Other Fields
Agency Scheme: 
OCCXIFML0002
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Unknown
Name of Hearing Office (global name): 
Office of the Comptroller of the Currency: Unknown
Hearing Officer #1 (Title): 
Presiding Officer
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
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. §§ 19.120 - 19.124; 19.220 - 19.222; 165.1 - 165.8, 165.10; 19.230 - 19.231; 165.1 - 165.3; 165.9 - 165.10; 19.243(c); 19.110 -113; 108.1 - 108.14
PROCESS & PROCEDURE - Pre-Hearing Procedure
Is discovery permitted by either party at the hearing-level stage?: 
No
Briefly describe the scope and type(s) of discovery available (e.g., depositions, interrogatories, etc.): 
Does the hearing officer have subpoena authority?: 
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
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
For crime-related discipline hearings involving a national bank-connected individual, the petitioner can elect to have the matter determined by the presiding officer solely on the basis of written submissions. See 12 C.F.R. § 19.112(c). If the crime-related discipline hearing involves a Federal savings association-connected individual, the petitioner and agency counsel must jointly agree in writing to waive an oral hearing and choose a written proceeding. See 12 C.F.R. § 108.7(f).
How many hearing officers preside at each hearing?: 
Varies by Case
If "Varies by Case," please describe: 
For crime-related discipline proceedings, the proper Deputy Comptroller appoints "one or more OCC employees as the presiding officer to conduct the hearing." 12 C.F.R. §§ 19.112(b); 108.6. Two other case types, reclassification proceedings regulations and dismissal of executive officer/director proceedings, refer to "presiding officer(s)." See 12 C.F.R. §§ 19.221(f)-(h); 165.8(a)(6)-(8) (reclassification regs) and 19.231(c)-(f); 165.9(c)-(f) (dismissal of executive officer/director regs).
Is witness testimony permitted at hearings?: 
Adjudication Officer Discretion
If "Varies by Case," please describe: 
When in-person hearings take place, witness testimony is at the discretion of the hearing officer. This question is not applicable to document only hearings.
Can parties cross-examine witnesses?: 
Adjudication Officer Discretion
If "Varies by Case," please describe: 
When in-person hearings take place, witness cross-examination is at the discretion of the hearing officer. This question is not applicable to document only hearings.
Can third-parties submit amicus briefs and/or evidence?: 
No
Are hearings recorded and/or transcribed?: 
Yes
Only at Party Request
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
For exemption hearings under Securities Exchange Act 12(h), the regulations specifically provide for public hearings. 12 C.F.R. § 19.123(d). For other in-person hearing types, the regulations do not specify whether hearings are public or private. This question is not applicable to document-only hearings.
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): 
Exemption securities proceedings have no time limit. Reclassification proceedings and director/senior executive dismissal proceedings are limited to 20 calendar days following record closing date (12 CFR 19.221(h); 165.8(a)(8); 12 CFR 19.231(f); 165.9(f)). Accountant immediate suspension proceedings require decision within 30 calendar days after hearing (12 CFR 19.243(c)(5). Crime-related discipline proceedings require decision within 20 days of hearing's conclusion, or if oral hearing waived, within 20 days of date fixed for hearing (12 C.F.R. §§ 19.113(a); 108.12(a)).
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?: 
No
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): 
Contents of administrative record specified only for crime-related discipline proceedings involving Federal savings association-connected individuals See 12 CFR 108.12
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
Yes (Some Types of Cases)
If "Yes," please provide citation(s): 
In a few case types, presiding officers are authorized to allow post-hearing submissions for five business days following the hearing. See 12 C.F.R. §§ 19.221(g)(3); 165.8(a)(7)(iii) (reclassification proceedings); 19.231(d)(3); 165.9(d)(3) (director/senior executive dismissal proceedings); 19.112(d)(4); 108.7(c) (crime-related discipline proceedings).
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Three case types (exemption proceedings, director/senior executive dismissal proceedings, accountant immediate suspension proceedings) require in-person hearings. Two case types (reclassification proceedings, crime-related discipline proceedings) allow either written or in-person hearings. Regarding hearing transcription: All hearings are recorded and/or transcribed under this scheme, except immediate suspension of accountants/auditing firms under 12 C.F.R. § 19.243(c). Also, for the crime-related discipline proceeding case type, for national bank-connected individuals, a transcript of the proceedings "may be taken if the petitioner requests a transcript and agrees to pay all expenses or if the presiding officer determines that the nature of the case warrants a transcript." Id. § 19.112(d)(4). However, for Federal savings association-connected individuals in crime-related discipline hearings, all oral argument and testimony "shall" be recorded, and transcripts must be made available to the petitioner upon payment of costs. See id. § 108.7(e). In exemption cases, before a case reaches a presiding officer, the Comptroller has authority to "deny an application for exemption without a hearing." 12 C.F.R. § 19.120.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Verified by Agency: 
Not verified