Scheme Nickname: 
ALJ/Secretary process

This Type A formal adjudication scheme consists of an ALJ as a hearing officer, with the right to appeal to the Secretary or a Secretary designee. This scheme covers three types of cases: [1] Office of Foreign Assets Control (OFAC) enforcement cases for U.S. sanctions against Cuba (see 31 C.F.R. Part 501 Subpart D, Part 515); [2] IRS practice discipline proceedings (see 31 C.F.R. §§ 10.50 - 10.53, 10.60 - 10.82); and [3] Alcohol and Tobacco Tax and Trade Bureau (TTB) practice discipline proceedings (see 31 C.F.R. §§ 8.1-8.11, 8.51-8.72). The discipline proceedings are generally instituted by a complaint filed by an agency employee or another practitioner. If there is no appeal, the ALJ's decision becomes the Department's final decision. See 31 C.F.R. §§ 501.741, 10.76, 8.68. The Secretary/designee can also review a case on his or her own motion. See 31 C.F.R. §§ 501.741(a), 10.78, 8.68.

For OFAC Cuba cases, the Director of OFAC serves as a pre-hearing/first-line decisional officer. The Director issues a Prepenalty Notice, containing the right to respond by written submissions and the right to request a hearing. However, a hearing won't be considered until a Penalty Notice is issued. 31 C.F.R. § 501.706(b)(3).

Comments/Notes on Adjudication Structure: 
The "Office of ALJs" includes three hearing offices: Office of Foreign Assets Control (OFAC); IRS Office of Professional Responsibility (IRS OPR); Alcohol Tax and Trade Bureau (TTB) Office of Management NOTE: In TTB disciplinary proceedings, appeals are heard by the "Secretary." In OFAC Cuba and IRS disciplinary proceedings, regulations specify that a designee or delegate of the Secretary hears appeals, but no such designation exists in TTB proceedings. See 31 C.F.R. §§ 501.702(m), 10.50.
Types of Adjudication: 
Type A
Resources & Articles:
Verified by Agency: 
Is this a Major Adjudication: