Other Fields
Agency Scheme: 
DOENCIVP0004
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the General Counsel
Name of Hearing Office (global name): 
Department of Energy: Office of the General Counsel
Hearing Officer #1 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

The agency conducts an investigation to determine whether a violation occurred and files a complaint. The person(s) to which the complaint(s) is/are directed may file an answer and request a hearing, or may waive the right to a hearing. In the event a hearing takes place, an administrative law judge (ALJ) presides and issues an initial decision. The initial decision of the ALJ may become the agency's final decision, unless modified sua sponte by either the Secretary (see 10 CFR 820.32) or the General Counsel (see 10 CFR 429.126(c)(1)), or appealed to the Secretary.

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): 
10 CFR Part 820; Part 1013; 429.124-429.126; 431.387; 501.165-167; 1017.29(i)-(n)
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.): 
Each party must share with all other parties the names of both expert and lay witnesses along with a brief summary of their anticipated testimony, as well as copies and exhibits each party expects to introduce into evidence. See 10 CFR 820.28. In civil penalty cases under the Program Fraud Civil Penalties Act, the defendant may review any relevant and material documents, including those that either condemn or exculpate him or her, unless the documents are privileged. Documents should be made available for both inspection and copying. Depositions may also be required. See 10 CFR 1013.20, 1013.21, 1017.29(k)(6).
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?: 
In-Person
How is the type of hearing selected: 
Required by Rule
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Adjudication Officer Discretion
Can parties cross-examine witnesses?: 
Adjudication Officer Discretion
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Presumed Open (But May Be Closed Under Certain Conditions)
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
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
Does the agency permit web-based electronic filing of hearing-related briefs or other documents?: 
No
Are final decisions published and/or posted on the agency website?: 
No
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (Some Types of Cases)
If "Yes," please provide citation(s): 
10 CFR 1013.35
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
Yes (Some Types of Cases)
If "Yes," please provide citation(s): 
10 CFR 820.30
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
The alleged violator may opt to forgo a hearing and have a civil penalty immediately assessed. See 10 CFR 429.128, 501.166(a)(2) Unless otherwise noted, the default hearing procedures are the Federal Rules of Evidence. 10 CFR 820.29, 1013.34 The agency bears the burden of establishing that a violation occurred. Once that burden has been met, the alleged violator bears the burden of any defense. The evidentiary standard is: preponderance of the evidence. See 10 CFR 820.29, 1013.30 The ALJ has the authority, subject to certain restrictions, to issue a default order or an accelerated order. See 10 CFR 820.33, 820.34 The ALJ may, by motion or sua sponte, consolidate any or all matters at issue in two or more enforcement proceedings. See 10 CFR 820.38
ADJUDICATORS
Total # of Hearing Officers: 
14
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Verified by Agency: 
Not verified