Other Fields
Agency Scheme: 
DOTRDEBT0018
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Assistant Secretary for Budget and Programs, or Office of the Assistant Secretary for Administration, or Head of the Operating Administration
Name of Hearing Office (global name): 
Department of Transportation: Office of the Assistant Secretary for Budget and Programs, or Office of the Assistant Secretary for Administration, or Head of the Operating Administration
Hearing Officer #1 (Title): 
Hearing Official
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
No
Comments/Notes on Adjudication Structure: 

-Identifying specific hearing officers and hearing offices in complicated by the fact that this form attempts to capture four types of debt collection in one scheme. The regulation pertaining to administrative offsets does not name a hearing officer, deferring to the procedures governing salary offsets. See 49 CFR 89.25(c) (citing 49 CFR Part 92). The salary offset procedures, in turn, state that hearings must be informal conferences before an administrative law judge or other hearing official not under the control of the Department. See 49 CFR 92.17(a) (citing 49 CFR 92.5(j)). The procedures for administrative wage garnishments take a similar tack, calling for a "hearing official" defined as "a qualified individual selected at the discretion of the Secretary" who may be an ALJ. 49 CFR 89.35(b); see also 31 CFR 285.11(f)(6). As all of these cases call for a "hearing official" who may or may not be an ALJ, I have simply named "Hearing Official" as the Hearing Officer 1.

-I have identified three possible hearing offices because of 49 CFR 89.5. That section, governing debt collection generally, divides collection authority among two Assistant Secretaries (in the Office of the Secretary) and the head of the appropriate DOT operating administration (outside the Office of the Secretary) based on the activities from which the debt arises.

PROCESS & PROCEDURE - General Information
Are private parties permitted to have representation at hearings?: 
Yes (All Types of Cases)
Is the agency permitted to have representation at hearings?: 
Yes (All Types of Cases)
Regulations/rules of practice for hearings (please include CFR citations): 
49 CFR 89.21; 49 CFR 89.25; 49 CFR 89.35 (citing 31 CFR 285.11); 49 CFR 89.43; 49 CFR 92.7 - 92.19
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.): 
Various sections afford the debtor the right to inspect and copy the Department's records relating to the debt. See 49 CFR 92.11(b)(7) (administrative and salary offsets); see also 31 CFR 285.11(e)(2)(i) (wage garnishments). There is no similar provision in the regulations governing tax refund offsets, however.
Are parties provided notice of hearing?: 
Yes (Some 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: 
By Private Party
Depends on Nature of Case/Claim
Please describe: 
-Not all debt collection challenges receive an oral hearing. Requesting debtors are apparently entitled to an oral hearing in cases of administrative or salary offset. See 49 CFR 92.7, 92.13, 92.17; see also 49 CFR 89.25(c) (incorporating 49 CFR Part 92 hearing procedures). In wage garnishment cases, those debtors only receive an oral hearing in cases where the decisionmaker finds that the indebtedness question cannot be resolved by mere review of documentary evidence. See 31 CFR 285.11(f)(3). Where live hearings are held, parties are given notice. Id.; see also 49 CFR 92.17.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
-Again, as not all debt collection cases involve a live hearing, witness testimony is permitted only in those cases with a live hearing. See supra. There are no references in the regulations to submitting testimony by means like deposition or affidavit.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
-There is no express reference to cross-examination in the regulations, but they do state that parties "are given full opportunity to present evidence, witnesses, and argument." 49 CFR 92.17. I assume that such a "full opportunity" would entail the ability to challenge the opposing party's witnesses.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
N/A (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): 
The regulations provide time limits for issuance of final decisions in administrative offset, salary offset and wage garnishment cases. See 49 CFR 92.13(c) (no later than 60 days from the hearing request); see also 31 CFR 285.11(f)(10) (same). There is no similar provision for tax refund offset cases, however. See 49 CFR 89.43.
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?: 
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): 
-Regardless of the mode of debt collection, the cursory governing regulations appear to make no express reference to parties having representation. The administrative and salary offset regulations do clarify that both the debtor and the relevant DOT creditor are given full opportunity to present evidence, witnesses and argument, functions normally performed by an attorney. See 49 CFR 89.25(c) and 49 CFR 92.17(a). Nevertheless, as the regulations do not clearly say whether the representative must be an attorney, I have simply answered that representation is allowed. -For those cases in which an oral hearing is held, the regulations do not indicate whether such hearings are open to the public. I have therefore left this field blank.
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?: 
Settlement Conference
Who conducts the ADR?: 
Agency Program Official
Regulations/rules of practice governing ADR process (please include CFR citations): 
49 CFR 89.21(g); 31 CFR 285.11(b)(3)
Comments/Notes on ADR Process (Optional): 
-The regulations cited above refer to the agency's authority to settle pending debt claims. For purposes of this study, this commonplace authority is counted as ADR.
Verified by Agency: 
Not verified