Chapter 5 318

1. True 2. False 3. False

1. The APA requires that the ALJ be separate from an agency's investigative and prosecutorial staff. (True or False) 2. The APA does not prohibits ex parte (private) communications between the ALJ and any party to an agency proceeding. (True or False) 3. Provisions of the APA do not protect the ALJ from agency disciplinary actions unless the agency can show good cause for such an action (True or False)

Government in the 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.

administrative agency hearing

A significant difference between a trial and an administrative agency hearing, though, is that normally much more information, including hearsay (secondhand information), can be introduced as evidence during an _____________

administrative agency

A statute enacted from legislation is implemented through an __________, which then creates detailed rules and regulations necessary to create the statute.

1) name 2) purpose 3) functions 4) powers

Enabling legislation specifies the: 1) the ________ 2) ____________ 3)_____________ 4) ____________ of the agency being created

True

Administrative agencies, which constitute the bureaucracy, are sometimes referred to as the fourth branch of the U.S. government. (True or False)

administrative law judge

Agency adjudication involves a hearing before an __________________. Under the APA, before the hearing takes place, the agency must issue a notice that includes the facts and law on which the complaint is based, the legal authority for the hearing, and its time and place.

False

An agency may change the way it applies a certain regulatory principle. Before the change can be carried out, the agency does not need to give out fair notice of what conduct will be expected in the future. (True or False)

they should when statues language is unclear and an agency interprets it

At issue in the Chevron case was whether the courts should defer to an agency's interpretation of a statute giving it authority to act. What was the decision (they should or they should not)?

state agency

Commonly, what type of agency is created parallel to a federal agency?

Article I

Courts generally hold that _______ of the U.S. Constitution is the basis for all administrative law.

True

Federal administrative agencies can exercise only those powers that Congress has delegated to them in enabling legislation. (True or False)

precedence

Federal agency regulations take _________ over conflicting state regulations.

Regulatory Flexibility Act

Federal law requiring federal agencies to consider the effects of their regulatory actions on small businesses and other small entities and to minimize any undue disproportionate burden.

final order

Following a hearing, if no party appeals the case OR if a party appeals and the commission and the court decline to review the case., the ALJ's decision becomes the _______________ of the agency.

initial order, appeal

Following a hearing, the ALJ renders an ____________ on the case. Either party can ____________ the ALJ's decision to the board or commission that governs the agency and can subsequently appeal the agency decision to a federal court of appeals

arbitration, trial

Hearing procedures vary widely from agency. Frequently, disputes are resolved through informal adjudication proceedings that resemble _________. However A formal adjudicatory hearing, in contrast, resembles a _______________.

Yes

If a settlement cannot be reached, the agency may issue a formal complaint against the suspected violator. Is the complaint a public document?

enforcement investigations

Inspections and tests, subpoenas, and search warrants are examples of

True

Many rules must be adopted by the APA's notice and comment rulemaking procedure (True or False)

negotiated settlements

Most administrative actions are resolved through _________________ at their initial stages. These are appealing because 1) firms can avoid appearing uncooperative and to avoid the expense involved in formal adjudication proceedings and in possible later appeals. 2) For agencies they conserve their own resources and avoid formal actions, administrative agencies devote a great deal of effort to giving advice and negotiating solutions to problems.

binding

Regulations have a binding or nonbinding effect?

is

The APA (is/is not) an integral part of the administrative process.

rule

The APA defines a ______ as "an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law and policy."

1. failed 2. prior policy 3. inappropriate 4. relevant 5. contrary

The APA's arbitrary and conspicuous test is typically considered by the courts when: 1. __________ to provide a rational explanation for the decision 2. changed its ____________ without justification 3. considered legally _____________ factors 4. failed to consider a _____________ factor 5. rendered a decision plainly _______________ to the evidence

1. notice of the proposed rulemaking 2. a comment period 3. the final rule

The APA's notice and comment rulemaking procedure involves three basic steps:

Regulatory Flexibility Act.

The SBREFA also authorizes the courts to enforce the _________ which helps to ensure that federal agencies, such as the Internal Revenue Service, consider ways to reduce the economic impact of new regulations on small businesses

True

The United States Supreme Court has held that in order for agency interpretations to be assured Chevron deference, they must meet the formal legal standards for notice-and-comment rulemaking. (True or False)

Freedom of Information Act (FOIA)

The ____________ exempts certain types of records, such as those involving national security, and those containing information that is personal or confidential.

Government in the Sunshine Act

The following are exceptions to what act: 1. The subject of the meeting concerns accusing any person of a crime. 2. Open meetings would frustrate implementation of future agency actions. 3. The subject of the meeting involves matters relating to future litigation or rulemaking.

False

The impetus for rulemaking may not come from various sources, including Congress, the agency itself, or private parties, who may petition an agency to begin a rulemaking (or repeal a rule). (True or False)

unbiased

The law requires an administrative law judge (ALJ) to be an _______________ adjudicator (judge).

relevance, burden

The limitations on what an agency can demand is dependent upon: - the purpose of the investigation - the ____________ of the information being sought - the specificity of the demand for testimony or documents - the ____________ of the demand on the party from whom the information is sought

when and where, legal authority, terms

The notice states: _________________ the proceedings will be held, the agency's ____________ for making the rule (usually its enabling legislation), and the _________ or subject matter of the proposed rule.

bureaucracy

The organizational structure, consisting of government bureaus and agencies, through which the government implements and enforces the laws is called the

independent regulatory agencies

There are major ____________________ at the federal level. The presidents power is less pronounced since officers serve for fixed terms and cannot be removed without just cause.

Small Business Regulatory Enforcement Fairness Act (SBREFA)

This act allows Congress to review new federal regulations for at least sixty days before they take effect. This >60 day period gives opponents of the rules time to present their arguments to Congress.

enabling legislation

To create an administrative agency, Congress passes _______________________which specifies the name, purposes, functions, and powers of the agency being created.

ad testificandum subpoena and duces tecum subpoena

Two basic types of subpoenas are

duces tecum subpoena

What is a subpoena that compels an individual or organization to hand over books, papers, records, or documents to the agency?

ad testificandum subpoena

What is a subpoena that is a writ, or order, compelling a witness to appear at an agency hearing?

legislative rules

What is an administrative agency rule that carries the same weight as a congressionally enacted statute?

interpretive rules

What is an administrative agency rule that explains how the agency interprets and intends to apply the statutes it enforces?

the delegation doctrine

What is based on the U.S. Constitution, which has been construed to allow Congress to delegate some of its power to administrative agencies to make and implement laws?

D.

What is true of the final rule in the notice and comment rulemaking procedure? A. A final rule must contain a "concise general statement of ... basis and purpose" that describes the reasoning behind the rule. B. The final rule may change the terms of the proposed rule, in light of the public comments, but cannot change the proposal too radically, or a new proposal and a new opportunity for comment are required. C. Final rules have binding legal effect unless the courts later overturn them. D. All of the above

rulemaking, enforcement, adjudication

What three basic functions make up the administrative process?

Federal Registrar

When a federal agency decides to make a new rule, the agency publishes a notice of the proposed rulemaking in the _________________

Congress

Who creates federal administrative agencies?

The Administrative Procedures Act (APA)

____________ provides that a court should set aside agency actions found to be 1. arbitrary 2. capricious 3. an abuse of discretion

Freedom of Information Act (FOIA)

a federal statute that requires public agencies to provide certain types of information requested by citizens