Scheme Nickname:
"Formal" Adjudication
This is a "formal" adjudication scheme (as characterized by the agency, not necessarily in the APA sense for all case types) that uses ALJs or Presiding Officers for hearings on several different case types (e.g., denial or suspension of registration of a futures commission merchant, reparations for customer complaints, civil penalties, EAJA awards). Some proceedings are statutorily-required to be conducted by an ALJ or the Commission (Type A), while others may be conducted by ALJ or non-ALJ at agency's discretion. Appeals to the Commission permitted.
Comments/Notes on Adjudication Structure:
Types of Adjudication:
Type A
Type B
Comments/Notes on Adjudication Type(s):
In some types of proceedings, statutory provisions constrain the the choice of a presiding officer. For example, administrative enforcement proceedings under 7 USC 9(4)(C)(iii) are required, by statute, to he heard by either the Commission or an Administrative Law Judge.
Resources & Articles:
Amendments to CFTC adjudication regs making less formal: 78 Fed. Reg. 12933 (Feb. 26, 2013)
CFTC FY2014 Annual Budget & Perf. Plan (p 38): http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/cftcbudget2014.pdf
GAO Ruling on CFTC Reprogramming Allegation: http://www.gao.gov/assets/660/651588.pdf
H. Rep. 113-116 (113th Cong, 1st Sess.) (pp 58-59): http://www.gpo.gov/fdsys/pkg/CRPT-113hrpt116/pdf/CRPT-113hrpt116.pdf
Other Comments:
CFTC touted its "reorganization" of the Office of Proceedings (which is within the Office of the Executive Director) as one of its top FY 2012 Accomplishments, which included elimination (through RIF) of its 3 permanent ALJs. matters requiring ALJs now handled by retired or detailed ALJs, or ALJs borrowed from other agencies. In 2013, CFTC also amended its adjudication regulations to clarify (i.e., expand) the authority of "Judgment Officers" and make several adjudication schemes less formal in order to "promote the efficient use of the Commission's budget and personnel resources." (See 78 Fed. Reg. 12933 (Feb. 26, 2013). Various groups, including FALJC and some members of Congress, were not pleased. See references provided above for additional details.
Verified by Agency:
Not verified
Is this a Major Adjudication:
Yes