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?:
Either
Regulations/rules of practice for hearings (please include CFR citations):
18 CFR pt. 385, subpts. A - H, O & T-V
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.):
Types and scope of discovery available for matters set for hearing under Subpart E is similar to federal district court. Discovery mechanisms include: depositions of parties, corporations/entities, non-parties, and experts; data requests; interrogatories;document requests; inspection requests; requests for admission. (18 CFR pt. 385, subpt. D). Discovery motions practice available, including: motions to compel, motions to quash subpoenas, or motions for order limiting discovery. ALJs also have the authority to sanction parties for discovery abuses or failure to comply with a discovery order. FERC rules expressly provide that parties have no continuing duty to supplement discovery responses. FERC has differentiated case management, which establishes default discovery time frames; ALJs have discretion to adjust as required to meet the needs of a case.
Are ex parte contacts prohibited?:
Yes (All Types of Cases)
Are parties provided notice of hearing?:
Yes (All Types of Cases)
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:
By default, contested proceedings which are referred to OALJDR for hearings are set for an oral hearing (absent resolution by a settlement judge or other ADR technique). However, FERC rules permit summary dispositions when there are no genuine issues of material fact (18 CFR 385.217), as well as waiver of oral hearing upon the parties' agreement and publication of notice in the Federal Register (18 CFR 385.217).
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 oral 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 oral hearings. This question is not applicable to document-only hearings.
Can third-parties submit amicus briefs and/or evidence?:
Adjudication Officer Discretion
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:
The hearing is presumed open for oral hearings. This question is not applicable to document-only hearings.
Who typically drafts the decision at the hearing-level stage?:
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions?:
Yes (All Types of Cases)
If "Yes," please specify these time limit(s):
Time frames for issuance of ALJ initial decisions depend on the complexity of the particular proceeding (case).
Is judicial review available after issuance of a final decision?:
No
How are claims/cases processed at the hearing-level stage?:
Differentiated Case Management
Please briefly describe your case management practice(s) at the hearing level stage:
Processing of proceedings (cases) pending before ALJs depends on the complexity of the particular proceeding (case).
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 (All Decisions)
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:
Yes (All Types of Cases)
If "Yes," please provide citation(s):
18 CFR 385.510(c), 385.716
Comments/Notes on Hearing-Level Process & Procedures (Optional):
Many FERC adjudication proceedings are noticed in the Federal Register upon filing. (See, for example, 18 CFR 385.203(d) (tariff or rate filings), 385.206(d) (complaints)).
FERC's rules of practice and procedure provide for intervention (which is typically granted), and filing of protests by any person (which provide a person's views, but do not afford party status). (See 18 CFR 385.211, 385.214)
The Chief Administrative Law Judge may (on motion or otherwise), in his/her discretion, consolidate or sever proceedings for hearing on, or settlement of, any or all issues. (18 CFR 385.503)
Total # of Hearing Officers:
14
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
Is ADR a mandatory or voluntary process?:
Varies by Case
If "Varies by Case," please describe::
The Commission or ALJ may order parties to appear before a settlement judge, or the parties may, upon motion, voluntarily seek to use other ADR processes under their own proposed ADR proposal. If the latter is approved, such ADR efforts "will be voluntary procedures that supplement rather than limit other available dispute resolution techniques." (18 CFR 385.604(a))
What type(s) of ADR are available?:
Mediation
Settlement Conference
Arbitration
Other
If "Other," please specify::
ADR methods may also include, in addition to mediation, settlement conferences, and arbitration, such methods as: conciliation, facilitation, factfinding, minitrials, or any combination of these methods. (18 CFR 385.604)
Who conducts the ADR?:
Third-Party Neutral
Agency ADR Official
Non-Presiding Adjudicator
Regulations/rules of practice governing ADR process (please include CFR citations):
18 CFR pt. 385, subpt. F
Other published guidance on ADR process (if any)::
FERC Dispute Resolution Division brochure and practices (available on FERC website)
Comments/Notes on ADR Process (Optional):
FERC has a robust ADR practice, and settles (or otherwise resolves) a large percentage of contested proceedings -- in whole or in part -- through use of settlement judges and other ADR methods.
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen:
No
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.:
FERC does not maintain data in a way that allows ready answers to certain questions above, and thus they could not be readily answered.
Verified by Agency:
Verified