Other Fields
Agency Scheme: 
NRCOSUBL0005
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 and Licensing Board Panel
Hearing Officer #2 (Title): 
Commission
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

Adjudication under simplified or expedited procedures in Subparts L & N on a variety of contested and uncontested matters under the Atomic Energy Act (AEA) relating to domestic nuclear facilities or materials, including: amendments to reactor licenses; licenses for commercial use of nuclear materials; licenses for construction or operation of nuclear reactors; and enforcement proceedings (upon agreement of all parties). Broadly speaking, issues contested in ASLB licensing adjudications fall into two general categories: (1) safety/technical issues under the AEA; and (2) environmental issues arising under the National Environmental Policy Act (NEPA).

(*Note 1: While this form primarily covers proceedings conducted under the simplified procedures in Subpart L -- which represent the bulk of NRC's adjudications -- differing procedures relating to Subpart N (expedited proceedings) are noted on this form where applicable.)
(*Note 2: While the Commission (either sitting as a full body or as individual members) may serve as the "presiding officer" for any matter under Part 2, it is assumed that that is a rare occurrence, and, accordingly, most/all matters heard under the simplified procedures in Subparts C/L are heard by ASLB panels.)

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, Subparts. C & L; see also 10 CFR 2.1200 (specifying scope of Subpart L)
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.): 
In Subpart L proceedings, NRC staff are obligated to make the "hearing file" publicly available on the NRC web site and/or NRC Public Document Room. The hearing file is required to contain, among other things, the license application, any amendments, NRC staff technical/safety reports and/or environmental reports on the application; and any correspondence between the applicant/licensee and NRC related to the application. NRC staff have the ongoing obligation of keeping the hearing file up to date. In all other respects, discovery is prohibited. (10 CFR 2.1203) (Note: In expedited proceedings under Subpart N, discovery is prohibited, and NRC staff does not post a hearing file. See 10 CFR pt. 2, subpt. N.)
Does the hearing officer have subpoena authority?: 
No
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: 
By Agency
By Private Party
Depends on Nature of Case/Claim
Please describe: 
By default, oral hearings are conducted by an ASLB panel in Subpart L proceedings. However, written (document-only) hearings may be held on two occasions: (1) the parties file a joint motion requesting a hearing consisting only of written submissions, or (2) a motion for summary disposition is filed and granted by the presiding officer. (10 CFR 2.1205 - 2.1206)
How many hearing officers preside at each hearing?: 
Varies by Case
If "Varies by Case," please describe: 
Hearings conducted by an ASLB panel are typically 3-member panels, though rules of practice under Part 2 afford the Commission broad discretion to designate Atomic Safety and Licensing Board, an administrative law judge or administrative judge, or the five-member Commission itself. See 10 CFR 2.313(a); 2.321. This gives broad discretion to the Commission when designating "presiding officers," which may also include the Commission (sitting as full both or individual members), a single ASLB administrative judge, and Administrative Law Judge, or other designated official with delegated authority to preside over the matter. (See 10 CFR 2.313(a))
Is witness testimony permitted at hearings?: 
Yes
If "Varies by Case," please describe: 
By default, direct witness testimony is presented in written form; only the presiding officer may orally question witnesses. Parties may submit suggested/proposed lines of questioning to the presiding officer in advance of the oral hearing. (10 CFR 2.1207) (Note: In expedited proceedings under Subpart N, witness testimony is not permitted. Oral argument only.)
Can parties cross-examine witnesses?: 
Adjudication Officer Discretion
If "Varies by Case," please describe: 
By default, cross-examination of witnesses is only permitted by the presiding officer; parties may submit suggested/proposed lines of questioning to the presiding officer in advance of the oral hearing. (10 CFR 2.1207) However, for oral hearings, any party may file a request to conduct cross-examination, with accompanying summary of proposed objectives and lines of questioning. The presiding officer, by regulation, allows such party-conducted cross examination when "necessary to ensure the development of an adequate record for decision." (10 CFR 2.1204(b)). (Note: In expedited proceedings under Subpart N, cross-examination of witnesses is not permitted.)
Can third-parties submit amicus briefs and/or evidence?: 
Yes
Adjudication Officer Discretion
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 ASLB panels/presiding officers use 90 days (dating from he end of the evidentiary record and closing of the record) in Subpart L proceedings 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 A.II) (Note: The model milestone in expedited Subpart K proceedings is 30 days.)
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 (All 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 staff are required to be parties in Subpart L proceedings when action involves an application/license denial, proposed enforcement action, or presiding officer issuance of an order stating that staff participation would materially aid resolution of identified issues. NRC staff may also elect to participate as a party in contested licensing or other matters at its discretion.
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?: 
Third-Party Neutral
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):: 
NRC "Policy Statement on Alternative Means of Dispute Resolution" (posted on NRC web site)
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