Other Fields
Agency Scheme: 
OCCXALJS0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Financial Institution Adjudication
Name of Hearing Office (global name): 
Office of the Comptroller of the Currency: Office of Financial Institution Adjudication
Hearing Officer #1 (Title): 
Administrative Law Judge (ALJ)
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

The Comptroller may, at any time during the pendency of a proceeding, perform, direct the performance of, or waive performance of, any act which could be done or ordered by the ALJ. 12 C.F.R. § 19.4.

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
Is the agency permitted to have representation at hearings?: 
Yes (All Types of Cases)
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for hearings (please include CFR citations): 
12 C.F.R. §§ 19.1 - 19.41; 109.1 - 109.41
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
Yes (Some Types of Cases)
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
Broad document/ESI discovery; non-party discovery through subpoena; witness depositions; privilege and protective order opportunities, etc. See 12 C.F.R. §§ 19.24 - 19.27; 19.31; 19.170 - 19.171; 109.24 - 109.27; 109.31.
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?: 
In-Person
How is the type of hearing selected: 
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
The agency rules specify a formal adjudication hearing that occurs automatically in most instances. However, the respondent must request a hearing in: civil monetary penalty proceedings, see 12 C.F.R. §§ 19.19, 109.19; Change in Bank Control disapproval hearings, see 12 C.F.R. § 19.160; and accountant removal/suspension/debarment proceedings, see 12 C.F.R. § 19.243(b)(2).
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Yes
Can parties cross-examine witnesses?: 
Yes
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
Almost all hearings conducted under this formal scheme are presumed to be public hearings, unless the Comptroller, in the Comptroller's discretion, determines that holding an open hearing would be contrary to the public interest. See 12 C.F.R. § 19.33. However, for general sanctions/debarment proceedings under 12 C.F.R. §§ 19.190 - 19.201, hearings are presumed CLOSED to the public, unless the Comptroller otherwise directs. See 12 C.F.R. § 19.199.
PROCESS & PROCEDURE - Post-Hearing Procedure
Who typically drafts the decision at the hearing-level stage?: 
Adjudication Officer
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): 
Within 45 days after expiration of the time allowed for filing reply briefs under § 19.37(b), the ALJ shall file with and certify to the Comptroller, for decision, the ALJ's recommended decision and the rest of the record. 12 C.F.R. § 19.38; 109.38. However, the fiduciary power revoking rules for national banks do not provide guidance on time limits for decisions at the hearing level stage.
Is judicial review available after issuance of a final decision?: 
No
PROCESS & PROCEDURE - Case Management
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?: 
No
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (Some Types of Cases)
If "Yes," please provide citation(s): 
12 C.F.R. §§ 19.38; 109.38 (specify). Fiduciary power revocation proceedings rules, see 12 C.F.R. § 9.17(b), do not specify the contents of the administrative record.
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Amount of notice given before hearing varies with case type. In municipal securities discipline cases, hearing must be set at least 30 days after service of notice (12 CFR 19.131). In several other case types, hearing must be fixed between 30 and 60 days after service of notice (See 12 USC 1818(e)(4); 12 USC 1818(b); 12 USC 1820(k); 12 USC 92a(k)(2); 12 USC 1464(n)(10)(B)). In some cases, a different date may be set upon showing of good cause or if the Attorney General requests a change. Web-based electronic filing of hearing-related briefs or documents can be done only if expressly authorized, and upon conditions specified by the Comptroller or ALJ. 12 CFR 12.10(b)(4); 12 CFR 109.10(b)(4)
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
What type(s) of ADR are available?: 
Settlement Conference
Other
If "Other," please specify:: 
The ALJ, in his or her discretion, can address summary disposition of any or all issues, resolution of discovery disputes, etc. at a pre-hearing conference. See 12 C.F.R. §§ 19.31(b); 109.31(b). Also, any respondent may, at any time in the proceeding, unilaterally submit to agency Enforcement Counsel written offers or proposals for settlement of a proceeding, without prejudice to the rights of any of the parties. 12 C.F.R. §§ 19.15; 109.15.
Who conducts the ADR?: 
Agency Counsel
Other
If "Other," please specify:: 
Informal settlement is encouraged between the parties. See 12 C.F.R. §§ 19.15; 109.15.
Regulations/rules of practice governing ADR process (please include CFR citations): 
12 C.F.R. §§ 19.31(b); 109.31(b); 19.15; 109.15.
Verified by Agency: 
Not verified