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U.S. Department of Education

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Functional Statements > Office of Finance and Operations

The Office of Management and Planning is responsible for the development and implementation of operational policies and procedures related to management and administrative functions, including direction of Office-wide management improvement initiatives.  The two components of the Office of Management and Planning are 1) the Executive Office; and 2) the Office of Hearings and Appeals (OHA).

The Office of Management and Planning is led by a Deputy Assistant Secretary for Management and Planning, who advises the OFO Assistant Secretary and Principal Deputy Assistant Secretary on matters related to the two organizational units and represents the Assistant Secretary and Principal Deputy Assistant Secretary at meetings, when appropriate.

## Executive Office

The Executive Office is responsible for: coordinating all procurement activities (i.e., establishing procurement priorities and schedules; processing accounts payable for purchase and delivery orders; formulating and executing administrative budgets; managing human and financial resources; developing internal administrative policies and procedures related to OFO travel and training); managing correspondence processes, including controlled correspondence, clearances, and coordination of responses to Government Accountability Office (GAO) studies and Office of Inspector General (OIG) inquiries; managing OFO Information Technology (IT) processes and relevant systems, including internal and external website design and maintenance; and supporting personnel processes in conjunction with the Office of Human Resources.

In performing its responsibilities, the staff:
                - Serves as the principal liaison between OFO's service area organizations.
                - Leads, develops, coordinates, and implements a comprehensive OFO employee communications strategy in support of OFO's mission to ensure communications to OFO employees, and as appropriate other ED employees, are consistent, accurate, and timely.
                - Manages the content of OFO's internal and external website information.
                - Manages procurement activities within OFO, providing guidance governing procurement activities, coordinating the preparation of procurement documents and the completion of required clearances; maintaining accurate records of individual activities; and paying invoices received from vendors.
                - Plans, formulates, and presents the personnel ceiling request and annual budgets for the Program Administration and central support accounts for all OFO units and develops the annual fiscal spending and operating plans for these accounts. 
                - Manages the functions of the correspondence control unit, assigning documents to appropriate OFO staff for review and clearance. 
                - Assists in the OFO preparation and production of OFO reports, submissions, documents, and testimony, and coordinates reviews of drafts and final versions of these materials. 
                - Manages OFO's IT processes (e.g., approve equipment acquisitions; facilitate employee application processing for the Department's Education Central Automated Processing System (EDCAPS), and ensure compliance with the Department's IT Security program requirements). 
                - Serves as OFO's official representative for agency-wide processes (e.g., Contracting Officer, IT Security Representative, Personnel Security Representative, Freedom of Information Act Liaison, and Records Management Representative) and systems (e.g., FMSS, E2, WebTA). 
                - Coordinates administrative and facilities management services for OFO employees including space planning, property inventory control, and health and safety. 
                - Develops employee engagement opportunities to showcase OFO's programs, products, and services.
                - Certifies funds availability and approves all expenditures and obligations for OFO administrative and program accounts, ensuring compliance with the Anti-Deficiency Act. Maintains personnel ceiling control and performs all financial execution functions including analysis of monthly obligation document reports, status of funds reports, and the planned versus actual expenditure reports. 
                - Operates OFO's personnel management system including recruitment, promotions, details, employee development, performance appraisals, awards, and security investigations. Develops or reviews OFO position descriptions and functional statements. Serves as liaison and coordinates performance appraisals and incentive award recommendations to assure adherence to budgetary constraints and departmental policies, directives, and regulations; and ensures their timely completion.

## Office of Hearings and Appeals

The mission of the Office of Hearings and Appeals (OHA) is to provide independent forums for the fair, impartial, equitable, and timely resolution of disputes involving the Department and recipients of federal education funds.  Also, it provides conflict resolution services to employees of the Department.

OHA ensures coordinated administrative oversight of the Department's various hearing bodies and is headed by a Chief Administrative Judge/Director who reports to the Deputy Assistant Secretary for Management and Planning.

In performing its responsibilities, the Immediate Office of the Chief Administrative Judge/Director:
                - Facilitates the development of standardized internal procedures, to the extent appropriate, among OHA components.
                - Ensures proper and coordinated case tracking and reporting.
                - Insulates the adjudicative process by serving as the Principal Office for inquiries about cases, including Congressional inquiries.
                - Coordinates arrangements for publication of decisions.
                - Coordinates the maintenance of security of files.
                - Coordinates arrangements for access by external parties to case precedents and responds, in conjunction with the Freedom of Information Act (FOIA) Officer where appropriate, to FOIA requests for OHA records.
                - Coordinates general support for all hearing related functions including arrangements for hearing rooms.
                - Conducts and/or oversees the assignment of all non-Administrative Procedure Act (APA) informal proceedings, including the tracking, dissemination, and archiving of those proceedings.

OHA is divided into the following components:
                - Administrative Law Judges Division; and
                - Alternative Dispute Resolution Center.

### Administrative Law Judges Division

Administrative Law Judges Division, established in accordance with Part D of the General Education Provisions Act, as amended, is a forum for hearing appeals by grantees under applicable programs (defined by statute) of ED enforcement actions.

OHA's Administrative Law Judges conduct administrative proceedings, which the Department is required to conduct subject to the Administrative Procedure Act (5 U.S.C. 551 et seq.).

In addition to programs that OHA is required to hear under Part D, OHA's Administrative Law Judges may also hear other proceedings under other statutes as assigned to OHA by the Chief Administrative Judge/Director of Hearings and Appeals.

These include, but are not limited to, proceedings under the following statutes:
                - Proceedings relating to appeals of adverse administrative actions under the Impact Aid program pursuant to Section 7011 of the Elementary and Secondary Education Act of 1965, as amended, 20 U.S.C. 7711, and the implementing regulations at 34 CFR 222.150-222.159 and 222.164-222.165;
                - Title VI of the Civil Rights Act of 1964, as amended, Title IX of the Education Amendments of 1972, as amended, Section 504 of the Rehabilitation Act of 1973, as amended, the Age Discrimination Act of 1975, as amended, the Boy Scouts of America Act, as amended; and
                - The Program Fraud Civil Remedies Act, as amended, Public Law 99‐509, Title VI, subtitle B.

The Division's Administrative Law Judges (ALJs) report to the Chief Administrative Law Judge (CALJ), who reports to the Chief Administrative Judge/Director.

The Civil Rights Reviewing Authority was established under 42 U.S.C. 2000d‐1 and 34 CFR 100.10 and 100.13 (c), which requires each federal agency to secure compliance with the Civil Rights Act of 1964 by termination of, or refusal to grant or continue, federal financial assistance upon a finding on the record of non‐compliance by the recipient.

The Authority, authorized under 34 CFR Parts 100 and 101, is a quasi-judicial body appointed by the Secretary to provide an independent review of adverse civil rights decisions made by ALJs.  All seven members are not required to review each matter.  For example, two to three members may be appropriate in certain instances. Its Director is the Chief Administrative Judge/Director of OHA.

In performing its responsibilities, the Authority:
                - Conducts administrative appeals of ALJ decisions and issues administrative appellate decisions in accordance with Title VI of the Civil Rights Act, as amended, Title IX of the Education Amendments of 1972, as amended, Section 504 of the Rehabilitation Act of 1973, as amended, and the Age Discrimination Act of 1975, as amended, and the Boy Scouts of American Equal Access Act, as amended.
                - Conducts research on points of law necessary to the decision‐making process.
                - Accepts and considers applications for attorney's fees and other expenses under the Equal Access to Justice Act (Pub. L. 96-481), as amended, codified at 5 U.S.C. 504 and 28 U.S.C. 2412, and the implementing regulations at 34 CFR 21.1-21.3.

The Civil Rights Reviewing Authority staff provides support services to Authority members and maintains the records of the documents submitted to the Authority.

Higher Education Appeals is a forum for hearing appeals by postsecondary institutions as assigned by the Chief Administrative Judge/Director of OHA. These include, but are not limited to, proceedings under the following statutes:
                - Civil penalty proceedings under section 432(g) of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1082(g), against a lender or guaranty agency participating in the Federal Family Education Loan Program (FFEL).
                - Review proceedings under section 432(h)(2) of the HEA, 20 U.S.C. 1082(h)(2), regarding sanctions imposed by a guaranty agency on lenders participating in the FFEL.
                - Review proceedings under section 432(h)(3) of the HEA, 20 U.S.C. 1082(h)(3), regarding sanctions imposed by a guaranty agency on institutions participating in the FFEL.
                - Proceedings under section 487(b) of the HEA, 20 U.S.C. 1094(b), to review final audit and program review determinations relating to student financial assistance programs under Title IV of the HEA.
                - Proceedings under section 487(c)(1)(F) and 487(c)(3)(A) of the HEA, 20 U.S.C. 1094(c)(1)(F) and 20 U.S.C. 1094(c)(3)(A), to limit, suspend, or terminate the eligibility of an institution to participate in the student financial assistance programs under Title IV of the HEA.
                - Proceedings under section 487(c)(1)(H) of the HEA, 20 U.S.C. 1094(c)(1)(H), to limit, suspend, or terminate the eligibility of an individual or organization to contract with an institution to administer a student assistance program, or to impose a civil penalty on such an individual or organization.
                - Proceedings under section 487(c)(3)(B) of the HEA, 20 U.S.C. 1094(c)(3)(B), to fine an institution participating in the student financial assistance programs under Title IV of the HEA.
                - Proceedings under section 432(h)(1) of the HEA, 20 U.S.C. 1082(h)(1), to limit, suspend, or terminate a lender from participating in the FFEL.

The Division's Administrative Judges conduct administrative proceedings, which the Department is required to conduct, subject to the statutes and implementing regulations.

The Division's Administrative Judges report to the Chief Administrative Judge/Director.​

### Alternative Dispute Resolution Center​

The Alternative Dispute Resolution Center is a forum for the resolution of employment disputes before the dispute advances to a formal complaint stage.  The informal dispute resolution process utilizes counseling and mediation to informally resolve a wide range of employee complaints including Equal Employment Opportunity matters under 29 CFR Part 1614, labor relations matters under the Collective Bargaining Agreement, Employee Relations matters under the Administrative Grievance Process, and other employment matters as assigned by the Assistant Secretary for Finance and Operations.

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