Other Fields
Agency Scheme: 
NRCOSUBJ0010
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of the Secretary
Name of Hearing Office (global name): 
Nuclear Regulatory Commission: Office of the Secretary
Sub-Agency/Bureau/Division:: 
Office of the Deputy Exec. Director for Corporate Mgmt.
Hearing Officer #1 (Title): 
Commission Member(s)
Hearing Officer #2 (Title): 
Atomic Safety Licensing Board Panel (ASLBP)
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

Adjudication scheme under related to applications for (1) authorization to construct high-level radioactive waste (HLW) repository at a geologic repository operations area, and (2) licenses to receive and possess HLW at a geologic repository area. (See 10 CFR Part 2, Subpart J). Proceedings are initiated when the Department of Energy (DOE) indicates its intent to file an HLW application by certifying -- at least 6 months prior to the filing of its application -- that it has identified and made available electronically in an NRC database all required documents related to its application. Public notice of a DOE HLW license application are published in the Federal Register. Interested parties (including state or local governmental entities) may file requests for hearings or intervention petitions that set forth one or more "contentions" along with supporting materials.

Hearings may be conducted by members of the Commission, an Atomic Safety Licensing Board (ASLB) panel, or a designated NRC presiding officer to whom final authority has been delegated. Additionally, pre-license application presiding officers may be designated by the presiding body/presiding officer to rule on disputes over electronic availability of documents (akin to a "discovery master" or federal magistrate-judge).

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?: 
Either
Regulations/rules of practice for hearings (please include CFR citations): 
10 CFR Part 2, Subpart J; see also 10 CFR 2.1000 (incorporating specified procedural provisions in Subparts C & G)
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.): 
Discovery by parties, potential parties, and interested governmental participants during pre-license HLW application proceedings comes in several forms. First, each party/participant must make electronically available (subject to privilege or other applicable legal protections) all documentary materials on which it intends to rely/cite in the proceedings. Each party/participant must designate an official responsible for ensuring compliance with rules concerning electronic documents. Second, parties/participants may -- as of right -- conduct additional discovery using requests for inspection (land or raw data), and oral depositions; and requests for admission. Third, parties/participants may seek permission from the discovery master to propound interrogatories or depositions upon written questions. (10 CFR 2.1018) (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?: 
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?: 
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: 
Required by Rule
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?: 
Varies by Case
If "Varies by Case," please describe: 
Hearings may be conducted by up to five presiding officials, depending on the particular case. NRC regulations provide that "presiding officer" in the context of HLW applications means "one or more" Commission members, an Atomic Safety Licensing Board (ASLB) panel (which typically are 3-member panels), or a designated NRC presiding officer to whom final authority has been delegated. (10 CFR 2.1001 (defining "presiding officer" in context of hearings on HLW applications)
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
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: 
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
If "Other," please specify: 
)
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 written decisions HLW application proceedings be issued within 1125 days of the Federal Register notice of the hearing. (See 10 CFR 2.1026 & Part 2, App D (setting forth Model Milestones).
Is judicial review available after issuance of a final decision?: 
No
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): 
When Commission members do not serve as the hearing-level body, appellate review of initial decisions on HLW applications is available with the Commission.
ADJUDICATORS
Total # of Hearing Officers: 
5
Comments/Notes on Hearing-Level Adjudicators (Optional): 
Hearings may be conducted by members of the Commission, an Atomic Safety Licensing Board (ASLB) panel, or a designated NRC presiding officer to whom final authority has been delegated. Additionally, pre-license application presiding officers may be designated by the presiding body/presiding officer to rule on disputes over electronic availability of documents (akin to a federal magistrate-judge).
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