Other Fields
Agency Scheme: 
DOTRSHIP0014
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Administrator
Name of Hearing Office (global name): 
Department of Transportation: Office of the Administrator
Hearing Officer #1 (Title): 
Associate Administrator for Seaway Operations
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

The operative regulation names the “Associate Administrator” as the hearing official for these cases in the first instance. See 33 CFR 401.203. Although there are two Associate Administrators, the regulations appear to reference the Associate Administrator for Seaway Operations is the “Associate Administrator”. See http://www.greatlakes-seaway.com/en/pdf/fy2012ar.pdf (organizational chart, p.36).
-Cases begin with the Associate Administrator and are appealed to the Administrator (i.e., the agency head). See 33 CFR 401.203.

PROCESS & PROCEDURE - General Information
Regulations/rules of practice for hearings (please include CFR citations): 
33 CFR 401.203(a) - (c), (e)
PROCESS & PROCEDURE - Pre-Hearing Procedure
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: 
By Private Party
How many hearing officers preside at each hearing?: 
One
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?: 
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?: 
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?: 
Other
If "Other," please specify:: 
Respondent petitioning for full remittance or mitigation of the penalty assessed
Who conducts the ADR?: 
Agency Counsel
Regulations/rules of practice governing ADR process (please include CFR citations): 
33 CFR 401.203(b) – (c)
Comments/Notes on ADR Process (Optional): 
-The Associate Administrator has the ability to mitigate the penalty or remit it in full upon petition, counted in this scheme as a method of ADR. This process is only triggered if the Associate Administrator decides to impose a penalty and the respondent files a petition for relief within 15 days. See 33 CFR 401.203(b).
Verified by Agency: 
Not verified