Other Fields
Agency Scheme: 
NRCOSUBG0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Atomic Safety and Licensing Board
Name of Hearing Office (global name): 
Nuclear Regulatory Commission: Atomic Safety and Licensing Board
Sub-Agency/Bureau/Division:: 
Office of the Deputy Exec. Director for Corporate Mgmt.
Hearing Officer #1 (Title): 
Atomic Safety Licensing Board Panel
Hearing Officer #2 (Title): 
Administrative Law Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

NRC formal adjudications conducted under Subpart G of Part 2 (Title 10). Covered formal adjudications include: (1) NRC enforcement actions under Atomic Energy Act (unless the parties jointly agree to use a more informal proceedings); (2) initial licensing of uranium facilities; (3) portions of nuclear power plant licensing proceedings in which the presiding officer determines that resolution of contested matters or contentions require resolution of material facts, eyewitness credibility, motive or credibility issues, or other similar issues; and (4) any other matter that the Commission deems to warrant formal proceedings.

Public notice of many matters covered by Subpart G are published in the Federal Register. Interested parties (including state or local governments) may file requests for hearings or intervention petitions that set forth one or more "contentions" along with supporting materials.

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 (Some Types of Cases)
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for hearings (please include CFR citations): 
10 CFR Part 2, Subpart G; see also 10 CFR Part 2, Subpart C
Other published guidance for hearings (if any): 
"10 CFR Pt. 2: Rules of Practice for Domestic Licensing Proceedings and Issuance of Orders" (on NRC website)
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.): 
Full "traditional" discovery -- patterned after FRCP 26 -- available. Parties (other than NRC staff) have mandatory disclosure obligations, which may be supplemented by document requests, written interrogatories, requests for inspection, depositions, and requests for admission. Motions for protective orders permitted. Seasonable supplementation of discovery responses required. (10 CFR 2.705 - 2.708) Note: For proceedings in which NRC Staff is a party, there a special provisions relating to form and scope of discovery available from NRC employees. (See 10 CFR 2.709)
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: 
100%
In-Person: 
100%
Video: 
0%
Phone: 
0%
How is the type of hearing selected: 
Depends on Nature of Case/Claim
Please describe: 
Hearings are in-person. However, motions for summary disposition (i.e., written hearings) are permitted when there are no genuine issues of material disputed facts. (10 CFR 2.710 - 2.711)
How many hearing officers preside at each hearing?: 
Three
If "Varies by Case," please describe: 
The full 5-member Commission ordinarily presides over hearings relating to actions on applications for specific import/export licenses and adverse actions on existing licenses. However, regulations also provide that, at Commission discretion, hearings may be conducted by one or more Commission members. Additionally, the Commission may refer the licensure proceeding to a designed presiding officer for a fact-finding (evidentiary) hearing. (10 CFR 110.104(a))
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
Enforcement/Civil Penalty Cases (Under Subpart B): Oral witness testimony generally permitted. (10 CFR 2.711(d)) Non-Enforcement Cases (e.g. contested licenses or permits): By default, direct witness testimony is presented in written form "unless otherwise ordered by the presiding officer on the basis of objections presented." (10 CFR 2.711(a))
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
Enforcement/Civil Penalty Cases (Under Subpart B): Cross-examination generally permitted. (10 CFR 2.711(d)) Non-Enforcement Cases (e.g. contested licenses or permits): Parties may not cross-examine witnesses unless (a) they file a request for cross-examination (which includes a cross-examination plan), and (b) such request is granted by the presiding officer. (10 CFR 2.711(c))
Can third-parties submit amicus briefs and/or evidence?: 
Yes
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Presumed Open (But May Be Closed Under Certain Conditions)
If "Varies by Case," please describe: 
All formal and informal presentation of views "shall" be open to the public unless the Secretary finds that good cause for closure. (24 CFR 3282.152(a))
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
If "Other," please specify (drafts): 
The Commission (or individual Commission members) -- which may or may not preside over import/export license hearings -- generally drafts the final decision.
Who has authority to issue final decisions?: 
Adjudication Officer
Other
If "Other," please specify: 
Generally, the ASLB panel issues written initial decisions. However, "where the public interest so requires," the Commission may direct the ASLB to certify the hearing record without issuing an initial decision, in which case the Commission will issue an initial decision absent exigent circumstances. (10 CFR 2.712 - 2.713)
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): 
NRC model milestones suggest that ASLB panels/presiding officers use 90 days (dating from he end of the evidentiary record and closing of the record) as a benchmark for issuance of a written initial decisions, with scheduling adjustments as needed depending on the type and complexity of the case. (See 10 CFR Part 2, Appendix B.I)
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 conplexity 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?: 
Yes
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 website for the Office of Hearings and Appeals posts decisions that it believes are precedential or otherwise of public interest. Several fee-based legal database services (such as Westlaw and LEXIS) also publish case 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): 
2 CFR 180.750(a), 180.845(a)
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): 
10 CFR 2.326
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
NRC's general rules of practice permit the presiding officer (i.e., ASLB panel or Commission) to order parties in a proceeding -- either by motion or on its own initiative -- to consolidate evidence presentations, cross-examination, briefs, proposed findings of fact or conclusions of law, and argument. However, the parties must share substantially similar interests, raise similar issues, and would not have their rights prejudiced by such consolidation. Consolidation may be for an entire proceeding or for one or more specific issues. (10 CFR 2.316)
ADJUDICATORS
Total # of Hearing Officers: 
5
Comments/Notes on Hearing-Level Adjudicators (Optional): 
NRC regulations specific that the full Commission will "ordinarily" preside over hearings for import/expert licenses. However, the Commission has the discretion to notice a hearing to be conducted by one or more Commission members "or any other person as provided by law." (10 CFR 110.104) If the Commission refers the hearing to a designated presiding officer, such officer conducts a fact-finding hearing and certify the hearing record to the Commission, which issues the final decision.
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:: 
Only Age Discrimination Act cases provide for mediation. Applicable regulations provide that NRC "will refer" complaints to a mediation agency designated by HHS, and that both the complainant and the recipient "shall participate." (10 CFR 4.333(a)-(b))
What type(s) of ADR are available?: 
Settlement Conference
Other
If "Other," please specify:: 
NRC regulations do not specify additional types of ADR beyond settlement negotiations overseen by an NRC Settlement Judge. However, applicable regulations do note that the Chief AJ may "remit the proceeding to [other ADR] as the Commission may provide or to which the parties may agree." (10 CFR 2.338(b))
Who conducts the ADR?: 
Non-Presiding Adjudicator
Other
If "Other," please specify:: 
NRC regulations do not specify additional types of ADR beyond settlement negotiations overseen by an NRC Settlement Judge. However, applicable regulations do note that the Chief AJ may "remit the proceeding to [other ADR] as the Commission may provide or to which the parties may agree." (10 CFR 2.338(b))
Regulations/rules of practice governing ADR process (please include CFR citations): 
10 CFR 2.338
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): 
NEA rules provide that (a) both the complainant and the recipient/applicant "shall participate" in the mediation process "to the extent necessary to reach an agreement," and (b) there must be at least one mediation session before NEA will accept judgment that no agreement is possible. (45 CFR 1156.16)
Verified by Agency: 
Not verified