Chapter 4: Introduction to Administrative Law

Z. Which of the following is not true about statutory limitations on administrative agency powers?

Pursuant to the Tenth Amendment to the U.S. Constitution, statutory limitations on agency power must originate from state legislatures.

Informal Rule making

A type of rule making in which an agency publishes a proposed rule in the Federal Register, considers public comments, and then publishes the final rule. Also called notice-and-comment rule making.

Order

A binding decision made by a judge.

Hybrid Rule Making

A type of rule making that combines features of formal and informal rule making; consists of publication in the Federal Register, a written-comment period, and an informal public hearing with restricted cross-examination.

Government in Sunshine Act

A law that requires all committee-directed federal agencies to conduct their business regularly in public session.

Adjudication

A proceeding in which an administrative law judge hears and decides issues that arise when an administrative agency charges a person or a firm with an agency violation.

Enabling Legislation

A statute enacted by Congress that authorizes the creation of an administrative agency and specifies the name, composition, purpose, and powers of the agency being created.

Formal Rule Making

A type of rule making that is used when legislation requires a formal hearing process with a complete transcript; consists of publication of the proposed rule in the Federal Register, a public hearing, publication of formal findings, and publication of the final rule if adopted.

Consent Order

A voluntary, court-enforceable agreement to stop an illegal or questionable practice.

Interpretive Rules

Administrative agency rules that simply declare policies or explain the agency's positions and do not establish any legal rights or obligations. Does not create any new rights or duties.

Exempted Rule Making

Agency decides whether public participation allowed; includes rule-making proceedings with regard to "military or foreign affairs", "agency management or personnel", and "public property, loans, grants, benefits, or contracts" of an agency

Statutory Limitations

Congress may create or eliminate agencies and amend enabling legislation; Congress reviews and may override agency rules

Interstate Commerce Commission

First federal agency monitoring business operations, created in 1887 to oversee interstate railroad procedures

Policy Statements

General statements about directions of agency regarding rule-making or enforcement activities; no binding impact; do not directly affect legal rights/responsibilities

Freedom of Information Act

Gives all citizens the right to inspect all records of federal agencies except those containing military, intelligence, or trade secrets; increases accountability of bureaucracy

Administrative Agencies

Governmental bodies formed to carry out particular laws. Agencies have three types of power: legislative, judicial, and executive. The first one was the Interstate Commerce Commission.

Judicial Limitations

Interested parties may challenge administrative rules in the courts, which may review the agency's findings of facts (must be substantial evidence), its interpretation of the rule, and the scope of the agency's power in making the rule.

Regulated Negotiation (Reg-Neg)

Mediated agreement (involving competing interest groups) on agency rule-making

Administrative Law Judge

One who presides over an administrative agency hearing and has the power to administer oaths, take testimony, rule on questions of evidence, and make determinations of fact.

Substantial evidence

Refers to evidence that a reasonable mind could accept as adequate to support a conclusion. It is defined as "more than a scintilla but less than preponderance" and consists of "such relevant evidence as a reasonable person would accept as adequate to support a conclusion."

Investigation

Statutes grant executive power to agencies to investigate potential violations of rules or statutes.

Political Limitations

The Senate Must approve nominees for agency heads, and Congress has power over agencies' budgets.

Informational Limitations

The Freedom of Information Act, Government in Sunshine Act, and Privacy Act of 1974 specify agencies' responsibilities regarding public access to information.

Privacy Act of 1974

The Privacy Act requires that agencies give the public notice of their systems of records by publication in the Federal Register. The Privacy Act prohibits the disclosure of information from a system of records absent the written consent of the subject individual, unless the disclosure is pursuant to one of twelve statutory exceptions.

Administrative Law

The body of law created by administrative agencies (in the form of rules, regulations, orders, and decisions) in order to carry out their duties and responsibilities.

Executive Order on Ethics Commitments by Executive Branch Personnel

This order prohibits executive branch employees from accepting gifts from lobbyists.

Subpoena

a court order requiring appearance and/or testimony

Federal Register

a government publication describing bureaucratic actions and detailing regulations proposed by agencies.

Z. When can an administrative law judge render an order?

after a hearing

Independent Agencies

agencies in the executive branch of the federal government formed by Congress to help enforce laws and regulations not covered by the executive departments

Hybrid Agencies

an agency that has characteristics of both executive and independent agencies

Z. A(n) ______ agency refers to a situation where biased agency employees refuse to ignore their past ties to industry and fail to pass regulations that would be in the public interest.

captured

Administrative Procedures Act

federal legislation that places limitations on how agencies are run and contains very specific guidelines on rule making by agencies

Z. Which of the following does the Administrative Procedures Act require when an enabling statute mandates all regulations or rules to be be enacted by an administrative agency as part of a formal hearing process?

formal rule making

Executive Agency (cabinet level agencies)

independent agency that deals with certain specific areas within the government. Heads appointed and dismissed by the president at any time.

Legislative Rules

policy expressions that have the effect of law

The four basic limits on agency power:

political, statutory, judicial, and informational

Agencies may enact three types of rules

procedural, interpretive, and legislative

Z. Which of the following records is an exemption to the Privacy Act of 1974?

records regarding classified information on national security

Z. Which of the following records is an exemption to the Privacy Act of 1974?

records regarding criminal investigations

Procedural Rules

rules issued by an administrative agency establishing its organization, method of operation, and rules of conduct for practice before it

Subpoena Duces Tecum

the court command to a witness to produce at trial a certain pertinent document he or she holds

Z. Which of the following rights are not guaranteed by the Privacy Act of 1974?

the right to be secure in one's own house(s)