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8000 - Miscellaneous Statutes and Regulations


§ 554.  Adjudications.

(a)  This section applies, according to the provisions thereof, in every case of adjudication required by statute to be determined on the record after opportunity for an agency hearing, except to the extent that there is involved--

(1)  a matter subject to a subsequent trial of the law and the facts de novo in a court;

(2)  the selection or tenure of an employee, except a hearing examiner appointed under section 3105 of this title;

(3)  proceedings in which decisions rest solely on inspections, tests, or elections;

(4)  the conduct of military or foreign affairs functions;

(5)  cases in which an agency is acting as an agent for a court; or

(6)  the certification of worker representatives.

(b)  Persons entitled to notice of an agency hearing shall be timely informed of--

(1)  the time, place, and nature of the hearing;

(2)  the legal authority and jurisdiction under which the hearing is to be held; and

(3)  the matters of fact and law asserted.

When private persons are the moving parties, other parties to the proceeding shall give prompt notice of issues controverted in fact or law; and in other instances agencies may by rule require responsive pleading. In fixing the time and place for hearings, due regard shall be had for the convenience and necessity of the parties or their representatives.

(c)  The agency shall give all interested parties opportunity for--

(1)  the submission and consideration of facts, arguments, offers of settlement, or proposals of adjustment when time, the nature of the proceeding, and the public interest permit; and

(2)  to the extent that the parties are unable so to determine a controversy by consent, hearing and decision on notice and in accordance with sections 556 and 557 of this title.

(d)  The employee who presides at the reception of evidence pursuant to section 556 of this title shall make the recommended decision or initial decision required by section 557 of this title, unless he becomes unavailable to the agency. Except to the extent required for the disposition of ex parte matters as authorized by law, such an employee may not--

(1)  consult a person or party on a fact in issue, unless on notice and opportunity for all parties to participate; or

(2)  be responsible to or subject to the supervision or direction of an employee or agent engaged in the performance of investigative or prosecuting functions for an agency.

An employee or agent engaged in the performance of investigative or prosecuting functions for an agency in a case may not, in that or factually related case, participate or advise in the decision, recommended decision, or agency review pursuant to section 557 of this title, except as witness or counsel in public proceedings. This subsection does not apply--

(A)  in determining applications for initial licenses;

(B)  to proceedings involving the validity or application of rates, facilities, or practices of public utilities or carriers; or

(C)  to the agency or a member or members of the body comprising the agency.

(e)  The agency, with like effect as in the case of other orders, and in its sound discretion, may issue a declaratory order to terminate a controversy or remove uncertainty.

[Codified to 5 U.S.C. 554]

[Source:  Section 554 of the Act of September 6, 1966 (Pub. L. No. 89-554; 80 Stat. 384), effective September 6, 1966]

§ 555.  Ancillary matters.

(a)  This section applies, according to the provisions thereof, except as otherwise provided by this subchapter.

(b)  A person compelled to appear in person before an agency or representative thereof is entitled to be accompanied, represented, and advised by counsel or, if permitted by the agency, by other qualified representative. A party is entitled to appear in person or by or with counsel or other duly qualified representative in an agency proceeding. So far as the orderly conduct of public business permits, an interested person may appear before an agency or its responsible employees for the presentation, adjustment, or determination of an issue, request, or controversy in a proceeding, whether interlocutory, summary, or otherwise, or in connection with an agency function. With due regard for the convenience and necessity of the parties or their representatives and within a reasonable time, each agency shall proceed to conclude a matter presented to it. This subsection does not grant or deny a person who is not a lawyer the right to appear for or represent others before an agency or in an agency proceeding.

(c)  Process, requirement of a report, inspection, or other investigative act or demand may not be issued, made, or enforced except as authorized by law. A person compelled to submit data or evidence is entitled to retain or, on payment of lawfully prescribed costs, procure a copy or transcript thereof, except that in a non-public investigatory proceeding the witness may for good cause be limited to inspection of the official transcript of his testimony.

(d)  Agency subpenas authorized by law shall be issued to a party on request and, when required by rules of procedure, on a statement or showing of general relevance and reasonable scope of the evidence sought. On contest, the court shall sustain the subpena or similar process or demand to the extent that it is found to be in accordance with law. In a proceeding for enforcement, the court shall issue an order requiring the appearance of the witness or the production of the evidence or data within a reasonable time under penalty of punishment for contempt in case of contumacious failure to comply.

(e)  Prompt notice shall be given of the denial in whole or in part of a written application, petition, or other request of an interested person made in connection with any agency proceeding. Except in affirming a prior denial or when the denial is self-explanatory, the notice shall be accompanied by a brief statement of the grounds for denial.

[Codified to 5 U.S.C. 555]

[Source:  Section 555 of the Act of September 6, 1966 (Pub. L. No. 89-554; 80 Stat. 385), effective September 6, 1966]

§ 556.  Hearings; presiding employees; powers and duties; burden of proof; evidence; record as basis of decision.

(a)  This section applies, according to the provisions thereof, to hearings required by section 553 or 554 of this title to be conducted in accordance with this section.

(b)  There shall preside at the taking of evidence--

(1)  the agency;

(2)  one or more members of the body which comprises the agency; or

(3)  one or more hearing examiners appointed under section 3105 of this title.

This subchapter does not supersede the conduct of specified classes of proceedings, in whole or in part, by or before boards or other employees specially provided for by or designated under statute. The functions of presiding employees and of employees participating in decisions in accordance with section 557 of this title shall be conducted in an impartial manner. A presiding or participating employee may at any time disqualify himself. On the filing in good faith of a timely and sufficient affidavit of personal bias or other disqualification of a presiding or participating employee, the agency shall determine the matter as a part of the record and decision in the case.

(c)  Subject to published rules of the agency and within its powers, employees presiding at hearings may--

(1)  administer oaths and affirmations;

(2)  issue subpenas authorized by law;

(3)  rule on offers of proof and receive relevant evidence;

(4)  take depositions or have depositions taken when the ends of justice would be served;

(5)  regulate the course of the hearing;

(6)  hold conferences for the settlement or simplification of the issues by consent of the parties or by the use of alternative means of dispute resolution as provided in subchapter IV of this chapter;

(7)  inform the parties as to the availability of one or more alternative means of dispute resolution, and encourage use of such methods;

(8)  require the attendance at any conference held pursuant to paragraph (6) of at least one representative of each party who has authority to negotiate concerning resolution of issues in controversy;

(9)  dispose of procedural requests or similar matters;

(10)  make or recommend decisions in accordance with section 557 of this title; and

(11)  take other action authorized by agency rule consistent with this subchapter.

(d)  Except as otherwise provided by statute, the proponent of a rule or order has the burden of proof. Any oral or documentary evidence may be received, but the agency as a matter of policy shall provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence. A sanction may not be imposed or rule or order issued except on consideration of the whole record or those parts thereof cited by a party and supported by and in accordance with the reliable, probative, and substantial evidence. The agency may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the agency, consider a violation of section 557(d) of this title sufficient grounds for a decision adverse to a party who has knowingly committed such violaton or knowingly caused such violation to occur. A party is entitled to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts. In rule making or determining claims for money or benefits or applications for initial licenses an agency may, when a party will not be prejudiced thereby, adopt procedures for the submission of all or part of the evidence in written form.

(e)  The transcript of testimony and exhibits, together with all papers and requests filed in the proceeding, constitutes the exclusive record for decision in accordance with section 557 of this title and, on payment of lawfully prescribed costs, shall be made available to the parties. When an agency decision rests on official notice of a material fact not appearing in the evidence in the record, a party is entitled, on timely request, to an opportunity to show the contrary.

[Codified to 5 U.S.C. 556]

[Source:  Section 556 of the Act of September 6, 1966 (Pub. L. No. 89--554; 80 Stat. 386), effective September 6, 1966, as amended by section 4(c) of the Act of September 13, 1976 (Pub. L. No. 94--409; 90 Stat. 1247), effective March 11, 1977; and section 4(a) of the Act of November 15, 1990 (Pub. L. No. 101--552; 104 Stat. 2737), effective November 15, 1990]

§ 557.  Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record.

(a)  This section applies, according to the provisions thereof, when a hearing is required to be conducted in accordance with section 556 of this title.

(b)  When the agency did not preside at the reception of the evidence, the presiding employee or, in cases not subject to section 554(d) of this title, an employee qualified to preside at hearings pursuant to section 556 of this title, shall initially decide the case unless the agency requires, either in specific cases or by general rule, the entire record to be certified to it for decision. When the presiding employee makes an initial decision, that decision then becomes the decision of the agency without further proceedings unless there is an appeal to, or review on motion of, the agency within time provided by rule. On appeal from or review of the initial decision, the agency has all the powers which it would have in making the initial decision except as it may limit the issues on notice or by rule. When the agency makes the decision without having presided at the reception of the evidence, the presiding employee or an employee qualified to preside at hearings pursuant to section 556 of this title shall first recommend a decision, except that in rule making or determining applications for initial licenses--

(1)  instead thereof the agency may issue a tentative decision or one of its responsible employees may recommend a decision; or

(2)  this procedure may be omitted in a case in which the agency finds on the record that due and timely execution of its functions imperatively and unavoidably so requires.

(c)  Before a recommended, initial, or tentative decision, or a decision on agency review of the decision of subordinate employees, the parties are entitled to a reasonable opportunity to submit for the consideration of the employees participating in the decisions--

(1)  proposed findings and conclusions; or

(2)  exceptions to the decisions or recommended decisions of subordinate employees or to tentative agency decisions; and

(3)  supporting reasons for the exceptions or proposed findings or conclusions.

The record shall show the ruling on each finding, conclusion, or exception presented. All decisions, including initial, recommended, and tentative decisions, are a part of the record and shall include a statement of--

(A)  findings and conclusions, and the reasons or basis therefor, on all the material issues of fact, law, or discretion presented on the record; and

(B)  the appropriate rule, order, sanction, relief, or denial thereof.

(d)(1)  In any agency proceeding which is subject to subsection (a) of this section, except to the extent required for the disposition of ex parte matters as authorized by law--

(A)  no interested person outside the agency shall make or knowingly cause to be made to any member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of the proceeding, an ex parte communication relevant to the merits of the proceeding;

(B)  no member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of the proceeding, shall make or knowingly cause to be made to any interested person outside the agency an ex parte communication relevant to the merits of the proceeding;

(C)  a member of the body comprising the agency, administrative law judge, or other employee who is or may reasonably be expected to be involved in the decisional process of such proceeding who receives, or who makes or knowingly causes to be made a communication prohibited by this subsection shall place on the public record of the proceeding:

(i)  all such written communications;

(ii)  memoranda stating the substance of all such oral communications; and

(iii)  all written responses, and memoranda stating the substance of all oral responses, to the materials described in clauses (i) and (ii) of this subparagraph;

(D)  upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of this subsection, the agency, administrative law judge, or other employee presiding at the hearing may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the party to show cause why his claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on account of such violation; and

(E)  the prohibitions of this subsection shall apply beginning at such time as the agency may designate, but in no case shall they begin to apply later than the time at which a proceeding is noticed for hearing unless the person responsible for the communication has knowledge that it will be noticed, in which case the prohibitions shall apply beginning at the time of his acquisition of such knowledge.

(2)  This subsection does not constitute authority to withhold information from Congress.

[Codified to 5 U.S.C. 557]

[Source:  Section 557 of the Act of September 6, 1966 (Pub. L. No. 89--554; 80 Stat. 387), effective September 6, 1966; as amended by section 4(a) of the Act of September 13, 1976 (Pub. L. No. 94--409; 90 Stat. 1246), effective March 11, 1977]

§ 558.  Imposition of sanctions; determination of applications for licenses; suspension, revocation, and expiration of licenses.

(a)  This section applies, according to the provisions thereof, to the exercise of a power or authority.

(b)  A sanction may not be imposed or a substantive rule or order issued except within jurisdiction delegated to the agency and as authorized by law.

(c)  When application is made for a license required by law, the agency, with due regard for the rights and privileges of all the interested parties or adversely affected persons and within a reasonable time, shall set and complete proceedings required to be conducted in accordance with sections 556 and 557 of this title or other proceedings required by law and shall make its decision. Except in cases of willfulness or those in which public health, interest, or safety requires otherwise, the withdrawal, suspension, revocation, or annulment of a license is lawful only if, before the institution of agency proceedings therefor, the licensee has been given--

(1)  notice by the agency in writing of the facts or conduct which may warrant the action; and

(2)  opportunity to demonstrate or achieve compliance with all lawful requirements.

When the licensee has made timely and sufficient applicaton for a renewal or a new license in accordance with agency rules, a license with reference to an activity of a continuing nature does not expire until the application has been finally determined by the agency.

[Codified to 5 U.S.C. 558]

[Source:  Section 558 of the Act of September 6, 1966 (Pub. L. No. 89-554; 80 Stat. 388), effective September 6, 1966]

§ 559.  Effect on other laws; effect of subsequent statute.

This subchapter, chapter 7, and sections 1305, 3105, 3344, 4301(2)(E), 5362, and 7521 of this title, and the provisions of section 5335(a)(B) of this title that relate to hearing examiners, do not limit or repeal additional requirements imposed by statute or otherwise recognized by law. Except as otherwise required by law, requirements or privileges relating to evidence or procedure apply equally to agencies and persons. Each agency is granted the authority necessary to comply with the requirements of this subchapter through the issuance of rules or otherwise. Subsequent statute may not be held to supersede or modify this subchapter, chapter 7, sections 1305, 3105, 3344, 4301(2)(E), 5362, or 7521 of this title, or the provisions of section 5335(a)(B) of this title that relate to hearing examiners, except to the extent that it does so expressly.

[Codified to 5 U.S.C. 559]

[Source:  Section 559 of the Act of September 6, 1966 (Pub. L. No. 89-554; 80 Stat. 388), effective September 6, 1966, as amended by section 1(1) of the Act of October 22, 1968 (Pub. L. No. 90-623; 82 Stat. 1312), effective October 22, 1968]


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