Other Fields
Agency Scheme: 
SBAOGNRL0001
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Office of Hearing and Appeal
Name of Hearing Office (global name): 
Small Business Administration: Office of Hearing and Appeal
Hearing Officer #1 (Title): 
Administrative Law Judge
Hearing Officer #2 (Title): 
Administrative Judge
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (Some Types of Cases)
Comments/Notes on Adjudication Structure: 

-The governing regulations provide for hearing officers in the form of ALJs or Administrative Judges, depending on whether the Administrative Procedure Act governs the case. See 13 CFR 134.218(a). Cases are assigned by the Assistant Administrator for OHA (AA/OHA). If the AA/OHA is himself a licensed attorney, he may assign cases to himself and preside therein as an Administrative Judge. Id.
-The appeal officer designated as "the Administrator" is the head of the agency; regulations delegate appellate authority to "the Administrator." See 13 CFR 134.228.

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
About what percentage of private parties were represented at hearings (FY2013)?: 
75.00%
Who may serve as an agency representative?: 
Attorney
Regulations/rules of practice for hearings (please include CFR citations): 
13 CFR 134.201 - 134.229 (general rules); 13 CFR Part 134, Subparts C - H (special rules as to specific case types)
Other published guidance for hearings (if any): 
http://www.sba.gov/oha (OHA website; includes searchable database of published OHA decisions)
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.): 
Requests for admissions, requests for production of documents, interrogatories, and depositions. See 13 CFR 134.213(b). The scope of discovery does not differ based upon the type of case, but a party may obtain discovery only upon motion, and for good cause shown. See 13 CFR 134.213(a). Also see 13CFR 134.301 (Size Determinations and NAICS code designations and 13 CFR 134.511 (Service Disabled Veteran Small Business Concerns).
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 (Some Types of Cases)
How far in advance of the hearing date is notice typically provided?: 
15 Days
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%
How is the type of hearing selected: 
Required by Rule
Depends on Nature of Case/Claim
Please describe: 
-Oral hearings are allowed only where they are required by regulation, or where the hearing officer orders one (either upon motion or sua sponte) after concluding that a genuine dispute of fact exists that requires taking testimony and confronting witnesses. See 13 CFR 134.222.(a).
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
-Oral hearings are not allowed in every case. See 13 CFR 134.222(a). Witness testimony is permitted in in-person hearings. This question is not applicable to document-only hearings.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
-Cross-examination is allowed in in-person hearings. This question is not relevant to document-only hearings.
Can third-parties submit amicus briefs and/or evidence?: 
Adjudication Officer Discretion
Are hearings recorded and/or transcribed?: 
Yes
N/A (Document-Only Hearings)
Are hearings open to the public?: 
Varies by Case
If "Varies by Case," please describe: 
-Where oral hearings are held, they are open to the public unless the hearing official orders otherwise. See 13 CFR 134.222(c). 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): 
13 CFR 134.226(b) - "Decisions pertaining to the collection of debts owed to SBA and the United States under the Debt Collection Act of 1982, the Debt Collection Improvement Act of 1996, and Part 140 of this chapter must be made within 60 days after a petition is filed. Time limits for decisions in other types of cases, if any, are indicated either in the applicable program regulations or in other subparts of this part 134." Also see 134.316 and 134.409.
About how long does it take on average—as of FY2013—to adjudicate claims/cases at the hearinglevel stage (i.e., from case filing: 
30 Days
Is judicial review available after issuance of a final decision?: 
Yes (All Types of Cases)
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at the hearing-level stage?: 
First-In/First-Out Basis
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?: 
Yes (All Decisions)
If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe: 
All final decisions are published with some exceptions, see 13 CFR 134.808 (Rules of Practice for Employee Disputes).
Do agency regulations/rules of practice specify the contents of the administrative record at the hearing-level stage?: 
Yes (All Types of Cases)
If "Yes," please provide citation(s): 
13 CFR 134.225(a) - "The record of a case before OHA will consist of all pleadings, motions, and other non-evidentiary submissions, all admitted evidence, all orders and decisions, and any transcripts of proceedings in the case."
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): 
13 CFR 134.225(b) - "The Judge will set the date upon which the pre-decisional record of the case will be closed, and after which no additional evidence or argument will be accepted."
ADJUDICATORS
Total # of Hearing Officers: 
4
Comments/Notes on Hearing-Level Adjudicators (Optional): 
-The Administrative Judges identified as Hearing Officer #2 are non-ALJ hearing officers who preside in cases under this scheme that are not subject to the APA. See 13 CFR 134.218(a).
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?: 
Mediation
Other
If "Other," please specify:: 
13 CFR 134.217 empowers the parties to settle at any point during the pendency of case, and file their agreement in a joint motion to dismiss the case.
Who conducts the ADR?: 
Non-Presiding Adjudicator
Regulations/rules of practice governing ADR process (please include CFR citations): 
13 CFR 134.216 - 134.217
Comments/Notes on ADR Process (Optional): 
13 CFR 134.216(c) states that "[t]he AA/OHA or a Judge may designate a Judge or attorney assigned to OHA to serve as a neutral in alternative dispute resolution procedures. If OHA provides the neutral and the mediation fails to resolve all issues in the case, the OHA-provided neutral will not be involved in the adjudication."
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
145
Total # Cases Decided/Closed (FY2013): 
129
Total # Cases Pending (End of FY2013): 
16
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
Yes
Verified by Agency: 
Verified