Other Fields
Agency Scheme: 
DOSARMSC0006
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Defense Trade Controls Compliance
Name of Hearing Office (global name): 
Department of State: Office of Defense Trade Controls Compliance
Sub-Agency/Bureau/Division:: 
Directorate of Defense Trade Controls
Hearing Officer #1 (Title): 
Administrative Law Judge
Hearing Officer #2 (Title): 
Asst. Secty. for Politico-Military Affairs
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

Formal enforcement proceedings by the Department of State under the Arms Export Control Act. (22 CFR Part 128). Sanctions may include: statutory debarment, administrative debarment, or civil penalties. Proceedings are initiated by the DOS Directorate of Defense Trade Controls with a charging letter. After the hearing, if evidence is sufficient to sustain the charge(s), the ALJ issues a recommended decision to the Assistant Secretary for Politio-Military Affairs. Accordingly, Administrative Law Judge is listed as "Hearing Officer #1," and the Assistant Secretary is listed as "Hearing Officer #2."

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?: 
Attorney
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): 
22 CFR Part 128
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.): 
The respondent, through the ALJ, may request relevant, non-privileged documents from the Directorate of Defense Trade Controls that "may be necessary or helpful in preparing a defense." The Directorate (or the ALJ) may also propound discovery requests on the respondent so long as "relevant and material." (22 CFR 128.6(a) - (b))
Does the hearing officer have subpoena authority?: 
Yes (All Types of Cases)
Are ex parte contacts prohibited?: 
No
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
How is the type of hearing selected: 
Depends on Nature of Case/Claim
Please describe: 
Respondents may request oral hearings. The ALJ will conduct a hearing unless the answer fails to raise material factual issues for determination. (22 CFR 128.8(a))
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
If an oral hearing is conduct, witness testimony is permitted. Not applicable for "paper" hearings. (22 CFR 128.8 - 128.9)
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
If an oral hearing is conduct, cross-examination of witnesses is permitted. Not applicable for "paper" hearings. (22 CFR 128.8 - 128.9)
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
If an oral hearing is held, it will always be closed. 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
Other
If "Other," please specify: 
The ALJ can issue a final dismissal decision if the charge(s) are not sustained. If the charge(s) are sustained, then the ALJ issues a recommended decision to the Assistant Secretary, who issues a final decision.
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
How are claims/cases processed at the hearing-level stage?: 
First-In/First-Out Basis
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?: 
Yes (All Decisions)
If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe: 
Arms control decisions are made available in the DOS public reading room. (22 CFR 128.17)
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
ADJUDICATORS
Total # of Hearing Officers: 
1
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Verified by Agency: 
Not verified