Other Fields
Agency Scheme: 
USDCBISF0003
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
United States Coast Guard Office of Administrative Law Judges
Name of Hearing Office (global name): 
Department of Commerce: United States Coast Guard Office of Administrative Law Judges
Hearing Officer #1 (Title): 
Administrative Law Judge
Hearing Officer #2 (Title): 
Under Secretary for the Bureau of Industry and Security
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

Among other subagencies, the Bureau of Industry and Security uses Coast Guard administrative law judges to adjudicate at the hearing level in formal proceedings that require an ALJ. The decisions, however, are still made pursuant to BIS regulations and are appealed to the Assistant Secretary for Export Administration; the Coast Guard simply provides ALJs for the Department of Commerce. When ALJs issue recommended decisions, the final decision-making authority resides with the Under Secretary for the Bureau of Industry and Security.

NOTE: The Secretary of Commerce also delegated to BIS the authority to hear Fastener Quality Act cases, whose regulations exist under the National Institute of Standards and Technology. Coast Guard ALJ's do not hear Fastener Quality Act 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): 
15 CFR Part 766
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.): 
Discovery may include: interrogatories, requests for admissions, and requests for production of documents in accordance with the Federal Rules of Civil Procedure. Additionally, upon a showing of good cause the ALJ will allow depositions. 15 CFR 766.9(c)
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)
How far in advance of the hearing date is notice typically provided?: 
60 Days
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 Agency
By Private Party
Please describe: 
If both parties waive an in person hearing, the matter can be decided on the record. In 2013, no cases actually went to a hearing (ALJ did not issue a decision and order). Three cases were filed, 1 case settled and 2 cases are still pending.
How many hearing officers preside at each hearing?: 
One
Is witness testimony permitted at hearings?: 
Varies by Case
If "Varies by Case," please describe: 
Witness testimony is permitted in oral 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 permitted in oral hearings. This question is not applicable 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: 
Hearings are presumed open, but may be closed under certain conditions. 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
Staff Attorney
Who has authority to issue final decisions?: 
Adjudication Officer
Other
If "Other," please specify: 
In cases involving violations of 15 CFR Part 760, the ALJ's decision is the initial decision and shall become final if not appealed. In other cases, the Under Secretary for the Bureau of Industry and Security uses the ALJ's findings as a recommended decision only, retaining the authority to issue the final decision him or herself.
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): 
For violations other than those of Part 760 of the EAR, the decision should be made within a year of the charging letter's submission, unless the ALJ extends the time period for good cause. See 15 CFR 766.17(d).
Is judicial review available after issuance of a final decision?: 
Yes (Some Types of Cases)
PROCESS & PROCEDURE - Case Management
How are claims/cases processed at the hearing-level stage?: 
Other
Please briefly describe your case management practice(s) at the hearing level stage: 
Once a Charging Letter is received, a Notice of Docket Assignment is filed (assigning the Docket Number). Cases are then assigned to a judge after the Answer is received; assignments are based on geographic locations and docket load. The judge then manages their own docket, taking the needs of the parties into consideration when setting scheduling orders.
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 (Some Decisions)
If "Yes (Some Decisions)," how does the agency determine which final decisions to publish/post? Please briefly describe: 
BIS has an electronic "Reading Room" (http://efoia.bis.doc.gov/) which keeps certain decisions in a PDF form from the last 5 years.
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): 
15 CFR 766.20(a)
Do agency regulations/rules of practice provide for closure of the record at the hearing-level stage (subject to applicable exce: 
No
PROCESS & PROCEDURE - Comments
Comments/Notes on Hearing-Level Process & Procedures (Optional): 
Interlocutory review is available either at the request of the party, or on the judge's own motion. See 15 CFR 766.14 A respondent may request that an ALJ reopen the case within one year of the final decision. See 15 CFR 766.19
ADJUDICATORS
Total # of Hearing Officers: 
6
Comments/Notes on Hearing-Level Adjudicators (Optional): 
The Bureau of Industry and Security, as well as several other subagencies in the Department of Commerce, uses Coast Guard administrative law judges to adjudicate at the hearing level in formal proceedings that require an ALJ.
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
CASELOAD STATISTICS - Summary Statistics
Total # Cases Filed/Opened (FY2013): 
3
Total # Cases Decided/Closed (FY2013): 
1
Total # Cases Pending (End of FY2013): 
2
CASELOAD STATISTICS - Supplementary Statistics
Does your agency maintain annual caseload statistics for this hearing office by case type (e.g., discrimination complaint, licen: 
No
WRAP-UP
Do you have any additional comments about your agency's responses on this form? If so, please provide comments below.: 
In 2013, only 3 export violation cases were initiated. In 1 case the parties entered into a settlement and the case was dismissed. In the other 2 cases, Charging Letter were filed, but the respondents did not file an Answer. Because of the limited number of cases, we have minimal case data that can be provided.
Verified by Agency: 
Verified
Related Documents: 
PDF icon USDCBISF0003 Supplemental Caseload Statistics APO
PDF icon USDCBISF0003 Supplemental Caseload Statistics FTZ