Other Fields
Agency Scheme: 
HUDOAPPJ0002
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Appeals
Name of Hearing Office (global name): 
Department of Housing and Urban Development: Office of Appeals
Sub-Agency/Bureau/Division:: 
Office of Hearings and Appeals
Hearing Officer #1 (Title): 
Administrative Judge
Hearing Officer #2 (Title): 
Administrative Law Judges
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

The Office of Appeals hears appeals primarily related to two areas: (a) claims collection under the Debt Collection Act (i.e., administrative offsets, administrative wage garnishments, salary offsets), and (b) nonprocurement debarment, suspension, and limited denials of participation when there are disputed facts. Hearings under 24 CFR, pt. 26, subpt. A typically conducted by Administrative Judges, though Administrative Law Judges may also hear some matters.

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): 
24 CFR pt. 17, subpt. C; 24 CFR pt. 26, subpt. A; 24 CFR pts. 180, 2424; 24 CFR pt. 200, subpt. H
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.): 
*Administrative Sanction cases (Part 17): Debtors are permitted to inspect and copy HUD records related to their debt. (See 24 CFR 17.67, 17.90(e); 31 CFR 285.11(e)(2)(i). *Nonprocurement Suspension/Debarment/LDF cases: Rules of procedure for nonprocurement proceedings do not expressly provide for discovery. See 24 CFR pts. 180, 2424. Unclear whether Part 26-Subpt. A rules (which permit discovery) are invoked when nonprocurement matter referred to Administrative Judge in cases with disputed facts.
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?: 
Written (Document-Only) Hearing
In-Person
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
0%
In-Person: 
100%
Video: 
0%
Phone: 
0%
How is the type of hearing selected: 
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
In-person hearings are only conducted by the Office of Appeals in nonprocurement suspension and debarment cases, as well as salary offset cases, when there are disputed facts. (Note: For nonprocurement cases, when there are no disputed facts, the debarring, suspending, or sanctioning official in the Departmental Enforcement Center conducts the written hearing.)
How many hearing officers preside at each hearing?: 
One
If "Varies by Case," please describe: 
Presiding officer may be either an ALJ, or one or more Commission members sitting as ALJs. (16 CFR 3.42)
Is witness testimony permitted at hearings?: 
Yes
If "Varies by Case," please describe: 
NRC staff "may direct" that in informal (in person) conference be convened. Procedures of informal conferences are not set forth by regulation; instead, applicable regulation provides as follows: "The conference will be conducted by NRC Staff in accordance with procedures Staff determines will most expeditiously further the purpose of the conference." (18 CFR 385.1111) Assumed that these procedures permit witness testimony if warranted by a particular case. Witness testimony not applicable to document-only hearings.
Can parties cross-examine witnesses?: 
Yes
If "Varies by Case," please describe: 
NRC staff "may direct" that in informal (in person) conference be convened. Procedures of informal conferences are not set forth by regulation; instead, applicable regulation provides as follows: "The conference will be conducted by NRC Staff in accordance with procedures Staff determines will most expeditiously further the purpose of the conference." (18 CFR 385.1111) Assumed that these procedures permit cross-examination of witnesses if warranted by a particular case. Witness testimony not applicable to document-only hearings.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Yes (Hearings Always Open/All Types of Cases)
If "Varies by Case," please describe: 
Formal proceedings: Hearings are required to be open to the public (with just cause allowing hearing closure) the hearing) See 17 CFR 12.312. Summary proceedings: Unknown; regulations silent. Voluntary proceedings: N/A. Oral hearings unavailable.
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
If "Other," please specify (drafts): 
Suspending/debarring officials may, at their discretion, refer disputed material facts to "another official" (unspecified in regulations) to have him/her conduct a fact-finding hearing. When referred, the suspending/debarring official may only reject findings by the fact-finding official "after specifically determining them to be arbitrary, capricious, or clearly erroneous." (2 CFR 180.750((b), 180.845(c)).
Who has authority to issue final decisions?: 
Adjudication Officer
Other
If "Other," please specify: 
Multifamily Participation Review Committee cases: The hearing officer determines the facts and law and issues a written report to the Review Committee. The Review Committee is bound by these findings, and makes a final decision based on underwriting and risk evaluation standards. (24 CFR 200.245). Nonprocurement limited denial of participation cases: The hearing officer serves as a fact-finder and makes a recommended decision to the sanctioning official. (24 CFR 2424.1130(b)).
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): 
For administrative Sanction and nonprocurement cases heard under 24 CFR pt. 26, subpt. A rules, the hearing officer "shall endeavor" to issue a written decision within 60 days of the closing of the record. 24 CFR 26.25.
Is judicial review available after issuance of a final decision?: 
Yes (Some Types of Cases)
PROCESS & PROCEDURE - Case Management
Please briefly describe your case management practice(s) at the hearing level stage: 
*Non-Complaint Cases Set for Hearing: FERC has 3 tracks for cases set for hearing under Subpart E, which depend on the complexity and number of issues involved. The 3 tracks are: Track I (simple case); Track II (complex case); and Track III (exceptionally complex case. These tracks establish default processing and discovery time standards for non-complaint cases set for hearing, though presiding officers have discretion to adjust as required to meet the needs of a case. *Complaints Set for Hearing: Complaints set for hearing also have established processing standards and time frames depending on whether they are "fast track" or "regular" complaints. *Complaints Involving "Small Controversies": Small controversy complaints (i.e., amount in controversy is less than $100,000 and the impact on other entities is de minimis) do not have formerly adopted processing time frames, but do have simplified procedures which, according to FERC's website, often leads to faster case resolution.
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)
If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe: 
The Office of Appeals website posts the full text of decisions issued by the Office of Appeals and its predecessor, the HUD Board of Contract Appeals, which the Office believes are precedential or of interest to the public, and decisions cited in subsequent Office decisions. Significant decisions of the Office are also reported in a variety of procurement and government law web sites and publications, and are accessible through fee-based legal databases such as LEXIS and Westlaw.
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): 
24 CFR 26.49
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): 
24 CFR 26.25(b)
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
ADJUDICATORS
Total # of Hearing Officers: 
2
Comments/Notes on Hearing-Level Adjudicators (Optional): 
"HUD will designate an official to review any appeal, conduct the conference, and issue the written decision. The official designated must be one who was neither directly involved in, nor reports to another directly involved in, making the decision being appealed." 24 CFR 401.651(c).
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
Yes
If "Yes," when is ADR available?: 
Pre-Hearing
Is ADR a mandatory or voluntary process?: 
Voluntary
If "Varies by Case," please describe:: 
The Commission may order parties to appear before a settlement judge, or the parties may, upon motion, seek consent 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?: 
Settlement Conference
If "Other," please specify:: 
Regulations applicable to administrative sanctions and nonprocurement proceedings under 24 CFR pt. 26, subpt. A do not specifically provide for ADR; however, the OALJ website suggests that ADR is encouraged and settlement judges may be appointed in certain cases.
Who conducts the ADR?: 
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.
Verified by Agency: 
Not verified