Other Fields
Agency Scheme: 
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Inspector General
Name of Hearing Office (global name): 
Legal Services Corporation: Office of the Inspector General
Sub-Agency/Bureau/Division:: 
Office of General Counsel
Hearing Officer #1 (Title): 
Vice President for Grants Management
Hearing Officer #2 (Title): 
Director of Office of Compliance
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

These procedures involve enforcement proceedings by LSC against funding recipients (i.e., LSC grantees or contractors) relating to proposed adverse actions based on alleged substantial noncompliance with, or violation of, the Legal Services Corporation Act or other applicable laws or regulations or substantial failure to provide high quality, economical, and effective legal assistance. 45 CFR Parts 1606 & 1623. Enforcement actions are initiated when LSC issues written notice of its preliminary decision to terminate funding (by 5% or greater), reduce funding (by less than 5%), suspend funding, or debar a recipient from future grants or contract. Recipients are permitted written (document-only) hearings, informal conferences, or a hearing before an impartial decision maker depending on the nature of the proposed LSC action. Disallowed costs, 45 CFR Part 1630, also follow procedures involving written (document-only) hearings.

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
About what percentage of private parties were represented at hearings (FY2013)?: 
33.00%
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): 
45 CFR Parts 1606 (debarment/termination), 1623 (suspension), 1630.7 (cost disallowances)
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Does the hearing officer have subpoena authority?: 
No
Are ex parte contacts prohibited?: 
No
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
Video
Phone
Please provide the approximate percentage of each type of hearing relative to the total number of hearings (FY2013)
Written (Document-Only) Hearing: 
100%
How is the type of hearing selected: 
By Private Party
Depends on Nature of Case/Claim
Please describe: 
Informal Conferences--all actions under 45 CFR Parts 1606 or 1623: Recipients are afforded, upon request, an "informal conference" in person or by telephone (with other means at sole discretion of LSC) before the LSC official who issued the preliminary decision to suspend,debar, etc. or another LSC employee with seniority at least equal to an office director. 45 CFR 1606.7(b); 45 CFR 1623.4(c). Hearings--debarments and termination of 5% or more of a grant: For these actions only, recipients may request a full adversarial hearing before an impartial hearing officer as the first level of review or as de novo review after an informal conference. 45 CFR 1606.8.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
For debarment or termination hearings before "hearing officers," both the recipient and LSC are permitted to provide witness testimony. (45 CFR 1606.8(h)). Informal conferences include consideration of written materials and any oral presentations. Not applicable to written (document-only) hearings.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
For debarment or termination hearings before "hearing officers," both the recipient and LSC are permitted to provide witness testimony including cross-examination. 45 CFR 1606.8(h). Informal conferences include consideration of written materials and any oral presentations. Not applicable to written (document-only) hearings.
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are hearings recorded and/or transcribed?: 
Yes
Discretion of Adjudication Officer(s)
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
Informal conferences and document-only reviews are the primary methods of adjudication. Only hearings requested for review of debarments or terminations of 5% or greater are conducted in a manner that is conducive to public viewing. Those hearings are required to be open to the public with an exception for good cause and the interests of justice. 45 CFR 1606.8(f).
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
Staff Attorney
Program Official
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): 
For informal conferences on debarments, terminations or limited reductions of funding, written decisions shall be issued within 15 days of the conclusion of the informal conference or submission of written materials in opposition to proposed action. 45 CFR 1606.7(f). For hearings conducted by hearing officers for debarments or terminations of 5% or greater of a grant, written recommended decisions shall be issued within 20 days after the conclusion of the hearing. 45 CFR 1606.9(a). No time frame is specified for issuance of suspension decisions. 45 CFR Pt. 1623. For disallowed costs, written decisions shall be issued within 60 days of receiving the recipient's written response to the notice of intent to disallow costs. 45 CFR 1630.7(d).
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at the hearing-level stage?: 
First-In/First-Out Basis
Please briefly describe your case management practice(s) at the hearing level stage: 
These situations arise infrequently and are assigned for immediate processing.
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 (All Decisions)
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
No
If "Yes," please provide citation(s): 
45 CFR 1641.22(b)
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): 
Almost all LSC adjudication-type proceedings are handled through informal conferences or document-only reviews.
ADJUDICATORS
Total # of Hearing Officers: 
2
Comments/Notes on Hearing-Level Adjudicators (Optional): 
LSC does not maintain a special office or positions for adjudications. LSC handles disallowed costs through document-only reviews. 45 CFR 1630.7. For suspensions, terminations, limited reductions of funding, and debarments, the informal conference is conducted by the LSC official who issued the preliminary determination or any LSC employee with seniority equal to or above that of an office director. 45 CFR 1606.7(d) and 1623.4(d). For terminations (5% or greater of a grant) or debarments, an adversarial hearing is available before a hearing officer in addition to, or instead of, an informal conference. LSC regulations do not specify who serves as a hearing officer other than that she or he shall be appointed by the President or designee, may be an LSC employee, must not have been involved in the matter previously, and must be "qualified to preside over the hearings as an impartial decisionmaker." 45 CFR 1606.8(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?: 
Varies by Case
If "Varies by Case," please describe:: 
All of these procedures, except for disallowed costs, include an option for an informal conference which is meant to provide a non-adversarial forum for addressing the proposed LSC action.
What type(s) of ADR are available?: 
Settlement Conference
Other
If "Other," please specify:: 
All of these procedures, except for disallowed costs, include an informal conference which is meant to provide a non-adversarial forum for addressing the proposed LSC action. For terminations, limited reductions of funding, or debarments, LSC may permit the recipient to avoid the action through adoption of corrective actions. 45 CFR 1606.7.
Who conducts the ADR?: 
Agency Program Official
Regulations/rules of practice governing ADR process (please include CFR citations): 
45 CFR 1641.9(c), 1641.15(c), 1641.21(c)
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
2
Total # Cases Decided/Closed (FY2013): 
3
Total # Cases Pending (End of FY2013): 
1
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
No
WRAP-UP
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.: 
LSC is not a federal agency or a part of the federal governments, but has the equivalent agency role and responsibility regarding grants that LSC awards pursuant to the LSC Act using Congressionally appropriated funds. 42 USC 2996d(e) and 2996e. LSC has very few proceedings that might be considered adjudications. LSC does not have a separate office for these reviews.
Verified by Agency: 
Verified