Mission and Structure of the Office of Hearings and Appeals
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OFFICE OF HEARINGS AND APPEALS
MISSION
The Office of Hearings and Appeals (HG) is responsible for conducting
hearings, and issuing the initial decision of the Department with respect to any
adjudicative proceedings which the Secretary may delegate, except those within
the jurisdiction of the Federal Energy Regulatory Commission (FERC) and the
Board of Contract Appeals. Jurisdiction encompasses complaints filed under the
DOE Contractor Employee Protection Program, Proposed Remedial Orders issued by
the Economic Regulatory Administration, and Personnel Security Hearing Officer
and Review functions. The Office analyzes and decides appeals requesting review
of any determination reached by any other official within the Department under
the jurisdiction of the Secretary, including initial determinations under the
Freedom of Information Act, the Privacy Act, the payments-equal-to-taxes (PETT)
provisions of Nuclear Waste Policy Act of 1982, as amended, the special
assessment provisions for the Uranium Enrichment Decontamination and
Decommissioning Fund under the Energy Policy Act of 1992, the reimbursement of
costs of remedial actions at active uranium or thorium processing sites under
the Energy Policy Act of 1992, the emergency international oil allocation
provisions of the Energy Policy and Conservation Act, and the Standby Mandatory
Crude Oil and Product Allocation, Refinery Yield Control and Pricing Programs.
HG is responsible for deciding Applications for Exception from the generally
applicable requirements of a rule, regulation or order of the Department. It
develops and implements procedures under the Petroleum Overcharge Distribution
and Restitution Act of 1986 for refunding oil overcharge funds obtained pursuant
to Departmental consent orders, remedial orders, and court orders to injured
parties. The Office also analyzes Petitions for Special Redress seeking "extraordinary
relief" apart from or in addition to any other remedy provided in the
Department's enabling statutes. The organization of HG also includes the Board
of Contract Appeals (BC). However, no operational realignment of BC with HG is
contemplated by AD at this time.
ORGANIZATIONAL RELATIONSHIPS
HG reviews orders issued by other organizations of the Department (other
than FERC and BC), including Proposed Remedial Orders of the Economic Regulatory
Administration, initial decisions on "whistleblower" complaints of the
Office of Contractor Employee Protection, initial determinations
(Department-wide) under the Freedom of Information and Privacy Acts, initial
determinations by the Office of Environmental Restoration and Waste Management
for payments into the Uranium Enrichment Decontamination and Decommisioning Fund
and payments out of that fund for the reimbursement of costs of remedial action
at active uranium or thorium processing sites, and initial decisions by the
Office of Civilian Radioactive Waste Management under the PETT provisions of the
Nuclear Waste Policy Act. HG also conducts Personnel Security Hearing Officer
and Review functions for the Office of Security Affairs. Certain decisions and
orders issued by HG are subject to review on appeal by FERC.
ORGANIZATIONAL STRUCTURE
1. Office of Legal Analysis 2. Office of Financial Analysis 3. Office of
Economic Analysis 4. Office of Management Operations Management Information
Division Docket and Publications Division
FUNCTIONS
1. Issues all decisions on requests for "adjustment" in which an
applicant seeks to be excepted or exempted from the obligation that it comply
with any generally applicable rule, regulation or order of the Department (other
than FERC or BC), under Section 504 of the DOE Organization Act and 10 CFR Part
205. Supervises discovery, conducts formal adversary hearings and decides
motions made during the course of its consideration of these submissions. 2.
Makes final determinations on behalf of the Secretary in connection with
Proposed Remedial Orders issued by the Economic Regulatory Administration, under
Section 503 of the DOE Organization Act and 10 CFR Part 205. In that connection,
in order to afford a firm that is charged with violating regulatory requirements
a full opportunity to demonstrate that a Proposed Remedial Order is erroneous in
fact or law, the Office conducts formal adversary hearings, and supervises
discovery and decides motions in connection with those hearings. 3. Considers
Petitions for Implementation of Special Refund Procedures filed by the Economic
Regulatory Administration for distributing funds obtained by the Department
through enforcement of the petroleum price and allocation regulations, under the
Petroleum Overcharge Distribution and Restitution Act of 1986 and 10 CFR Part
205. Issues decisions setting forth procedures and standards to be applied in
evaluating individual refund claims, and then issues decisions on individual
refund applications. 4. Holds hearings and issues initial decisions on contested
"whistleblower" complaints filed under DOE's Contractor Employee
Protection Program, under the Atomic Energy Act, and the Energy Reorganization
Act of 1974, as amended, and 10 CFR Part 708. 5. Performs Personnel Security
Hearing Officer and Review Examiner functions (reviewing suspensions or denials
of clearances) for the Office of Security Affairs, under the Atomic Energy Act,
as amended, Executive Order 12356, and 10 CFR Part 710, Subpart A. 6. Analyzes
and decides appeals in adjudicative matters under the jurisdiction of the
Secretary, including initial determinations made under (i) the
payments-equal-to-taxes ("PETT") provisions of the Nuclear Waste
Policy Act of 1982, as amended, which relates to the siting of a repository for
high-level radioactive waste or a monitored retrievable storage ("MRS")
facility, (ii) the Energy Policy Act of 1992 (payments into the Uranium
Enrichment Decontamination and Decommissioning Fund and payments out of that
fund for reimbursement of costs of remedial action at active uranium or thorium
processing sites), (iii) the emergency international oil allocation provisions
of the Energy Policy and Conservation Act, and (iv) the Standby Mandatory Crude
Oil and Product Allocation, Refinery Yield Control and Pricing Programs. 7.
Decides Freedom of Information Act and Privacy Act appeals for the Department,
under 10 CFR Part 1004. 8. Analyzes and decides Petitions for Special Redress
under Section 21 of the Federal Energy Administration Act of 1974 seeking "extraordinary
relief" apart from or in addition to any other remedy provided in the DOE's
statutes or regulations. 9. Considers and decides Applications for Stay filed in
connection with its proceedings. 10. Publishes in the Federal Register and
circulates among interested parties notices concerning official proceedings and
the issuance of Decisions and Orders. Maintains a Public Reference Room pursuant
to existing regulatory requirements. 11. Participates in the development of and
concurs in all procedural regulations of the Department and issues, reviews and
corrects those rules of practice and procedure which it is responsible for
administering and implementing.
OFFICE OF LEGAL ANALYSIS
MISSION
The Office is responsible for performing legal research with respect to
submissions filed with the Office and recommending the final decision which the
Department should issue with respect to Appeals, Applications for Exception, and
other proceedings that primarily focus upon legal issues. Develops a full
administrative record by receiving documentary evidence, conducting adversarial
hearings, and preparing detailed written determinations. Formulates the legal
procedures and substantive standards for the various types of adjudicative
proceedings within the jurisdiction of the Office of Hearings and Appeals. The
legal aspects of the Department's decisions must satisfy due process standards
and withstand review by the courts, and the work of this Office is, therefore,
central to the implementation of the Administration's energy policy. Those
decisions establish precedent and legal guidance for key divisions of the
Department and govern the manner in which these Offices exercise their
responsibilities and affect all levels of the energy industry. This Office also
provides legal support to the Director and to other offices in the Department on
matters involving Office of Hearings and Appeals litigation and procedural
regulations. There is no organizational substructure.
FUNCTIONS
1. Performs original legal research, including review of relevant statutory,
regulatory, judicial material, and analysis of legal arguments submitted. 2.
Exercises substantive responsibilities with respect to case adjudications.
Analyzes submissions, reviews evidence provided by applicants, intervenors and
aggrieved parties. 3. Holds conferences and hearings on the record with
applicants and the legal representatives of the parties that are affected by DOE
regulatory programs. Conducts formal adjudications with respect to various
submissions and makes rulings on discovery, evidentiary issues and motions of
various types presented during the course of these hearings. 4. Formulates a
written Decision and Order that fully evaluates all legal and factual issued
presented in the case and in appropriate cases, structures a remedy for the harm
that is shown to exist.
OFFICE OF FINANCIAL ANALYSIS
MISSION
This Office is responsible for analyzing submissions and recommending the
decisions which the Office should issue with respect to those Appeals,
Applications for Exception, Proposed Remedial Orders, refund petitions, and
other submissions that involve complex financial issues. Also develops a full
administrative record by receiving documentary evidence, conducting hearings,
and preparing detailed written determinations. The submissions considered by
this Office require analysis of major corporate transactions, the structuring of
detailed remedies for regulatory abuses and the development and implementations
of plans which assess the extent of injury and establish mechanisms to make
monetary restitution for prior regulatory violations. Activities involve the
selection and application of various methods of financial analysis and the use
of sophisticated indices to measure the fiscal impact of Departmental programs
on a wide variety of business and governmental entities throughout the nation.
There is no organizational substructure.
FUNCTIONS
1. Establishes the financial methodology and benchmarks which the Office of
Hearings and Appeals utilizes in its case analysis and reviews the
appropriateness of that analytical framework in light of changing financial
conditions in each firm and in the industry. 2. Exercises substantive
responsibilities with respect to case adjudications. Analyses submissions,
reviews evidence provided by applicants and petitioners. 3. Holds conferences
and hearings on the record with applicants and the legal representatives of the
parties that are affected by DOE regulatory programs. Conducts formal
adjudications with respect to various submissions and makes rulings on
discovery, evidentiary issues and motions of various types presented during the
course of these hearings. 4. Formulates a written Decision and Order that fully
evaluates all legal and factual issues presented in the case and in appropriate
cases, structures a remedy for the harm that is shown to exist.
OFFICE OF ECONOMIC ANALYSIS
MISSION
This Office is responsible for analyzing submissions and recommending the
decisions that the Office should issue with respect to those Appeals,
Applications for Exception, and other requests that primarily focus upon
economic issues. In reaching determinations on these applications, develops a
full administrative record by receiving documentary evidence, conducting
adversarial hearings involving expert econometric testimony, and preparing
detailed written determinations. Submissions considered by this Office require
economic analysis of the activities of major corporations, in order to assess
the effects of those activities and to structure specific remedies for
regulatory abuses. This Office performs analyses to develop appropriate economic
structures for refunding petroleum overcharges to adversely affected parties.
The resolution of these issues results in a substantial impact on various
sectors of the economy, including refiners, major utilities, industrial and
military installations, as well as on Federal, state, and local governmental
entities in all regions of the United States. This Office also analyzes the
benefit and burden on firms requesting relief from EIA reporting requirements.
There is no organizational substructure.
FUNCTIONS
1. Performs original economic research and market and price analysis of the
economic impact involved in submissions to the Office of Hearings and Appeals.
2. Exercises substantive responsibilities with respect to case adjudications.
Analyzes submissions, reviews evidence provided by applicants, intervenors and
aggrieved parties. 3. Holds conferences and hearings on the record with
applicants and the legal representatives of the parties that are affected by DOE
regulatory programs. Conducts formal adjudications with respect to various
submissions and makes rulings on discovery, evidentiary issues and motions of
various types presented during the course of these hearings. 4. Formulates a
written Decision and Order that fully evaluates all legal and factual issues
presented in the case and in appropriate cases, structures a remedy for the harm
that is shown to exist.
OFFICE OF MANAGEMENT OPERATIONS
MISSION
The Office of Management Operations is responsible for establishing and
operating the filing systems and docket facilities in connection with all
adjudications pending before the Office of Hearings and Appeals. Also, it
provides administrative support and general management assistance to other HG
offices.
FUNCTIONS
Management Information Division 1. Establishes and operates a
management information system which contains a full history of all findings made
in cases under consideration by the Office. 2. Coordinates with appropriate DOE
offices, all support functions for the Office with respect to program planning,
budget, travel, proficiency training, personnel, equipment and management
information systems. 3. Maintains an information retrieval and data system in
connection with all adjudications and provides support services. Docket and
Publications Division 1. Receives, screens, logs and controls all documents
submitted to the Office of Hearings and Appeals in connection with pending
cases. Maintains official DOE case history files for all matters in which the
Office has rendered a Decision. Certifies the record on appeal when a matter is
appealed to the courts or to the FERC. 2. Operates a Public Reference Room
through which the pubic is afforded access to filings, decisions and other
documents with respect to cases which are either pending or have been decided by
the Office of Hearings and Appeals. 3. Arranges for the publication and
dissemination of all Decisions and Orders of the Office of Hearings and Appeals.
BOARD OF CONTRACT APPEALS
MISSION
The Board of Contract Appeals (BC) is responsible for adjudicating or
otherwise resolving appeals involving contract related disputes pursuant to the
Contract Disputes Act of 1978. In addition, by delegation of authority from the
Secretary, BC acts as the Contract Adjustment Board under 50 U.S.C. 1431, the
Invention Licensing Appeals Board (45 Fed. Reg. 48910), the Financial Assistance
Appeals Board (45 Fed. Reg. 29764), and the Patent Compensation Board (46 Fed.
Reg. 39581).
FUNCTIONS
The Board of Contract Appeals acts independently and exercises the statutory
authority of the Secretary of Energy to adjudicate all matters arising under the
Contract Disputes Act, as well as the other types of proceedings delegated to it
by the Secretary. BC issues rules and procedures for all matters within its
jurisdiction. In addition to its functions under the Contract Disputes Act, BC
carries out the following statutory or regulatory functions of these other four
Boards: 1. Contract Adjustment Board. The Board considers applications for
extraordinary contractual relief under 50 U.S.C. 1431 involving contractual
fairness cases, and such other matters as may be specifically referred to the
Board by the Secretary or her designee. 2. Invention Licensing Appeals Board.
The Board hears and decides appeals from any decision brought before it on the
licensing of inventions pursuant to 10 CFR Part 781 and provides all requisite
notices to the parties involved. 3. Financial Assistance Appeals Board. The
Board hears and decides appeals from any decision brought before it on disputes
arising under financial assistance agreements, including grant agreements,
cooperative agreements, and loan guarantee agreements, pursuant to Departmental
regulations at 10 CFR Part 1024. 4. Patent Compensation Board. The Board
conducts and decides any proceedings brought before it pursuant to Departmental
regulations at 10 CFR Part 780; declares patents affected with the public
interest pursuant to Section 153a of the Atomic Energy Act of 1954, as amended,
42 U.S.C. 2183a; and makes the final determination to issue patent licenses
pursuant to Sections 153b(2) or 153e of the Atomic Energy Act , 42 U.S.C.
2183b and 2183e. The Board is authorized to determine reasonable royalty fees
or resolve issues involving the grant of awards under Section 157 of the Atomic
Energy Act, 42 U.S.C. 2187, and to make decisions on compensation under
Section 173, 42 U.S.C. 2223, and the Invention Secrecy Act, 35 U.S.C. 183.
BC may also act to resolve any other quasi-judicial matter which may be assigned
by the Secretary of Energy.
ORGANIZATIONAL RELATIONSHIPS
As stated before, no operational realignment of BC with HG is contemplated
by AD at this time.
ORGANIZATIONAL STRUCTURE
The Board of Contract Appeals consists of three full-time, permanent members
(the Chairman, Vice-Chairman, and a member of the Board), and a support staff.
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