Other Fields
Agency Scheme: 
USDCCONF0014
ADJUDICATION STRUCTURE
Hearing Level: Basic Structure
Name of Hearing Office (local name): 
Ethics Law and Program Division
Name of Hearing Office (global name): 
Department of Commerce: Ethics Law and Program Division
Sub-Agency/Bureau/Division:: 
Office of the Secretary
Hearing Officer #1 (Title): 
Hearing Examiner
Are administrative appeals permitted from final decisions at the hearing-level stage?: 
Yes (All Types of Cases)
Comments/Notes on Adjudication Structure: 

This scheme provides for hearings for imposing sanctions against a former Department of Commerce employee for violating the post-employment restrictions of the conflict of interest laws and regulations set forth in the Ethics in Government Act (18 USC 207) and its regulations, found in 5 CFR Part 737.

This scheme allows for a hearing before the Ethics Law and Program Division Chief or his designee, with an appeal available to the Assistant Secretary for Administration. Judicial review of these decisions is allowed.

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
Regulations/rules of practice for hearings (please include CFR citations): 
15 CFR 0.735-42 through 0.735-47
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.): 
Yes, but it is very limited and conditional on agreement of the parties. ("There shall be no discovery unless agreed to by the parties and ordered by the examiner.") 15 CFR 0.735-46(d).
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 (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
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 at in person hearings. This question is not applicable for document-only hearings.
Can parties cross-examine witnesses?: 
Varies by Case
If "Varies by Case," please describe: 
Cross-examination is permitted at in person hearings. This question is not applicable for document-only hearings.
Can third-parties submit amicus briefs and/or evidence?: 
No
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: 
"The hearing shall not be open to the public unless the former employee or the former employee's representative waives the right to a closed hearing, in which case the examiner shall determine whether the hearing will be open to the public." 15 CFR 0.735-46(d). This question is not applicable to document-only hearings.
PROCESS & PROCEDURE - Post-Hearing Procedure
Who has authority to issue final decisions?: 
Adjudication Officer
Do agency regulations or guidance provide time limits for issuance of final decisions?: 
No
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?: 
No
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): 
The initial decision of the hearing examiner becomes the final decision of the Agency if there is no appeal within 30 days. See 15 CFR 0.735-46(f)(3). "[T]he Federal Rules of Evidence and Civil Procedure do not apply but the examiner shall exclude irrelevant or unduly repetitious evidence and all testimony shall be taken under oath or affirmation. The examiner may make such orders and determinations regarding the admissibility of evidence, conduct of examination and cross-examination, and similar matters which the examiner deems necessary or appropriate to ensure orderliness in the proceedings and fundamental fairness to the parties." 15 CFR 0.735-46(d)
ADJUDICATORS
Comments/Notes on Hearing-Level Adjudicators (Optional): 
"The examiner shall be impartial, shall not be an individual who has participated in any manner in the decision to initiate the proceedings, and shall not have been employed under the immediate supervision of the former employee or have been employed under a common immediate supervisor. The examiner shall be admitted to practice law and have suitable experience and training to conduct the hearing, reach a determination and render an initial decision in an equitable manner." 15 CFR 0.735-46(a)(2).
ADR: General Information
Is ADR available at one or more points during the hearing process?: 
No
Is ADR a mandatory or voluntary process?: 
Varies by Case
Verified by Agency: 
Not verified