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

Informal adjudication proceedings under Subpart M on applications to transfer of control of covered NRC licenses relating to nuclear facilities or materials. Transfer applications are publicly posted on NRC's web site and, for certain applications, also published in the Federal Register. Public participation (including state or local governmental entities) in proceedings may occur through requests for hearing or intervention petitions (which, if granted, afford party status), as well as filing of written comments (which do not afford party status). Interested persons filing hearing requests/intention petitions must file written requests specifying contentions (i.e., issues) they seek to litigate, along with documents that support both their standing and bases for views. The Commission's subsequently-issued hearing notice identifies, among other things, the contentions to be litigated, hearing type, presiding officer, participant names, and whether participation by NRC staff is required. (10 CFR pt. 2, subpt. M)

The full Commission typically presides over these hearings, though it also has the discretion to elect to have less than all Commission members preside, or, alternatively, refer the hearing to another authorized presiding officer for a hearing, though the Commission retains final decisional authority.

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?: 
Either
Regulations/rules of practice for hearings (please include CFR citations): 
10 CFR Part 2, Subpart M (10 CFR 2.1300 - 2.1331)
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 all Subpart M proceedings, NRC is required to post on the agency's web site specified documents relating to the transfer application, including: the application and related requests, NRC correspondence with the applicant/licensee related to the application, NRC Staff Evaluation Reports (SER), and any NRC staff orders acting on the application (i.e., granting or denying the license transfer application). No other discovery -- including party-conducted discovery -- is otherwise permitted.
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
How is the type of hearing selected: 
By Private Party
Please describe: 
By default, hearings under Subpart M are oral hearings. However, the parties may jointly move for a written (document-only) hearing.
How many hearing officers preside at each hearing?: 
Four or More
If "Varies by Case," please describe: 
By regulation, the full Commission presides over hearings. However, the Commission has the discretionary authority to notice hearings for "one or more" Commission members, or alternatively, to refer the hearing to a non-Commission presiding officer. It is assumed that such referrals, when made, would be to an ASLBP.
Is witness testimony permitted at hearings?: 
Yes
If "Varies by Case," please describe: 
Irrespective of hearing type (i.e., oral hearing or hearing on written comments), all witness testimony is made by written direct (and rebuttal) testimony filed by the parties. NRC staff (unless directed by the Commission) is not required to participate in Subpart M proceedings, but, if they elect to do so, they are treated as a party on all contentions they identify on which they wish to participate. If NRC staff participate, written testimony is presented only for staff designated by the Executive Director for Operations. (10 CFR 2.1323)
Can parties cross-examine witnesses?: 
Adjudication Officer Discretion
If "Varies by Case," please describe: 
By regulation, only the Commission or other presiding officer may question witnesses (orally or in writing). (10 CFR 2.1323(e)).
Can third-parties submit amicus briefs and/or evidence?: 
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
Other
If "Other," please specify (drafts): 
The Commission ordinarily presides over hearings and issues a written decision on the license transfer application. However, the Commission may also elect to refer the hearing to a designated presiding officer. If so referred, the presiding officer conducts the hearing and certifies the hearing record to the Commission, but he/she provides no proposed findings. (10 CFR 2.1309(b)(3), 2.1320(b)(3), 2.1331)
Who has authority to issue final decisions?: 
Adjudication Officer
Other
If "Other," please specify: 
Only the Commission has authority to issue final written decisions on license transfer applications. The Commission typically presides over hearings, but may refer the hearing to a designated presiding officer who is not a Commission member. The Commission is required to base its determination on the record developed at the hearing. (10 CFR 2.1309(b)(3), 2.1320(b)(3), 2.1331).
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): 
NRC model milestones suggest that, if hearings in Subpart M proceedings are referred to non-Commission member presiding officers, that such presiding officer certify the hearing record to the Commission within 25 days of end of the end of the evidentiary hearing and closing of the record, with scheduling adjustments as needed depending on the type and complexity of the case. (See 10 CFR Part 2, Appendix A.III)
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: 
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: 
No
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?: 
No
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))
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))
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