MISSION
The Office of Hearings and Appeals (HG) is the quasi-judicial
arm of the Department of Energy that conducts hearings and issues initial
Departmental decisions with respect to any adjudicative proceedings which the
Secretary may delegate, except those within the jurisdiction of the Federal
Energy Regulatory Commission (FERC). HG jurisdiction principally includes
Personnel Security Hearing Officer functions (10 CFR Part 710) and
"whistleblower" complaints filed under the DOE Contractor Employee
Protection Program (10 CFR Part 708). The Office also analyzes and decides
appeals requesting review of determinations reached by officials within the
Department under the jurisdiction of the Secretary, including initial
determinations under the Freedom of Information Act, 10 CFR 1004.1, the Privacy
Act, 10 CFR 1008, the payments-equal-to-taxes (PETT) provisions of the Nuclear
Waste Policy Act of 1982, as amended, and the Alternative Fuels Transportation
Program (10 CFR Part 490). In addition, HG is responsible for deciding
Applications for Exception from generally applicable requirements of a rule,
regulation or order of the Department, and analyzes Petitions for Special
Redress seeking "extraordinary relief" apart from or in addition to
any other remedy provided in the Department’s enabling statutes.
ORGANIZATIONAL RELATIONSHIPS
HG performs Personnel Security Hearing Officer and Review
functions for the Office of Health, Safety and Security, and in connection with
contractor employee ("whistleblower") complaints filed with DOE site
managers of the Office of Employee Concerns. HG adjudicates Applications for
Exception from the DOE energy efficiency standards for consumer products and, in
this capacity, works closely with the Office of Energy Efficiency and Renewable
Energy. Similarly, HG grants or denies exception relief from the form filing
requirements of the DOE Energy Information Administration (EIA), and thus
interfaces with EIA on a regular basis. HG also reviews orders issued by other
organizations of the Department (other than FERC), including: (i) initial
determinations (Department-wide) under the Freedom of Information and Privacy
Acts, (ii) initial determinations by the Office of Environmental Restoration and
Waste Management for payments into the Uranium Enrichment Decontamination and
Decommissioning Fund and payments out of that fund for the reimbursement of
costs of remedial action at active uranium or thorium processing sites, and
(iii) initial decisions by the Office of Civilian Radioactive Waste Management
under the PETT provisions of the Nuclear Waste Policy Act. Certain decisions and
orders issued by HG are subject to review on appeal by FERC.
ORGANIZATIONAL STRUCTURE
1) Personnel Security and Appeals
2) Division Employee Protection and Exceptions Division
3) Management Operations Unit
OFFICE FUNCTIONS
Perform Personnel Security Hearing Officer and Review
Examiner functions (reviewing suspensions or denials of clearances) for the
Office of Health, Safety and Security, under the Atomic Energy Act, as amended,
Executive Order 12356, and 10 CFR Part 710, Subpart A. · Conduct
investigations, hold hearings, issue initial decisions and adjudicate appeals 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. · Issue all
decisions on requests for "adjustment" (Applications for Exception) 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 ), under Section 504 of the DOE Organization Act and 10 CFR
Part 205. Supervise discovery, conducts formal adversary hearings and decide
motions made during the course of its consideration of these submissions. ·
Analyze and decide 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), and (iii) the Alternative Fuels Transportation Program, 10
CFR Part 490. · Decide Freedom of Information Act appeals, under 10 CFR Part
1004, and Privacy Act appeals, under 10 CFR Part 1008, for the Department. ·
Analyze and decide 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. · Consider and decide Applications for Stay filed in connection
with its proceedings. · Participate in the development of and concur in all
procedural regulations of the Department and issue, review and correct those
rules of practice and procedure which it is responsible for administering and
implementing.
PERSONNEL SECURITY AND APPEALS DIVISION
This Division is primarily responsible for performing
adjudications and issuing Initial Agency Decisions on behalf of the Department
regarding whether a contractor or DOE employee’s access authorization
(security clearance) should be denied or revoked under 10 C.F.R. Part 710.
Hearing Officers are assigned under a delegation of authority from
the Director, to conduct hearings and issue detailed determinations that analyze
the evidence and render agency decisions as to whether individuals should
receive or retain a security clearance. This process is intended to assure that
only reliable persons have access to classified information. In addition, this
Division is responsible for adjudicating various Appeals falling within the
jurisdiction of HG, including, but not limited to: (1) Freedom of Information
Act and Privacy Act appeals under 10 CFR Parts 1004 and 1008, respectively; (2)
jurisdictional appeals, appeals of Hearing Officer determinations, and Petitions
for Secretarial Review filed under DOE’s Contractor Employee Protection
Program, 10 CFR Part 708; (3) appeals filed by qualifying local jurisdictions of
Departmental determinations under the Payments-Equal-to-Taxes provisions of the
Nuclear Waste Policy Act of 1982, 56 Fed. Reg. 42314, and (4) appeals from
decisions of the Office of Energy Efficiency and Renewable Energy that deny
exemptions from, or assess penalties pursuant to, the Alternative Fuel
Transportation Program, 10 CFR Part 490. In assigned cases, this Division
develops a full administrative record by receiving documentary and testimonial
evidence, conducting conferences and hearings as required or deemed necessary,
and preparing detailed written determinations. It also formulates the
legal procedures and substantive standards for the various types of adjudicative
proceedings within HG jurisdiction and assigned to the Division. The legal
aspects of the Department's decisions must satisfy due process standards,
withstand review by the courts, and accurately reflect the Administration's
energy policy. Those decisions establish precedent and legal guidance for key
offices within the Department, govern the manner in which the Department
exercises its responsibility and affect all levels of the energy industry. This
Division 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.
EMPLOYEE PROTECTION AND EXCEPTIONS DIVISION
This Division is primarily responsible for conducting
investigations and hearings on complaints filed under the DOE Contractor
Employee ("Whistleblower") Protection Program, 10 CFR Part 708. Under
this Program, DOE contractors are prohibited from discriminating against any
employee (a potential whistleblower) for making a disclosure to a superior or a
government official regarding a substantial violation of law, substantial danger
to public health and safety, fraud, gross waste or gross mismanagement, or for
refusing to participate in an act that violates a health or safety law or poses
a reasonable fear of serious injury. This Division initially assigns an
investigator, as requested by a Part 708 complainant, to conduct interviews of
the putative whistleblower and witnesses, memorialize witness statements, and
prepare a Report of Investigation. A Hearing Officer is then assigned under a
delegation of authority from the Office Director, to conduct a hearing and issue
an initial agency decision on the merits of the Part 708 complaint. In addition,
this Division is responsible for adjudicating various Applications for Exception
(10 CFR Part 1003, Subpart B) filed by parties seeking an exception from DOE
regulations upon the ground that a regulatory requirement causes them a serious
hardship, gross inequity, or unfair distribution of burdens, as well as in cases
involving Petitions for Special Redress. In considering these cases, this
Division must equitably consider whether the regulatory requirements are
consistent with the purposes underlying the applicable statutes and regulations
or whether the benefit to the public and to the affected program outweighs the
hardship that the regulations cause the applicant. These cases may involve
substantial issues of policy that affect entire industries and the economy of
the United States as a whole. In assigned cases, this Division develops a
full administrative record by receiving documentary evidence, conducting
conferences and hearings as required or deemed necessary, and preparing detailed
written determinations. It also formulates the legal procedures and
substantive standards for the various types of adjudicative proceedings within
HG jurisdiction and assigned to the Division. The legal aspects of the
Department's decisions must satisfy due process standards, withstand review by
the courts, and accurately reflect the Administration's energy policy. Those
decisions establish precedent and legal guidance for key offices within the
Department, and govern the manner in which the Department exercises its
responsibility and affect all levels of the energy industry. This Division 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.
MANAGEMENT OPERATIONS UNIT
The Management Operations Unit has first-level
responsibility to provide administrative, program, and general management
assistance and support to the Office of Hearings and Appeals, its management and
staff personnel. It establishes and operates the filing systems and docket
facilities in connection with all adjudications pending before the Office.
It also provides for the establishment and operation of automated systems
to efficiently and effectively support the mission and goals of the Office. A
more descriptive overview follows:
Management Information Sub-Unit
1. Provide for and maintain computer and other technological
services and support necessary to carry out the overall mission and work of the
Office; 2. Establish and operates a management information system which contains
a full history of all petitions and findings made in cases under consideration
by the Office. It facilitates the retrieval and dissemination of case-related
information in special, ad-hoc and routine reports for internal and external
users. 3. Coordinates with appropriate DOE offices in the acquisition and
utilization of all support services and functions for the Office with respect to
program planning, budget, travel, proficiency training, personnel services,
equipment and management information systems.
Docket and Publications Sub-Unit
1.Receive, screen, log and control all documents submitted
to the Office of Hearings and Appeals in connection with new and pending cases.
Maintain official DOE case history files for all matters in which the
Office has rendered a Decision. Certify the record on appeal when an OHA
decision is appealed to the Secretary, the FERC or to the Federal Courts; 2. In
accordance with Title 44 of the United States Code, the Office established and
operates a vigorous Federal Records Program that encompasses paper and
electronic records. 3. Provide custodianship and access to paper and electronic
filings, decisions and other documents with respect to cases which are either
pending or have been decided by the Office of Hearings and Appeals; 4. Arrange
for the publication and dissemination of all Decisions and Orders of the Office
of Hearings and Appeals.
Personnel Administration Sub-Unit
1.Oversee human resource administration program and serves
as principal advisor to HG management on all matters regarding personnel
administration, including recruitment, staffing and Departmental policies and
guidelines. Prepares appropriate documentation to perform personnel actions, as
directed, and maintains personnel records; 2. Assist in HG budget formulation
process, provide budget recommendations, performs budget execution and monitors
expenditures. Performs other administrative tasks as assigned by the Director;
3. Control and monitor Office inventory levels of equipment, furniture and
supplies. Maintain official administrative files of procurement
activities.
