Other Fields
Agency Scheme: 
DOENOOHA0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Hearings and Appeals
Name of Hearing Office (global name): 
Department of Energy: Office of Hearings and Appeals
Hearing Officer #1 (Title): 
Administrative Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

This is an informal adjudication scheme involving a variety of cases, including cases involving personnel security, "whistleblower," FOIA, payments-equal-to-taxes under the Nuclear Waste Policy Act of 1982, the alternative fuels transportation program, and exceptions. The Office of Hearings and Appeals (OHA) administrative judges preside over hearings, their authority having been delegated from the Secretary of Energy. A hearing before an administrative judge is the last administrative review step for some matters (e.g., FOIA/Privacy Act appeals, and petitions for redress and exceptions). Personnel security and whistleblower matters may be appealed.

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
About what percentage of private parties were represented at hearings (FY2013)?: 
50.00%
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 Pt 1003; 218.32; 430.27; 431.401; 451.10; Pt 490; Pt 708 Subpts B & C; 710.20-710.28; 712.21-712.22, 1046.15
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.): 
Discovery includes depositions and documents produced in response to a subpoena. See 10 CFR 1003.8; 10 CFR 708.28.
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
Video
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
20%
In-Person: 
20%
Video: 
60%
How is the type of hearing selected: 
By Agency
By Private Party
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
Witness testimony is permitted at evidentiary hearings. This question is not applicable to document-only hearings.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
Cross-examination is permitted at evidentiary hearings. This question is not applicable to document-only hearings.
Are hearings recorded and/or transcribed?: 
Yes
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
Hearings are presumed open, but may be closed under certain conditions (see 10 CFR 1003.62(a)). This question is not applicable to document-only hearings.
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?: 
Yes (Some Types of Cases)
If "Yes," please specify these time limit(s): 
Whistleblower cases: Decision issued within 60 days after (whichever is later): (1) cancellation of the hearing; (2) receiving a transcript of the hearing; or (3) receiving post-hearing submissions. 10 CFR 708.30(a) Medical certification disqualification cases: Decision issued within 45 days after closing the record. 10 CFR 1046.15(d)
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?: 
Other
Please briefly describe your case management practice(s) at the hearing level stage: 
Generally on a first-in/first-out basis. However, this may vary based upon the complexity of the issues presented and unforeseen difficulty in scheduling the hearing.
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: 
All decisions except those involving classified or other sensitive information (PII).
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: 
No
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
OHA's general procedural regulations are set forth at 10 CFR Part 1003, and may be used for adjudicating most matters. A party may file its documents by e-mail, mail, or fax. See 10 CFR 1003.11. The procedures applicable to certain areas of jurisdiction are specified in the regulations concerned, for example 10 CFR Part 708 ("whistleblower", 10 CFR Part 710 (personnel security) and 10 CFR Part 1004 (FOIA). The Federal Rules of Evidence do not apply, but may be used as a guide for procedures during the course of a hearing.
ADJUDICATORS
Total # of Hearing Officers: 
12
Comments/Notes on Hearing-Level Adjudicators (Optional): 
This is a description of an Administrative Judge's authority: "The Presiding Officer may administer oaths or affirmations, rule on objections to the presentation of evidence, receive relevant material, require the advance submission of documents offered as evidence, dispose of procedural requests, determine the format of the hearing, modify any order granting a Motion for Evidentiary Hearing, direct that written motions, documents or briefs be filed with respect to issues raised during the course of the hearing, ask questions of witnesses, issue subpoenas, direct that documentary evidence be served upon other parties (under protective order if such evidence is deemed confidential) and otherwise regulate the conduct of the hearing." 10 CFR 1003.62(h). See also 10 CFR 710.26, 10 CFR 708.28.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
Yes
If "Yes," when is ADR available?: 
Before Claim/Case Filed
Pre-Hearing
Post-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
What type(s) of ADR are available?: 
Mediation
Arbitration
Other
If "Other," please specify:: 
Other types of ADR provided include: facilitation, neutral evaluation, mini-trials, peer review panels, ombuds, and partnering.
Who conducts the ADR?: 
Agency ADR Official
Comments/Notes on ADR Process (Optional): 
ADR is provided through the Office of Conflict Prevention and Resolution (http://energy.gov/oha/services/applications-exceptions/alternative-dispute-resolution).
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
266
Verified by Agency: 
Verified