Other Fields
Agency Scheme: 
DOTRMERC0006
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Hearings
Name of Hearing Office (global name): 
Department of Transportation: Office of Hearings
Hearing Officer #1 (Title): 
Administrative Law Judge (ALJ)
Hearing Officer #2 (Title): 
Maritime Administration official
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

-There is conflict as to the identity of the hearing officer. 46 CFR 201.19 identifies them as "presiding officers" who may either be Members of the Maritime Administration or Hearing Examiners qualified under section 11 of the APA (i.e., ALJs). 46 CFR 201.86 is more concrete, stating that ALJs from DOT's Office of Hearings will preside at all hearings required by statute or held under the Administration's discretionary authority, unless the Administration selects one of its officials or staff to serve as presiding officer.
-In some cases, the presiding officer makes the initial decision and cases are appealed to the Administration, see 46 CFR 201.133. In other cases, the presiding officer makes a recommendation, and the Administration makes the "initial" decision. See 46 CFR 201.158 and 201.164. The Administration is listed as the appellate office in this scheme.

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): 
46 CFR 201.1 - 201.151, 201.181 - 201.185
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.): 
46 CFR 201.109 - request for production of documents; 46 CFR 201.110 - depositions and written interrogatories; 46 CFR 201.122 - subpoenas duces tecum. Though available across all case types, these discovery methods are only permitted upon motion to the presiding officer. See id.
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
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
In-Person: 
100%
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?: 
Yes
Can parties cross-examine witnesses?: 
Yes
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?: 
Yes (Some Decisions)
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): 
46 CFR 201.150
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): 
46 CFR 201.146, 201.157
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
-46 CFR 201.15 states that parties may appear in person, by an officer or employee, by counsel or by "other duly qualified representative." -46 CFR 201.31 states that the Assistant General Counsel in the Division of Operating Subsidy Contracts shall serve as "Public Counsel" in all cases involving operating-differential subsidy contracts. In contract appeal cases or any other proceeding governed by the Part 201 regulations, the General Counsel can designate one of his staff to serve as "Staff Counsel." See id.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
Yes
If "Yes," when is ADR available?: 
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 Counsel
Regulations/rules of practice governing ADR process (please include CFR citations): 
46 CFR 201.101 (prehearing conferences), 201.103 (settlements)
Verified by Agency: 
Not verified