Difference between revisions of "Administrative Procedure Act"

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(Structure of the Administrative Procedure Act.)
(Structure of the Administrative Procedure Act.)
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Beyond  the  distinction  between  rulemaking  and  adjudication,  the  APA  subdivides  each  of  these  categories  of  agency  action  into  formal  and  informal  proceedings.  Whether  a  particular  rulemaking  or  adjudication  proceeding  is  considered  to  be  “formal”  depends  on  whether  the  proceeding  is  required  by  statute  to  be  “on  the  record  after  opportunity  for  an  agency  hearing”  (5  U.S.C.  §§  553(c),  554(a)).  The  Act  prescribes  elaborate  procedures  for  both  formal  rulemaking  and  formal  adjudication,  and  relatively  minimal  procedures  for  informal  rulemaking.  Virtually  no  procedures  are  prescribed  by  the  APA  for  the  remaining  category  of  informal  adjudication,  which  is  by  far  the  most  prevalent  form  of  governmental  action.<ref>See Paul Verkuil, A Study of Informal Adjudication Procedures, 43 U. CHI. L. REV. 739 (1976), for a discussion of informal adjudication.</ref>
 
Beyond  the  distinction  between  rulemaking  and  adjudication,  the  APA  subdivides  each  of  these  categories  of  agency  action  into  formal  and  informal  proceedings.  Whether  a  particular  rulemaking  or  adjudication  proceeding  is  considered  to  be  “formal”  depends  on  whether  the  proceeding  is  required  by  statute  to  be  “on  the  record  after  opportunity  for  an  agency  hearing”  (5  U.S.C.  §§  553(c),  554(a)).  The  Act  prescribes  elaborate  procedures  for  both  formal  rulemaking  and  formal  adjudication,  and  relatively  minimal  procedures  for  informal  rulemaking.  Virtually  no  procedures  are  prescribed  by  the  APA  for  the  remaining  category  of  informal  adjudication,  which  is  by  far  the  most  prevalent  form  of  governmental  action.<ref>See Paul Verkuil, A Study of Informal Adjudication Procedures, 43 U. CHI. L. REV. 739 (1976), for a discussion of informal adjudication.</ref>
  
'''Rulemaking'''. Section  553  sets  forth  the  basic  requirements  for  rulemaking:notice  of  proposed  rulemaking  in  the  Federal  Register,  followed  by  an  opportunity  for  some  level  of  participation  by  interested  persons,  and  finally  publication  of  the  rule,  in  most  instances  at  least  30  days  before  it  becomes  effective.  For  a  detailed  discussion  of  rulemaking  procedures,  see  Jeffrey  Lubbers’s  A  Guide  to  Federal  Agency  Rulemaking,  published  by  the  American  Bar  Association  (5th  ed.  2012).
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===Rulemaking===  
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Section  553  sets  forth  the  basic  requirements  for  rulemaking:notice  of  proposed  rulemaking  in  the  Federal  Register,  followed  by  an  opportunity  for  some  level  of  participation  by  interested  persons,  and  finally  publication  of  the  rule,  in  most  instances  at  least  30  days  before  it  becomes  effective.  For  a  detailed  discussion  of  rulemaking  procedures,  see  Jeffrey  Lubbers’s  A  Guide  to  Federal  Agency  Rulemaking,  published  by  the  American  Bar  Association  (5th  ed.  2012).
  
 
Excluded  from  the  coverage  of  the  Act  are  rulemakings  involving  military  or  foreign  affairs  functions  and  matters  relating  to  agency  management  or  personnel,  public  property,  loans,  grants,  benefits,  or  contracts.  These  exceptions  to  the  Act’s  general  policy  of  providing  an  opportunity  for  public  participation  in  rulemaking,  to  foster  the  fair  and  informed  exercise  of  agency  authority,  are  “narrowly  construed  and  only  reluctantly  countenanced.”<ref>Am. Fed’n of Gov’t Emps., AFL-CIO v. Block, 655 F.2d 1153, 1156 (D.C. Cir. 1981).</ref>  They  are  neither  mandatory  nor  intended  to  discourage  agencies  from  using  public  participation  procedures.  On  the  contrary,  when  Congress  enacted  the  APA,  it  encouraged  agencies  to  use  the notice-and-comment  procedure  in  some  excepted  cases,  and  many  agencies  routinely  do  so  in  making  certain  kinds  of  exempted  rules.  The  Administrative  Conference  encouraged  this  trend  and  called  on  Congress  to  eliminate  or  narrow  several  of  these  exemptions.<ref>See Administrative Conference Recommendations 69-8, 73-5, 79-2, and 82-2, at 1 C.F.R. pt. 305 (1992). See generally the discussion in A GUIDETO FEDERAL AGENCY RULEMAKING.</ref> “Regulatory  reform”  legislative  proposals  considered  over  the  years  have  contained  provisions  to  alter  or  eliminate  several  of  these  exemptions.
 
Excluded  from  the  coverage  of  the  Act  are  rulemakings  involving  military  or  foreign  affairs  functions  and  matters  relating  to  agency  management  or  personnel,  public  property,  loans,  grants,  benefits,  or  contracts.  These  exceptions  to  the  Act’s  general  policy  of  providing  an  opportunity  for  public  participation  in  rulemaking,  to  foster  the  fair  and  informed  exercise  of  agency  authority,  are  “narrowly  construed  and  only  reluctantly  countenanced.”<ref>Am. Fed’n of Gov’t Emps., AFL-CIO v. Block, 655 F.2d 1153, 1156 (D.C. Cir. 1981).</ref>  They  are  neither  mandatory  nor  intended  to  discourage  agencies  from  using  public  participation  procedures.  On  the  contrary,  when  Congress  enacted  the  APA,  it  encouraged  agencies  to  use  the notice-and-comment  procedure  in  some  excepted  cases,  and  many  agencies  routinely  do  so  in  making  certain  kinds  of  exempted  rules.  The  Administrative  Conference  encouraged  this  trend  and  called  on  Congress  to  eliminate  or  narrow  several  of  these  exemptions.<ref>See Administrative Conference Recommendations 69-8, 73-5, 79-2, and 82-2, at 1 C.F.R. pt. 305 (1992). See generally the discussion in A GUIDETO FEDERAL AGENCY RULEMAKING.</ref> “Regulatory  reform”  legislative  proposals  considered  over  the  years  have  contained  provisions  to  alter  or  eliminate  several  of  these  exemptions.
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The  APA  also  provides  for  formal  rulemaking—aprocedure  employed  when  rules  are  required  by  statute  to  be  made  on  the  record  after  an  opportunity  for  an  agency  hearing.  Essentially,  this  procedure  requires  that  the  agency  issue  its  rule  after  the  kind  of  trial-type  hearing  procedures  (§§  556,  557)  normally  reserved  for  adjudicatory  orders  (discussed  below).  The  Supreme  Court,  in  United  States  v.  Florida  East  Coast  Railway  Co.,  410  U.S.  224  (1973),  held  that  such  a  procedure  was  required  only  where  the  statute  involved  specifically  requires  an  “on  the  record”  hearing.  Because  few  statutes  do  so,  formal  rulemaking  is  used  infrequently.<ref>See, e.g., 21 U.S.C. §§ 371(e)(3) (issuance of standards under the Federal Food, Drug, and Cosmetic Act). In United States v. Florida East Coast Railway Co., 410 U.S. 224 (1973), a statutory requirement of a decision “after hearing” was held insufficient to make sections 556 and 557 applicable (setting of rates under the Interstate Commerce Act).</ref>  However,  numerous  agency  statutes  (often  called  “hybrid  rulemaking”  statutes)  do  require  some  specific  procedures  beyond  the  basic  notice-and-comment  elements  of  informal  rulemaking.
 
The  APA  also  provides  for  formal  rulemaking—aprocedure  employed  when  rules  are  required  by  statute  to  be  made  on  the  record  after  an  opportunity  for  an  agency  hearing.  Essentially,  this  procedure  requires  that  the  agency  issue  its  rule  after  the  kind  of  trial-type  hearing  procedures  (§§  556,  557)  normally  reserved  for  adjudicatory  orders  (discussed  below).  The  Supreme  Court,  in  United  States  v.  Florida  East  Coast  Railway  Co.,  410  U.S.  224  (1973),  held  that  such  a  procedure  was  required  only  where  the  statute  involved  specifically  requires  an  “on  the  record”  hearing.  Because  few  statutes  do  so,  formal  rulemaking  is  used  infrequently.<ref>See, e.g., 21 U.S.C. §§ 371(e)(3) (issuance of standards under the Federal Food, Drug, and Cosmetic Act). In United States v. Florida East Coast Railway Co., 410 U.S. 224 (1973), a statutory requirement of a decision “after hearing” was held insufficient to make sections 556 and 557 applicable (setting of rates under the Interstate Commerce Act).</ref>  However,  numerous  agency  statutes  (often  called  “hybrid  rulemaking”  statutes)  do  require  some  specific  procedures  beyond  the  basic  notice-and-comment  elements  of  informal  rulemaking.
  
Negotiated  Rulemaking. The  Negotiated  Rulemaking  Act  of  1990,  discussed  in  greater  detail  in  Chapter  18,  establishes  a  statutory  framework  for  the  conduct  of  negotiated  rulemaking,  a  procedure  developed  in  large  part  through  Administrative  Conference–sponsored  research.  As  with  other  alternative  means  of  dispute  resolution  (ADR),<ref>See discussion of the Administrative Dispute Resolution Act elsewhere.</ref>  negotiated  rulemaking  uses  consensual  techniques  to  produce  results,  rather  than  an  agency  decision  based  upon  its  data  and  conclusions,  hopefully  aided  by  public  input.  Numerous  agencies  have  successfully  completed  negotiated  rules  over  the  years,  but  it  remains  an  exceptional  technique  for  adopting  rules.  
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===Negotiated  Rulemaking===  
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The  Negotiated  Rulemaking  Act  of  1990,  discussed  in  greater  detail  in  Chapter  18,  establishes  a  statutory  framework  for  the  conduct  of  negotiated  rulemaking,  a  procedure  developed  in  large  part  through  Administrative  Conference–sponsored  research.  As  with  other  alternative  means  of  dispute  resolution  (ADR),<ref>See discussion of the Administrative Dispute Resolution Act elsewhere.</ref>  negotiated  rulemaking  uses  consensual  techniques  to  produce  results,  rather  than  an  agency  decision  based  upon  its  data  and  conclusions,  hopefully  aided  by  public  input.  Numerous  agencies  have  successfully  completed  negotiated  rules  over  the  years,  but  it  remains  an  exceptional  technique  for  adopting  rules.  
  
 
The  Negotiated  Rulemaking  Act  clearly  establishes  regulatory  agencies’  authority  to  use  such  consensual  techniques  as  negotiated  rulemaking  without  limiting  agency  innovation.  The  Act  identifies  criteria  for  the  discretionary  determination  by  agency  heads  of  whether  and  when  to  use  negotiated  rulemaking.  It  also  sets  forth  basic  requirements  for  public  notice  and  the  conduct  of  meetings  under  the  Federal  Advisory  Committee  Act.   
 
The  Negotiated  Rulemaking  Act  clearly  establishes  regulatory  agencies’  authority  to  use  such  consensual  techniques  as  negotiated  rulemaking  without  limiting  agency  innovation.  The  Act  identifies  criteria  for  the  discretionary  determination  by  agency  heads  of  whether  and  when  to  use  negotiated  rulemaking.  It  also  sets  forth  basic  requirements  for  public  notice  and  the  conduct  of  meetings  under  the  Federal  Advisory  Committee  Act.   
  
'''Adjudication'''. Sections  554,  556,  and  557  apply  to  formal  adjudication  (i.e.,  to  cases  for  which  an  adjudicatory  proceeding  is  required  by  statute  to  be  determined  on  the  record  after  opportunity  for  an  agency hearing).<ref>See discussion of the Equal Access to Justice Act, which allows certain parties who prevail over the government in formal adjudicatory proceedings (other than licensing and ratemaking) to recover attorney’s fees and expenses.</ref>  These  sections  apply,  for  example,  to  proceedings  by  certain  agencies  seeking  to  impose  civil  money  penalties  as  part  of  a  regulatory  enforcement  program.<ref>See, e.g., 12 U.S.C. §§ 504, 505 (banking); 42 U.S.C. § 1320a-7a (Medicare fraud); 16 U.S.C. § 1858 (fishery conservation).</ref>
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===Adjudication===  
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Sections  554,  556,  and  557  apply  to  formal  adjudication  (i.e.,  to  cases  for  which  an  adjudicatory  proceeding  is  required  by  statute  to  be  determined  on  the  record  after  opportunity  for  an  agency hearing).<ref>See discussion of the Equal Access to Justice Act, which allows certain parties who prevail over the government in formal adjudicatory proceedings (other than licensing and ratemaking) to recover attorney’s fees and expenses.</ref>  These  sections  apply,  for  example,  to  proceedings  by  certain  agencies  seeking  to  impose  civil  money  penalties  as  part  of  a  regulatory  enforcement  program.<ref>See, e.g., 12 U.S.C. §§ 504, 505 (banking); 42 U.S.C. § 1320a-7a (Medicare fraud); 16 U.S.C. § 1858 (fishery conservation).</ref>
  
 
Section  554(a)  specifically  exempts  six  types  of  proceedings  from  the  requirements  of  these  sections:  matters  subject  to  a  subsequent  de  novotrial  in  court;  certain  personnel  matters  other  than  for  administrative  law  judges;  decisions  based  solely  on  inspections,  tests,  or  elections;  military  or  foreign  affairs  functions;  cases  where  an  agency  acts  as  agent  for  a  court;  and  certification  of  worker  representatives.  Section  554(b)  specifies  notice  requirements.  Section  554(c)  provides  for  an  opportunity  for  informal  settlements  where  practicable.  Section  554(d)  forbids  presiding  officers  from  engaging  in  ex  parte(off-the-record)  consultations  on  facts  at  issue  in  the  case.  The  subsection  also  addresses  “separation  of  functions”  by  restricting  agency  employees  engaged  in  investigation  or  prosecution  of  a  case  from  supervising  the  presiding  officer  or  participating  or  advising  in  the  decision  in  that  or  a  factually  related  case  (with  certain  exceptions).  Section  554(e)  authorizes  agencies,  in  their  discretion,  to  issue  declaratory  orders  that  would  terminate  a  controversy  or  remove  uncertainty  with  respect  to  matters  required  by  statute  to  be  determined  on  the  record  after  opportunity  for  a  hearing.   
 
Section  554(a)  specifically  exempts  six  types  of  proceedings  from  the  requirements  of  these  sections:  matters  subject  to  a  subsequent  de  novotrial  in  court;  certain  personnel  matters  other  than  for  administrative  law  judges;  decisions  based  solely  on  inspections,  tests,  or  elections;  military  or  foreign  affairs  functions;  cases  where  an  agency  acts  as  agent  for  a  court;  and  certification  of  worker  representatives.  Section  554(b)  specifies  notice  requirements.  Section  554(c)  provides  for  an  opportunity  for  informal  settlements  where  practicable.  Section  554(d)  forbids  presiding  officers  from  engaging  in  ex  parte(off-the-record)  consultations  on  facts  at  issue  in  the  case.  The  subsection  also  addresses  “separation  of  functions”  by  restricting  agency  employees  engaged  in  investigation  or  prosecution  of  a  case  from  supervising  the  presiding  officer  or  participating  or  advising  in  the  decision  in  that  or  a  factually  related  case  (with  certain  exceptions).  Section  554(e)  authorizes  agencies,  in  their  discretion,  to  issue  declaratory  orders  that  would  terminate  a  controversy  or  remove  uncertainty  with  respect  to  matters  required  by  statute  to  be  determined  on  the  record  after  opportunity  for  a  hearing.   
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The  record  must  show  the  ruling  on  each  finding,  conclusion,  or  exception  presented.  Section  557(d)  was  added  to  the  APA  by  the  Government  in  the  Sunshine  Act  in  1976  (see  Chapter  14)  to  prohibit  ex  partecommunications  relevant  to  the  merits  of  a  pending  formal  agency  proceeding.  However,  where  ex  partecommunications  do  take  place,  their  content  must  be  placed  on  the  public  record,  and,  if  the  communication  was  knowingly  made  by  a  party,  the  presiding  officer  may  require  the  party  to  show  cause  why  a  decision  should  not  be  made  adversely  affecting  the  party’s  interest.<ref>While the APA does not forbid ex parte contacts in informal rulemaking, the Administrative Conference recommended agency practices for making the public aware of most of those that do occur. See Conference Recommendations 77-3 and 80-6, at 1 C.F.R. pt. 305 (1992).</ref> Most  agencies  have  adopted  procedures  applicable  to  their  formal  hearings.  (A  list  of  citations  appears  at  the  end  of  the  chapter.)  The  Manual  for  Administrative  Law  Judges  contains  a  detailed  discussion  of  procedures  for  the  conduct  of  hearings  and  a  collection  of  model  forms.
 
The  record  must  show  the  ruling  on  each  finding,  conclusion,  or  exception  presented.  Section  557(d)  was  added  to  the  APA  by  the  Government  in  the  Sunshine  Act  in  1976  (see  Chapter  14)  to  prohibit  ex  partecommunications  relevant  to  the  merits  of  a  pending  formal  agency  proceeding.  However,  where  ex  partecommunications  do  take  place,  their  content  must  be  placed  on  the  public  record,  and,  if  the  communication  was  knowingly  made  by  a  party,  the  presiding  officer  may  require  the  party  to  show  cause  why  a  decision  should  not  be  made  adversely  affecting  the  party’s  interest.<ref>While the APA does not forbid ex parte contacts in informal rulemaking, the Administrative Conference recommended agency practices for making the public aware of most of those that do occur. See Conference Recommendations 77-3 and 80-6, at 1 C.F.R. pt. 305 (1992).</ref> Most  agencies  have  adopted  procedures  applicable  to  their  formal  hearings.  (A  list  of  citations  appears  at  the  end  of  the  chapter.)  The  Manual  for  Administrative  Law  Judges  contains  a  detailed  discussion  of  procedures  for  the  conduct  of  hearings  and  a  collection  of  model  forms.
  
'''Alternative  Means  of  Dispute  Resolution'''. The  Administrative  Dispute  Resolution  Act  specifically  provides  agencies  with  the  authority  to  employ  mediation,  arbitration,  and  other  consensual  methods  of  dispute  resolution  in  resolving  cases  under  the  APA  and  in  other  kinds  of  agency  disputes.  The  legislation  specifically  establishes  a  federal  policy  encouraging  ADR  in  place  of  more  costly,  time-consuming  adjudication.  While  no  agency  is  forced  to  use  ADR  techniques,  the  legislation  requires  each  agency  head  to  undertake  a  review  of  typical  agency  litigation  and  administrative  disputes  to  assess  where  ADR  techniques  will  be  useful.  The  Act  is  discussed  in  greater  detail  in  Chapter  5.  
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===Alternative  Means  of  Dispute  Resolution===  
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The  Administrative  Dispute  Resolution  Act  specifically  provides  agencies  with  the  authority  to  employ  mediation,  arbitration,  and  other  consensual  methods  of  dispute  resolution  in  resolving  cases  under  the  APA  and  in  other  kinds  of  agency  disputes.  The  legislation  specifically  establishes  a  federal  policy  encouraging  ADR  in  place  of  more  costly,  time-consuming  adjudication.  While  no  agency  is  forced  to  use  ADR  techniques,  the  legislation  requires  each  agency  head  to  undertake  a  review  of  typical  agency  litigation  and  administrative  disputes  to  assess  where  ADR  techniques  will  be  useful.  The  Act  is  discussed  in  greater  detail  in  Chapter  5.  
  
 
'''Miscellaneous  Provisions'''.  Section  555  states  various  procedural  rights  of  private  parties,  which  may  be  incidental  to  rulemaking,  adjudication,  or  the  exercise  of  any  other  agency  authority.  Section  555(b)  addresses  appearances  in  agency  proceedings  by  parties,  counsel,  and  other  interested  persons.  Section  555(c)  provides  that  a  person  compelled  to  submit  data  or  evidence  is  entitled  to  a  copy  or  transcript,  except  that  in  nonpublic  investigations  this  may  be  limited  to  a  right  to  inspect  the  official  transcript.  Additional  provisions  of  section  555  relate  to  subpoenas  and  to  the  requirement  of  prompt  notice  of  denials  of  applications,  petitions,  or  other  requests  made  to  agencies.
 
'''Miscellaneous  Provisions'''.  Section  555  states  various  procedural  rights  of  private  parties,  which  may  be  incidental  to  rulemaking,  adjudication,  or  the  exercise  of  any  other  agency  authority.  Section  555(b)  addresses  appearances  in  agency  proceedings  by  parties,  counsel,  and  other  interested  persons.  Section  555(c)  provides  that  a  person  compelled  to  submit  data  or  evidence  is  entitled  to  a  copy  or  transcript,  except  that  in  nonpublic  investigations  this  may  be  limited  to  a  right  to  inspect  the  official  transcript.  Additional  provisions  of  section  555  relate  to  subpoenas  and  to  the  requirement  of  prompt  notice  of  denials  of  applications,  petitions,  or  other  requests  made  to  agencies.
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Section  558  is  a  rarely  invoked  section  of  the  APA.  Section  558(b)  makes  clear  the  requirement  that  agency  rules,  orders,  and  sanctions  be  within  the  jurisdiction  delegated  to  the  agency  and  otherwise  authorized  by  law.  Section  558(c)  contains  some  special  notice  provisions  and  other  procedural  requirements  for  handling  applications,  suspensions,  revocations,  or  license  renewals.
 
Section  558  is  a  rarely  invoked  section  of  the  APA.  Section  558(b)  makes  clear  the  requirement  that  agency  rules,  orders,  and  sanctions  be  within  the  jurisdiction  delegated  to  the  agency  and  otherwise  authorized  by  law.  Section  558(c)  contains  some  special  notice  provisions  and  other  procedural  requirements  for  handling  applications,  suspensions,  revocations,  or  license  renewals.
  
==== Legislative  History:<ref>The summary of legislative history is taken from the Attorney General’s Manual, p.8.</ref> ====
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=== Legislative  History:<ref>The summary of legislative history is taken from the Attorney General’s Manual, p.8.</ref> ===
  
 
The  legislative  history  of  the  Administrative  Procedure  Act  begins  with  the  Final  Report  of  the  Attorney  General’s  Committee  on  Administrative  Procedure  in  1941.  This  report  led  to  the  introduction  in  Congress  of  the  socalled  majority  and  minority  bills,  respectively  designated  as  S.675  and  S.674,  77th  Cong.,  1st  Sess.  These  bills,  together  with  S.918,  formed  the  basis  for  extensive  hearings  held  in  1941  before  a  subcommittee  of  the  Senate  Committee  on  the  Judiciary.  In  1945,  the  House  Committee  on  the  Judiciary  held  brief  hearings  on  various  administrative  procedure  bills,  of  which  H.R.1203,  79th  Cong.,  1st  Sess.,  was  the  precursor  of  the  Act  as  passed.  Also  in  June  1945,  the  Senate  Committee  on  the  Judiciary  issued  a  comparative  print,  with  comments,  which  is  an  essential  part  of  the  legislative  history.  The  committee  reports  on  the  Act  are  Sen.  Rep.  No.  752,  79th  Cong.,  1st  Sess.  and  H.R.  Rep.  No.  1980,  79th  Cong.,  2d  Sess.  In  October  1945,  the  attorney  general,  at  the  request  of  the  Senate  Committee  on  the  Judiciary,  submitted  a  letter,  with  memorandum  attached,  setting  forth  the  understanding  of  the  Department  of  Justice  as  to  the  purpose  and  meaning  of  the  various  provisions  of  the  bill  (S.7).  This  letter  and  memorandum  constitute  Appendix  B  of  the  Senate  Committee  Report  and  also  appear  as  an  appendix  in  the  Attorney  General’s  Manual.
 
The  legislative  history  of  the  Administrative  Procedure  Act  begins  with  the  Final  Report  of  the  Attorney  General’s  Committee  on  Administrative  Procedure  in  1941.  This  report  led  to  the  introduction  in  Congress  of  the  socalled  majority  and  minority  bills,  respectively  designated  as  S.675  and  S.674,  77th  Cong.,  1st  Sess.  These  bills,  together  with  S.918,  formed  the  basis  for  extensive  hearings  held  in  1941  before  a  subcommittee  of  the  Senate  Committee  on  the  Judiciary.  In  1945,  the  House  Committee  on  the  Judiciary  held  brief  hearings  on  various  administrative  procedure  bills,  of  which  H.R.1203,  79th  Cong.,  1st  Sess.,  was  the  precursor  of  the  Act  as  passed.  Also  in  June  1945,  the  Senate  Committee  on  the  Judiciary  issued  a  comparative  print,  with  comments,  which  is  an  essential  part  of  the  legislative  history.  The  committee  reports  on  the  Act  are  Sen.  Rep.  No.  752,  79th  Cong.,  1st  Sess.  and  H.R.  Rep.  No.  1980,  79th  Cong.,  2d  Sess.  In  October  1945,  the  attorney  general,  at  the  request  of  the  Senate  Committee  on  the  Judiciary,  submitted  a  letter,  with  memorandum  attached,  setting  forth  the  understanding  of  the  Department  of  Justice  as  to  the  purpose  and  meaning  of  the  various  provisions  of  the  bill  (S.7).  This  letter  and  memorandum  constitute  Appendix  B  of  the  Senate  Committee  Report  and  also  appear  as  an  appendix  in  the  Attorney  General’s  Manual.
  
==== Source  Note: ====
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=== Source  Note: ===
  
 
The  Senate  and  House  debates  plus  the  documents  mentioned  in  the  preceding  paragraph,  other  than  the  Final  Report  of  the  Attorney  General’s  Committee,  are  compiled  in  S.  Doc.  No.  248,  79th  Cong.,  2d  Sess.  (1946),  titled  Administrative  Procedure  Act—Legislative  History  1944-46.  The  Final  Report  was  published  as  S.  Doc.  No.  8,  77th  Cong.,  1st  Sess.  (1941).  The  Attorney  General’s  Manual  on  the  Administrative  Procedure  Act  (1947)  is  a  contemporaneous  interpretive  guide  to  the  original  language  of  the  Act  (see  Appendix).  
 
The  Senate  and  House  debates  plus  the  documents  mentioned  in  the  preceding  paragraph,  other  than  the  Final  Report  of  the  Attorney  General’s  Committee,  are  compiled  in  S.  Doc.  No.  248,  79th  Cong.,  2d  Sess.  (1946),  titled  Administrative  Procedure  Act—Legislative  History  1944-46.  The  Final  Report  was  published  as  S.  Doc.  No.  8,  77th  Cong.,  1st  Sess.  (1941).  The  Attorney  General’s  Manual  on  the  Administrative  Procedure  Act  (1947)  is  a  contemporaneous  interpretive  guide  to  the  original  language  of  the  Act  (see  Appendix).  

Revision as of 16:24, 31 July 2018

Citations

5 U.S.C. §§ 551–559, 701–706, 1305, 3105, 3344, 5372, 7521 (2012); originally enacted June 11, 1946, by Pub. L. No. 404, 60 Stat. 237, Ch. 324, §§ 1–12.

The Administrative Procedure Act (APA), as originally enacted, was repealed by Pub. L. No. 89-554, 80 Stat. 381 (September 6, 1966), as part of the general revision of title 5 of the United States Code. Its provisions were incorporated into the sections of title 5 listed above. Although the original section numbers are used sometimes, it is actually an error to use the original section numbers unless one is referring to the APA prior to its codification in 1966. In this volume all references to the Act are to sections of title 5.

Section 552 has been revised significantly since 1946 and is commonly known as the Freedom of Information Act. Section 552a (the Privacy Act) was added to the APA in 1974 and has been amended several times since. Section 552b (the Government in the Sunshine Act) was added in 1976 and amended once. These sections and sections 701–706 pertaining to judicial review are discussed and set forth separately in this book. Two significant laws relating to rulemaking and adjudication were enacted in 1990—the Administrative Dispute Resolution Act (5 U.S.C. §§ 571–584) and the Negotiated Rulemaking Act (5 U.S.C. §§ 561–570), which are discussed separately below, as well as in separate chapters in this book.

Overview

Attempts to regularize federal administrative procedures go back at least to the 1930s. Early in 1939, at the suggestion of the attorney general, President Roosevelt asked the attorney general to appoint a distinguished committee to study existing administrative procedures and to formulate recommendations. The Attorney General’s Committee on Administrative Procedure, chaired by Dean Acheson, produced a series of monographs on agency functions and submitted its Final Report to the President and the Congress in 1941. These materials, plus extensive hearings held before a subcommittee of the Senate Committee on the Judiciary in 1941, are primary historical sources for the Administrative Procedure Act. The Administrative Procedure Act was signed into law by President Truman on June 11, 1946. In the months that followed, the Department of Justice compiled a manual of advice and interpretation of its various provisions. The Attorney General’s Manual on the Administrative Procedure Act,published in 1947 (and reprinted in the Appendix), remains the principal guide to the structure and intent of the APA. The Manual (page 9) states the purposes of the Act as follows:

  • (1) To require agencies to keep the public currently informed of theirorganization, procedures, and rules.
  • (2) To provide for public participation in the rulemaking process.
  • (3) To prescribe uniform standards for the conduct of formal rulemakingand adjudicatory proceedings (i.e., proceedings required by statute to be made on the record after opportunity for an agency hearing).
  • (4) To restate the law of judicial review.

The Act imposes upon agencies certain procedural requirements for two modes of agency decision making: rulemaking and adjudication. In general, the term “agency” refers to any authority of the government of the United States, whether or not it is within or subject to review by another agency— but excluding the Congress, the courts, and the governments of territories, possessions, or the District of Columbia.[1] Definitions of other terms may be found in section 551.

Structure of the Administrative Procedure Act.

The Administrative Procedure Act has two major subdivisions: sections 551 through 559, dealing in general with agency procedures; and sections 701 through 706, dealing in general with judicial review. In addition, several sections dealing with administrative law judges (§§ 1305, 3105, 3344, 5372, and 7521) are scattered through title 5 of the United States Code. The sections pertaining to judicial review are discussed in Chapter 2 of this volume. As noted, sections 552, 552a, and 552b are also discussed in separate chapters, as are the new sections added by the Administrative Dispute Resolution and Negotiated Rulemaking Acts.

The structure of the APA is shaped around the distinction between rulemaking and adjudication, with different sets of procedural requirements prescribed for each. Rulemakingisagency action that regulates the future conduct of persons through formulation and issuance of an agency statement designed to implement, interpret, or prescribe law or policy. It is essentially legislative in nature because of its future general applicability and its concern for policy considerations. By contrast, adjudication isconcerned with determination of past and present rights and liabilities. The result of an adjudicative proceeding is the issuance of an “order.” (Licensing decisions are considered to be adjudication.)

The line separating these two modes of agency action is not always clear, because agencies engage in a great variety of actions. Most agencies use rulemaking to formulate future policy, though there is no bar to announcing policy statements in adjudicatory orders. Agencies normally use a combination of rulemaking and adjudication to effectuate their programs. The APA definition of a “rule,” somewhat confusingly, speaks of an “agency statement of general or particular applicability and future effect . . . .” The words “or particular” were apparently included in the definition to encompass such actions as the setting of rates or the approval of corporate reorganizations, to be carried out under the relatively flexible procedures governing rulemaking.[2]

Beyond the distinction between rulemaking and adjudication, the APA subdivides each of these categories of agency action into formal and informal proceedings. Whether a particular rulemaking or adjudication proceeding is considered to be “formal” depends on whether the proceeding is required by statute to be “on the record after opportunity for an agency hearing” (5 U.S.C. §§ 553(c), 554(a)). The Act prescribes elaborate procedures for both formal rulemaking and formal adjudication, and relatively minimal procedures for informal rulemaking. Virtually no procedures are prescribed by the APA for the remaining category of informal adjudication, which is by far the most prevalent form of governmental action.[3]

Rulemaking

Section 553 sets forth the basic requirements for rulemaking:notice of proposed rulemaking in the Federal Register, followed by an opportunity for some level of participation by interested persons, and finally publication of the rule, in most instances at least 30 days before it becomes effective. For a detailed discussion of rulemaking procedures, see Jeffrey Lubbers’s A Guide to Federal Agency Rulemaking, published by the American Bar Association (5th ed. 2012).

Excluded from the coverage of the Act are rulemakings involving military or foreign affairs functions and matters relating to agency management or personnel, public property, loans, grants, benefits, or contracts. These exceptions to the Act’s general policy of providing an opportunity for public participation in rulemaking, to foster the fair and informed exercise of agency authority, are “narrowly construed and only reluctantly countenanced.”[4] They are neither mandatory nor intended to discourage agencies from using public participation procedures. On the contrary, when Congress enacted the APA, it encouraged agencies to use the notice-and-comment procedure in some excepted cases, and many agencies routinely do so in making certain kinds of exempted rules. The Administrative Conference encouraged this trend and called on Congress to eliminate or narrow several of these exemptions.[5] “Regulatory reform” legislative proposals considered over the years have contained provisions to alter or eliminate several of these exemptions.

Most rulemaking proceedings involve informal rulemaking, where all that the APA requires for public participation is an opportunity to submit written data, views, or arguments; oral presentations may also be permitted. The published rule must incorporate a concise general statement of its basis and purpose. Despite the brevity of these requirements, it is important to note that Congress has routinely, through other statutes, added procedural requirements that affect various agency programs. These additional statutory requirements may apply to specific agencies or programs or may be governmentwide (such as the Regulatory Flexibility Act; see Chapter 21). Recent presidents have also imposed additional requirements for rulemaking. (See Chapter 4, White House Orders and Memoranda on Rulemaking.) Though courts have sometimes sought to add procedural requirements, the Supreme Court’s decision in Vermont Yankee Nuclear Power Corp. v. Natural Resources Defense Council, Inc.,435 U.S. 519 (1978), has, to a great extent, limited this kind of judicial activity. In Vermont Yankee, the Supreme Court held that where rulemaking is governed by the (informal) requirements of section 553, as in the case of the Nuclear Regulatory Commission’s regulation of nuclear power plants, the courts may not require additional procedures.

The APA also provides for formal rulemaking—aprocedure employed when rules are required by statute to be made on the record after an opportunity for an agency hearing. Essentially, this procedure requires that the agency issue its rule after the kind of trial-type hearing procedures (§§ 556, 557) normally reserved for adjudicatory orders (discussed below). The Supreme Court, in United States v. Florida East Coast Railway Co., 410 U.S. 224 (1973), held that such a procedure was required only where the statute involved specifically requires an “on the record” hearing. Because few statutes do so, formal rulemaking is used infrequently.[6] However, numerous agency statutes (often called “hybrid rulemaking” statutes) do require some specific procedures beyond the basic notice-and-comment elements of informal rulemaking.

Negotiated Rulemaking

The Negotiated Rulemaking Act of 1990, discussed in greater detail in Chapter 18, establishes a statutory framework for the conduct of negotiated rulemaking, a procedure developed in large part through Administrative Conference–sponsored research. As with other alternative means of dispute resolution (ADR),[7] negotiated rulemaking uses consensual techniques to produce results, rather than an agency decision based upon its data and conclusions, hopefully aided by public input. Numerous agencies have successfully completed negotiated rules over the years, but it remains an exceptional technique for adopting rules.

The Negotiated Rulemaking Act clearly establishes regulatory agencies’ authority to use such consensual techniques as negotiated rulemaking without limiting agency innovation. The Act identifies criteria for the discretionary determination by agency heads of whether and when to use negotiated rulemaking. It also sets forth basic requirements for public notice and the conduct of meetings under the Federal Advisory Committee Act.

Adjudication

Sections 554, 556, and 557 apply to formal adjudication (i.e., to cases for which an adjudicatory proceeding is required by statute to be determined on the record after opportunity for an agency hearing).[8] These sections apply, for example, to proceedings by certain agencies seeking to impose civil money penalties as part of a regulatory enforcement program.[9]

Section 554(a) specifically exempts six types of proceedings from the requirements of these sections: matters subject to a subsequent de novotrial in court; certain personnel matters other than for administrative law judges; decisions based solely on inspections, tests, or elections; military or foreign affairs functions; cases where an agency acts as agent for a court; and certification of worker representatives. Section 554(b) specifies notice requirements. Section 554(c) provides for an opportunity for informal settlements where practicable. Section 554(d) forbids presiding officers from engaging in ex parte(off-the-record) consultations on facts at issue in the case. The subsection also addresses “separation of functions” by restricting agency employees engaged in investigation or prosecution of a case from supervising the presiding officer or participating or advising in the decision in that or a factually related case (with certain exceptions). Section 554(e) authorizes agencies, in their discretion, to issue declaratory orders that would terminate a controversy or remove uncertainty with respect to matters required by statute to be determined on the record after opportunity for a hearing.

Sections 556 and 557 prescribe the specific procedures to be used in formal adjudication.[10] In brief, a trial-type hearing must be held, conducted either by some or all of the members of the agency or by an administrative law judge (appointed under 5 U.S.C. §§ 3105). An administrative law judge (ALJ) is normally the presiding officer in formal adjudication. The APA (§§ 556(c)) spells out the powers and duties of ALJs (formerly called hearing examiners). It also provides for the independence of ALJs by protecting their tenure (5 U.S.C. §§ 7521) and pay (5 U.S.C. §§ 5372) and prohibiting inconsistent duties (5 U.S.C. §§ 3105). In addition, under 5 U.S.C. §§ 1305, the Office of Personnel Management has prescribed a special selection procedure for the appointment of ALJs. Currently, there are approximately 1,600 ALJs in the federal government, the vast majority of which are located in the Social Security Administration.

Section 556 also covers disqualification of presiding officers, burden of proof, and parties’ rights to cross-examination. It provides that the transcript of testimony and exhibits, together with all documents filed in the proceeding, constitutes the exclusive record for decision.

Section 557 provides that when, as is usually the case, a hearing is not conducted by the agency itself, the presiding officer (normally an ALJ) must issue an initial decision—unless the agency requires that the entire record be certified to the agency for decision. An initial decision automatically becomes the agency’s decision unless appealed or reviewed on motion of the agency. Section 557 provides, in general, an opportunity for parties to submit for consideration their own proposed findings and conclusions, or exceptions to decisions.

The record must show the ruling on each finding, conclusion, or exception presented. Section 557(d) was added to the APA by the Government in the Sunshine Act in 1976 (see Chapter 14) to prohibit ex partecommunications relevant to the merits of a pending formal agency proceeding. However, where ex partecommunications do take place, their content must be placed on the public record, and, if the communication was knowingly made by a party, the presiding officer may require the party to show cause why a decision should not be made adversely affecting the party’s interest.[11] Most agencies have adopted procedures applicable to their formal hearings. (A list of citations appears at the end of the chapter.) The Manual for Administrative Law Judges contains a detailed discussion of procedures for the conduct of hearings and a collection of model forms.

Alternative Means of Dispute Resolution

The Administrative Dispute Resolution Act specifically provides agencies with the authority to employ mediation, arbitration, and other consensual methods of dispute resolution in resolving cases under the APA and in other kinds of agency disputes. The legislation specifically establishes a federal policy encouraging ADR in place of more costly, time-consuming adjudication. While no agency is forced to use ADR techniques, the legislation requires each agency head to undertake a review of typical agency litigation and administrative disputes to assess where ADR techniques will be useful. The Act is discussed in greater detail in Chapter 5.

Miscellaneous Provisions. Section 555 states various procedural rights of private parties, which may be incidental to rulemaking, adjudication, or the exercise of any other agency authority. Section 555(b) addresses appearances in agency proceedings by parties, counsel, and other interested persons. Section 555(c) provides that a person compelled to submit data or evidence is entitled to a copy or transcript, except that in nonpublic investigations this may be limited to a right to inspect the official transcript. Additional provisions of section 555 relate to subpoenas and to the requirement of prompt notice of denials of applications, petitions, or other requests made to agencies.

Section 558 is a rarely invoked section of the APA. Section 558(b) makes clear the requirement that agency rules, orders, and sanctions be within the jurisdiction delegated to the agency and otherwise authorized by law. Section 558(c) contains some special notice provisions and other procedural requirements for handling applications, suspensions, revocations, or license renewals.

Legislative History:[12]

The legislative history of the Administrative Procedure Act begins with the Final Report of the Attorney General’s Committee on Administrative Procedure in 1941. This report led to the introduction in Congress of the socalled majority and minority bills, respectively designated as S.675 and S.674, 77th Cong., 1st Sess. These bills, together with S.918, formed the basis for extensive hearings held in 1941 before a subcommittee of the Senate Committee on the Judiciary. In 1945, the House Committee on the Judiciary held brief hearings on various administrative procedure bills, of which H.R.1203, 79th Cong., 1st Sess., was the precursor of the Act as passed. Also in June 1945, the Senate Committee on the Judiciary issued a comparative print, with comments, which is an essential part of the legislative history. The committee reports on the Act are Sen. Rep. No. 752, 79th Cong., 1st Sess. and H.R. Rep. No. 1980, 79th Cong., 2d Sess. In October 1945, the attorney general, at the request of the Senate Committee on the Judiciary, submitted a letter, with memorandum attached, setting forth the understanding of the Department of Justice as to the purpose and meaning of the various provisions of the bill (S.7). This letter and memorandum constitute Appendix B of the Senate Committee Report and also appear as an appendix in the Attorney General’s Manual.

Source Note:

The Senate and House debates plus the documents mentioned in the preceding paragraph, other than the Final Report of the Attorney General’s Committee, are compiled in S. Doc. No. 248, 79th Cong., 2d Sess. (1946), titled Administrative Procedure Act—Legislative History 1944-46. The Final Report was published as S. Doc. No. 8, 77th Cong., 1st Sess. (1941). The Attorney General’s Manual on the Administrative Procedure Act (1947) is a contemporaneous interpretive guide to the original language of the Act (see Appendix).

Individual agencies have adopted, within the framework of the APA, procedural rules for the conduct of rulemaking and adjudication. A list of citations to these rules appears below.

For articles on judicial review of agency action, see the Bibliography for Chapter 2, below. The comprehensive A Guide to Federal Agency Rulemaking (5th ed. 2012) discusses the entire rulemaking process. It was published initially by theAdministrative Conference and now by the ABA. The Conference also published a Manual for Administrative Law Judges (3d ed. 1993). The Manualis a handbook of practice in the conduct of hearings. Persons interested in negotiated rulemaking or ADR in APA adjudication should consult he separate ACUS Sourcebooks on these subjects and the other materials listed in the Bibliography sections of those Sourcebook chapters.

The Administrative Conference also sponsored numerous studies of rulemaking and adjudication procedures, and recommended a variety of improvements in agency practice. Its recommendations appeared in the Federal Register and volume one of the Code of Federal Regulations.

References

  1. See 5 U.S.C. §§ 551(1), 701(b)(1) for other specific exemptions.
  2. For discussion of the inclusion of “or particular” in the definition, seeKENNETH C. DAVIS & RICHARD PIERCE, 1 ADMINISTRATIVE LAW TREATISE §§ 6.1 (3d ed. 1994).
  3. See Paul Verkuil, A Study of Informal Adjudication Procedures, 43 U. CHI. L. REV. 739 (1976), for a discussion of informal adjudication.
  4. Am. Fed’n of Gov’t Emps., AFL-CIO v. Block, 655 F.2d 1153, 1156 (D.C. Cir. 1981).
  5. See Administrative Conference Recommendations 69-8, 73-5, 79-2, and 82-2, at 1 C.F.R. pt. 305 (1992). See generally the discussion in A GUIDETO FEDERAL AGENCY RULEMAKING.
  6. See, e.g., 21 U.S.C. §§ 371(e)(3) (issuance of standards under the Federal Food, Drug, and Cosmetic Act). In United States v. Florida East Coast Railway Co., 410 U.S. 224 (1973), a statutory requirement of a decision “after hearing” was held insufficient to make sections 556 and 557 applicable (setting of rates under the Interstate Commerce Act).
  7. See discussion of the Administrative Dispute Resolution Act elsewhere.
  8. See discussion of the Equal Access to Justice Act, which allows certain parties who prevail over the government in formal adjudicatory proceedings (other than licensing and ratemaking) to recover attorney’s fees and expenses.
  9. See, e.g., 12 U.S.C. §§ 504, 505 (banking); 42 U.S.C. § 1320a-7a (Medicare fraud); 16 U.S.C. § 1858 (fishery conservation).
  10. Note that sections 554, 556, and 557 contain some special, more flexible procedures for cases involving initial licensing and rulemaking.
  11. While the APA does not forbid ex parte contacts in informal rulemaking, the Administrative Conference recommended agency practices for making the public aware of most of those that do occur. See Conference Recommendations 77-3 and 80-6, at 1 C.F.R. pt. 305 (1992).
  12. The summary of legislative history is taken from the Attorney General’s Manual, p.8.

Bibliography

I. Legislative History

  1. Administrative Procedure Act—Legislative History 1944-46, S. Doc. No. 248, 79th Cong., 2d Sess. (1946).
  2. Administrative Procedure in Government Agencies, S. Doc. No. 8, 77th Cong., 1st Sess. (1941) (Final Report of the Attorney General’s Committee on Administrative Procedure).
  3. House of Representatives Committee on the Judiciary, Report on S. 7, H.R. Rep. No. 1980, 79th Cong., 2d Sess. (1946), reprinted in S. Doc. No. 248 (item 1, above) and in Pike and Fischer Administrative Law (2d), Desk Book Stat.-51.
  4. Senate Committee on the Judiciary, Report on S. 7, Rep. No. 752, 79th Cong., 1st Sess. (1945), reprinted in S. Doc. No. 248 (item 1, above) and in Pike and Fischer Administrative Law (2d), Desk Book, Stat.-11.

II. Other Government Documents

  1. U.S. Department of Justice, Attorney General’s Manual on the Administrative Procedure Act (1947), reprinted in Appendix 2 of this chapter.
  2. U.S. Office of the Federal Register, Document Drafting Handbook (available online at http://www.archives.gov/federal-register/write/handbook/ddh.pdf).
  3. Administrative Conference of the United States, selected recommendations (http://www.acus.gov/recommendations):
68-1 Adequate Hearing Facilities 68-5Representation of the Poor in Agency Rulemaking of Direct Consequence to Them
68-6 Delegation of Final Decisional Authority Subject to Discretionary Review by the Agency
69-8 Elimination of Certain Exemptions from the APA Rulemaking Requirements
70-3 Summary Decision in Agency Adjudication
70-4 Discovery in Agency Adjudication
71-1 Interlocutory Appeal Procedures
71-3 Articulation of Agency Policies
71-6 Public Participation in Administrative Hearings
72-1 Broadcast of Agency Proceedings
72-5 Procedures for the Adoption of Rules of General Applicability
73-5 Elimination of the “Military or Foreign Affairs Function”Exemption from APA Rulemaking Requirements
73-6 Procedures for Resolution of Environmental Issues in Licensing Proceedings
74-1 Subpoena Power in Formal Rulemaking and Formal Adjudication
76-2 Strengthening the Informational and Notice-Giving Functions of the “Federal Register”76-3Procedures in Addition to Notice and the Opportunity for Comment in Informal Rulemaking
76-5 Interpretive Rules of General Applicability and Statements of General Policy
77-3 Ex parte Communications in Informal Rulemaking Proceedings
78-3 Time Limits on Agency Actions
79-l Hybrid Rulemaking Procedures of the Federal Trade Commission
79-4 Public Disclosure Concerning the Use of Cost—Benefit and Similar Analyses in Regulation
80-4 Decisional Officials’ Participation in Rulemaking Proceedings
80-6 Intragovernmental Communications in Informal Rulemaking Proceedings
82-4 Procedures for Negotiating Proposed Regulations
83-2 The “Good Cause” Exemption from APA Rulemaking Requirements
83-3 Agency Structures for Review of Decisions of Presiding Officers under the Administrative Procedure Act
85-2 Agency Procedures for Performing Regulatory Analysis of Rules
85-5 Procedures for Negotiating Proposed Regulations
86-2 Use of Federal Rules of Evidence in Federal Agency Adjudications
86-6 Petitions for Rulemaking
87-1 Priority Setting and Management of Rulemaking by the Occupational Safety and Health Administration
88-7 Valuation of Human Life in Regulatory Decision making
88-9 Presidential Review of Agency Rulemaking
90-8 Rulemaking and Policymaking in the Medicaid Program
92-2 Agency Policy Statements
93-4 Improving the Environment for Agency Rulemaking
95-3 Review of Existing Agency Regulations
95-4 Procedures for Noncontroversial and Expedited Rulemaking
2011-1 Legal Considerations in e-Rulemaking
2011-2 Rulemaking Comments
2011-4 Agency Use of Video Hearings: Best Practices and Possibilities for Expansion
2011-5 Incorporation by Reference
2011-8 Agency Innovations in E-Rulemaking
2012-1 Regulatory Analysis Requirements
2012-2 Midnight Rules
2013-2 Benefit-Cost Analysis
2013-4 Administrative Record in Informal Rulemaking
2013-5 Social Media in Rulemaking
2014-3 Guidance in the Rulemaking Process
2014-4 “Ex Parte” Communications in Informal Rulemaking
2014-6 Petitions for Rulemaking 2015-3 Declaratory Orders

III. Other Resources

a. Books

  1. Alfred C. Aman & William T. Mayton, HORNBOOKON ADMINISTRATIVE LAW (West Academic Publishing, 3d ed. 2014).
  2. Michael Herz, Richard Murphy & Kathryn Watts eds., A GUIDETOJUDICIALAND POLITICAL REVIEWOF FEDERAL AGENCIES, 2DED. (Am. Bar. Ass’n 2015).
  3. William F. Fox, UNDERSTANDING ADMINISTRATIVE LAW (LexisNexis, 6th ed. 2012).
  4. William Funk & Richard Seamon, ADMINISTRATIVE LAW: EXAMPLES & EXPLANATIONS (Aspen Publishers, 5th ed. 2015).
  5. Ernest Gellhorn & Ronald Levin, ADMINISTRATIVE LAWAND PROCESSIN A NUTSHELL (West Nutshell Series, 5th ed. 2006).
  6. Jeffrey Litwak ed., A GUIDETO FEDERAL AGENCY ADJUDICATION, 2DED. (Am. Bar. Ass’n 2014).
  7. Jeffrey S. Lubbers, A GUIDETO FEDERAL AGENCY RULEMAKING (Am. Bar Ass’n, 5th ed. 2012).
  8. Richard J. Pierce, ADMINISTRATIVE LAW TREATISE(Aspen Publishers, 5th ed. 2009).
  9. Richard J. Pierce, Sidney A. Shapiro & Paul R. Verkuil,ADMINISTRATIVE LAWAND PROCESS(Foundation Press, 5th ed. 2009).
  10. Thomas O. Sargentich ed., ADMINISTRATIVE LAW ANTHOLOGY (1994, Anderson Publishing Co. [now Lexis-Nexis]).
  11. Peter H. Schuck, FOUNDATIONSOF ADMINISTRATIVE LAW(3d ed.) (2012 LexisNexis).
  12. Peter Strauss ed., ADMINISTRATIVE LAW STORIES (Foundation Press 2006).
  13. Peter L. Strauss, AN INTRODUCTIONTO ADMINISTRATIVE JUSTICEINTHE UNITED STATES (Carolina Academic Press, 2d revision, 2002).
  14. Section of Administrative Law and Regulatory Practice, A BLACKLETTERSTATEMENTOF FEDERAL ADMINISTRATIVE LAW (2d ed.) (ABA 2013) (1st ed. originally published at 54 Admin. L. Rev. 1 (2002)).

b. Periodicals (aside from law reviews generally)

  1. Administrative Law Review (published by Washington College of Law at American University and the ABA Section on Administrative Law and Regulatory Practice) (Website: http://www.wcl.american.edu/pub/journals/alr/).
  2. Administrative & Regulatory Law News (quarterly newsletter of ABA Section on Administrative Lawand Regulatory Practice) (also available from 1996 online at http://www.abanet.org/adminlaw/news).
  3. Developments in Administrative Law and Regulatory Practice (Annual series beginning 1998-99 and continuing to 2014) (Jeffrey Lubbers ed., ABA, Section of Administrative Law and Regulatory Practice).
  4. Bloomberg BNA, Administrative Law, Third Series: A multivolume loose-leaf service, updated monthly. The Desk Book includes coverage of key statutes, legislative history, implementation memoranda, and agency rules; the Digest system organizes administrative law into 14 major topics (e.g., Costs and Fees, Judicial Review, Rulemaking), with multiple subtopics for each; and the Decisions volumes report significant federal court and agency decisions on administrative procedure and judicial review. Digests of salient points of law are placed under the appropriate subtopics for easy retrieval. A 12-page newsletter, the AdLaw Bulletin, containing case highlights and stories on agency and legislative developments, accompanies each monthly release and is kept in separate binder. The Bulletin also contains practice-oriented articles by outside experts on hot topics.

c. Selected Articles and Other Documents

  1. Michael Asimow, Interim-Final Rules: Making Haste Slowly, 51 Admin. L. Rev. 703 (1999).
  2. Kent Barnett, Resolving the ALJ Quandary, 66 Vand. L. Rev. 797 (2013).
  3. Beck & Leland, Agency Practices and Judicial Review of Administrative Records in Informal Rulemaking (May 14, 2013), available at www.acus.gov/report/agency-practices-and-judicial-review-administrativerecords-informal-rulemaking.
  4. Eric Biber & J.B. Ruhl, The Permit Power Revisited: The Theory and Practice of Regulatory Permits in the Administrative State, 54 Duke L. J. (2014).
  5. Barbara Brandon & Robert Carlitz, Online Rulemaking and Other Tools for Strengthening Our Civil Infrastructure, 54 Admin. L. Rev. 1421 (2002).
  6. Daniel A. Farber & Anne Joseph O’Connell, The Lost World of Administrative Law, 92 Tex. L. Rev. 1137 (2014).
  7. Cynthia R. Farina, Mary Newhart, Josiah Heidt & CeRI, Rulemaking vs. Democracy: Judging and Nudging Public Participation That Counts, 2 Mich. J. Envtl. & Admin. L. 123 (2012).
  8. David L. Franklin, Legislative Rules, Nonlegislative Rules, and the Perils of the Short Cut, 120 Yale L. J. 276 (2010).
  9. William Funk, When Is a “Rule” a Regulation? Marking a Clear Line Between Nonlegislative Rules and Legislative Rules, 54 Admin. L. Rev. 659 (2002).
  10. Elena Kagan, Presidential Administration, 114 Harv. L. Rev. 2245 (2001).
  11. Jeffrey S. Lubbers, APA Adjudication: Is the Quest for Uniformity Faltering? 10 Admin. L. J. Am. U. 65 (1996).
  12. Jeffrey Lubbers, The Transformation of the U.S. Rulemaking Process—For Better or Worse, 34 Ohio N. Univ. L. Rev. 469 (2008).
  13. Jeffrey Lubbers & Blake Morant, A Reexamination of Federal Agency Use of Declaratory Orders, 56 Admin. L. Rev. 1097 (2004).
  14. Elizabeth Magill, Agency Choice of Policymaking Form, 71 U. Chi. L. Rev. 1383 (2004).
  15. John Manning, Nonlegislative Rules, 72 Geo. Wash. L. Rev. 893 (2004).
  16. Nina A. Mendelson, Should Mass Comments Count?, 2 Mich. J. Envtl. & Admin. L. 173 (2012).
  17. Thomas Merrill & Kathryn Watts, Agency Rules with the Force of Law: The Original Convention, 116 Harv. L. Rev. 467 (2002).
  18. Beth Simone Noveck, The Electronic Revolution in Rulemaking, 53 Emory L.J. 433 (2004).
  19. Edward Rubin, It’s Time to Make the Administrative Procedure Act Administrative, 89 Cornell L. Rev. 95 (2003).
  20. Reuel Schiller, Rulemaking’s Promise: Administrative Law and Legal Culture in the 1960s and 1970s, 53 Admin. L. Rev. 1139 (2001).
  21. Jason A. Schwartz & Richard L. Revesz, Petitions for Rulemaking (Nov. 5, 2014), available at www.acus.gov/report/petitions-rulemaking-final-report.
  22. Esa Sferra-Bonistalli, “Ex Parte” Communications in InformalRulemaking (May 1, 2014), available at www.acus.gov/report/final-ex-partecommunications-report.
  23. Sidney Shapiro, Elizabeth Fisher & Wendy Wagner, The Enlightenment of Administrative Law: Looking Inside the Agency for Legitimacy, 47 Wake Forest L. Rev. 463 (2012).
  24. George Shepherd, The Administrative Procedure Act Emerges from New Deal Politics, 90 Nw. L. Rev. 1557 (1996).
  25. Kevin Stack, Guidance in the Rulemaking Process: Evaluating Preambles, Regulatory Text, and Freestanding Documents as Vehicles for Regulatory Guidance (Jun. 10, 2014), available at www.acus.gov/report/ final-guidance-rulemaking-process-evaluating-preambles-regulatory-text-andfreestanding.
  26. Wendy Wagner, The Participation-Centered ModelMeets Administrative Process, 2013 Wis. L. Rev. 671.

d. Web Addresses of Note

  1. Overview of Federal Administrative Law. D.C. Law Librarians’ Society compilation. http://www.llsdc.org/federal-administrative-law-a-brief-overview
  2. ABA Administrative Procedure Database. Developed and maintainedwith the cooperation and support of the American Bar Association’s Section of Administrative Law and Regulatory Practice and the Florida State University College of Law. Contains links to federal agency home pages, state resources, historical materials (such as Attorney General’s Manualon the APA), and other useful links. www.law.fsu.edu/library/admin/
  3. Administrative Conference of the United States. Contains links to past (1968-95) and current activities. https://www.acus.gov
  4. Congress, www.Congress.gov
  5. Government Accountability Office (GAO) Reports. http://www.gao.gov
  6. Government Printing Office. Lots of official gov’t documents. http://www.gpo.gov/fdsys/
  7. LSU’s government website. A complete link to federal agencies andsubunits from all three branches. http://www.lib.lsu.edu/gov/index.html
  8. National Partnership for Reinventing Government (the Clinton “Reinventing Government Initiative”). Archived at http://govinfo.library.unt.edu/npr/index.htm
  9. Office of the Federal Register. Contains (searchable) Federal Register(1994 forward), Code of Federal Regulations, Semiannual Regulatory Agenda, Public Laws (1994 forward), U.S. Government Manual (1995 forward), Weekly Compilation of Presidential Docs. (1993 forward). http:// www.archives.gov/federal-register
  10. Regulations.Gov. The federal government’s “one-stop shop” for filing comments in rulemaking. www.regulations.gov
  11. Regulatory Information Service Center (Unified Agenda of Regs.—1995-present). www.reginfo.gov
  12. SBA Office of Advocacy. Lots of useful links. www.sba.gov/advo
  13. The Regulatory Group, Inc. Useful links from a private consultingfirm. www.reg-group.com
  14. The Center for Regulatory Effectiveness, http://thecre.com/. Business-oriented group site with a wealth of useful information on regulation, especially the Data Quality Act. Has extensive archive of “Inside Administration” papers at http://www.thecre.com/ombpapers/centralrev.html.
  15. U.S. Court of Appeals for the D.C. Circuit. http://www.cadc.uscourts.gov/internet/home.nsf
  16. U.S. House of Representatives Internet Law Library—U.S. Code(searchable form). http://uscode.house.gov/search/criteria.shtml
  17. U.S. Office of Government Ethics (regulations, opinions),www.usoge.gov
  18. U.S. Supreme Court. www.supremecourtus.gov/index.html
  19. University of Virginia School of Law Federal Administrative Decisions and Actions Page. Contains links to the various administrative actions that fall outside the scope of the Code of Federal Regulations or Federal Register. http://www2.lib.virginia.edu/govtinfo/fed_decisions_agency.html
  20. USA.gov. The federal government’s comprehensive portal for government documents. www.usa.gov

Agency Procedural Rules

Agriculture . . . . 7 C.F.R. §§ 1.27-.28, 1.130-.160, Parts 47, 50, 202, 900
Architectural and Transportation Barriers Compliance Board . . . . . . . . . . . . . . . . . . . . . . . . . 36 C.F.R.
Part 1150 Coast Guard (Homeland Security) . . . . . . . . . 33 C.F.R. Part 20, 46 C.F.R. §§ 5.501-.807
Commerce National Oceanic and Atmospheric Admin . . . . . . . . . . . . . . . . . . . . . . .15 C.F.R.  ::Part 904 (Subpt. C)
Commodity Futures Trading Commission . . . . . 17 C.F.R. Parts 10, 12, 13
Consumer Product Safety Commission . . . . . . . . . . . . . . . 16 C.F.R. Parts 1025, 1051, 1052
Environmental Protection Agency . . . . . . . . 40 C.F.R. Parts 22, 24, 25, 104, 108, 164, 209
Federal Communications Commission . . . . . . . . . . . . . . . . 47 C.F.R. Part 1
Federal Deposit Insurance Corporation . . . . . . . . . . . . . 12 C.F.R. Part 308
Federal Emergency Management Agency . . . . . . . . . 44 C.F.R. Parts 1, 68
Federal Energy Regulatory Commission . . . . . . . . . . . . 18 C.F.R. Part 385
Federal Labor Relations Authority . . . . . . . . . . . 5 C.F.R. Parts 2422, 2423
Federal Maritime Commission . . . . . . . . . . . . . . . . . . . . 46 C.F.R. Part 502
Federal Mine Safety and Health Review Commission . . . . . . . . . . . . . . . . . . . . . . . . . . 29 C.F.R. Part 2700
Federal Reserve Board . . . . . . . . . . . . . . . . . . . . . 12 C.F.R. Parts 262, 263
Federal Trade Commission . . . . . . . . . 16 C.F.R. §§ 1.7-.26, Part 3, §§ 4.7
Health and Human Services Centers for Medicare and Medicaid Services . . . . . . . . . . 42 C.F.R. Part 402, Part 405, Subpts. H & I
Food and Drug Administration . . . . . . . . . . . . . 21 C.F.R. Parts 10-17
Housing and Urban Development . . . . . . 24 C.F.R. Part 26, §§ 3282.152; 12 C.F.R. Parts 1007, 1008, 1024
Interior . . . . . . . . . . . . . . . . . . . . . . . . 43 C.F.R. Part 4; 50 C.F.R. Part 11
International Trade Commission . . . . . . . . . . . . . . . . . . 19 C.F.R. Part 210
Justice Drug Enforcement Administration . . . . . . .21 C.F.R. §§ 1301.41-.46, §§ 1303.31-.37, §§ 1308.41-.45, §§ 1309.51-.55, §§ 1312.41-.47, §§ 1313.51-.57, §§ 1316.41-.68
Newspaper Preservation Act . . . . . . . . . . . . . . . . . 28 C.F.R. §§ 48.10
Labor Black Lung Benefits Cases . . . . . . . . . . . . 20 C.F.R. §§ 725.350-.483
Longshoremen’s and Harbor Workers’Compensation Cases . . . . . . . . . . . . . . 20 C.F.R. §§ 702.301-.394
Office of Federal Contract Compliance . . . . . . . . . . . . . 41 C.F.R. §§ 60-1.21-.26, Part 60-30
Other Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 C.F.R. Parts 6, 8
Merit Systems Protection Board . . . . . . . 5 C.F.R. Parts 1201, 1203, 1209
National Credit Union Administration . . . . . . . . . . . . . . 12 C.F.R. Part 747
National Labor Relations Board . . . . . . . . . . . . . . 29 C.F.R. Parts 101, 102
National Transportation Safety Board . . . . . . . . . . . . . . 49 C.F.R. Part 821
Nuclear Regulatory Commission . . . . . . . . . . . . . . . . . . . . 10 C.F.R. Part 2
Occupational Safety and Health Administration (Labor) . . . . . . . . . . . . . . . 29 C.F.R. Parts 1905, 1911
Occupational Safety and Health Review Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 C.F.R. Part 2200
Postal Regulatory Commission . . . . . . . . . 39 C.F.R. Part 3001, Subpt.
A Postal Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 C.F.R. Parts 912-966
Securities and Exchange Commission . . . . . 17 C.F.R. Part 201, Subpt. D
Small Business Administration . . . . . . . . . 13 C.F.R. Parts 101.9, 134, 142
Social Security Administration . . . . . . . . . . . . 20 C.F.R. §§ 404.900-.996, §§ 416.1400-.1494; 42 C.F.R. §§ 405.900-405.1140, §§ 405.1801-.1889
State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 C.F.R. Part 128
Surface Transportation Board . . . . . . . . . . . . . 49 C.F.R. Parts 1110-1119
Transportation Federal Aviation Administration 14 C.F.R. Part 11, Part 13, Subpt. D
Federal Highway Administration . . . . . . . . . 49 C.F.R. Parts 386, 389
Maritime Administration . . . . . . . . . . . . . . . . . . . . . 46 C.F.R. Part 201
National Highway Traffic Safety Administration . . . . . . . . . . . . . . . . . . . . 49 C.F.R. Parts 511, 553
Office of the Secretary . . . . . . . 14 C.F.R. Part 302; 49 C.F.R. Part 5
Pipeline and Hazardous Materials SafetyAdministration... . . . . . . . . 9 C.F.R. Part 106, Part 107, Subpt. D

Treasury

Alcohol and Tobacco Tax and Trade Bureau . . . . . . 27 C.F.R Part 71
Comptroller of the Currency . . . . . . . . . . . . . . . . . . . 12 C.F.R. Part 19
Internal Revenue Service . . . . . . . . . . . . 26 C.F.R. Part 601; 31 C.F.R. §§ 10.60-.82

Appendix:

  1. Administrative Procedure Act, 5 U.S.C. §§ 551, 553–59, 701–06,1305, 3105, 3344, 5372, 7521.
  2. U.S. Department of Justice, Attorney General’s Manual on the Administrative Procedure Act (1947).

Administrative Procedure Act Title V, U. S. Code Chapter 5—Administrative Procedure

§ 551. Definitions
§ 552. Public information; agency rules, opinions, orders, records, and proceedings
§ 552a. Records about individuals
§ 552b. Open meetings
§ 553. Rule making
§ 554. Adjudications
§ 555. Ancillary matters
§ 556. Hearings; presiding employees; powers and duties; burden of proof; evidence; record as basis of decision
§ 557. Initial decisions; conclusiveness; review by agency; submissions byparties; contents of decisions; record
§ 558. Imposition of sanctions; determination of applications for licenses; suspension, revocation, and expiration of licenses
§ 559. Effect on other laws; effect of subsequent statute
§ 1305. Administrative law judges
§ 3105. Appointment of administrative law judges
§ 3344. Details; administrative law judges
§ 5372. Administrative law judges
§ 7521. Actions against administrative law judges