Chief Administrative Law Judge
Name of Hearing Office (global name): 
Department of Homeland Security: Office of the Chief Administrative Law Judge
Hearing Officer #1 (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: 

The Coast Guard uses formal adjudication proceedings in three particular case types: 1) Class II civil penalties assessed under subsection 311(b) of the Federal Water Pollution Control Act (33 U.S.C. 1321(b)(6)); 2) Class II civil penalties assessed under section 109 of the Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C. 9609(b)); and 3) Suspensions and revocations conducted under 46 U.S.C. Chapter 77. See 33 CFR 20.101

Hearings are conducted by an ALJ in accordance with the APA. The ALJ makes an initial decision, which may be appealed to the Commandant of the Coast Guard. If the ALJ's decision is not appealed, it becomes the final agency decision.

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?: 
Either
Regulations/rules of practice for hearings (please include CFR citations): 
33 CFR part 20, all subparts
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.): 
Witness lists with expected testimony, exhibits. Further forms of discovery are available only by ALJ's order, including interrogatories, depositions, and document production. 33 CFR 20 Subpart F.
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
Phone
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
15%
In-Person: 
84%
Video: 
0%
Phone: 
1%
How is the type of hearing selected: 
By Private Party
Please describe: 
Respondent is provided with an Answer form which allows respondent to request a hearing.
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?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Yes (Hearings Always Open/All Types of Cases)
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Staff Attorney
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?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at the hearing-level stage?: 
Differentiated Case Management
Please briefly describe your case management practice(s) at the hearing level stage: 
Cases are assigned on a first-in/first-out basis; however once a case is assigned to an ALJ, motion practice or discovery can affect processing of an adjudication.
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: 
Contested hearings that result with an in-person hearing resulting in a decision and order. The decision and order will contain findings of facts, conclusions of law, legal analysis, conclusion and a sanction (if the allegation(s) is found proved). Other adjudications that result in a default motion or settlement are posted if unique or substantive issues are discussed.
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (All Types of Cases)
If "Yes," please provide citation(s): 
33 CFR 20.903(a)
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)
If "Yes," please provide citation(s): 
33 CFR 20.709
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Expedited hearings are available whenever the Coast Guard suspends a mariner's credential without a hearing under 46 U.S.C. 7702(d). See 33 CFR 20 Subpart L.
ADJUDICATORS
Total # of Hearing Officers: 
6
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
Yes
WRAP-UP
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.: 
Our program created forms that are commonly used/needed by the public to file with the ALJ. These forms are free and located on our website. Also, we formally implemented a nation-wide pro bono program for unrepresented mariners.
Setting aside budgetary or legislative constraints (if any), does your agency have a "wish list" of processes or procedures (e.g: 
Ability to electronically file and provide parties with an electronic docket granting access to all pleadings.
Verified by Agency: 
Verified