Cecily Zamora
Administrative law is a branch of public law that governs the regulation of government agencies at the federal and state levels. It defines how these agencies can make and enforce rules and regulations, and how they can propose rules, exercise their powers, and take various actions. Agencies are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those new laws. These agencies are then responsible for overseeing and monitoring activities in various sectors, such as telecommunications, financial markets, and employment. The ongoing changes in agency rules and the emergence of new regulatory areas require a commitment to lifelong learning and adaptation, as the boundaries and applications of administrative law are constantly evolving.
| Characteristics | Values |
|---|---|
| Agencies created through their own organic statutes | Department of Justice, Department of Defense, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, OSHA, EPA, Department of Labor (DOL), Federal Communications Commission (FCC), etc. |
| Agencies interpret, administer, and enforce laws | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies are created to protect public interest | Environmental Protection Agency, OSHA, EPA, etc. |
| Agencies are delegated power by Congress or state legislature | Department of Justice, Department of Defense, Federal Trade Commission, etc. |
| Agencies are official government bodies | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies have the power to direct, supervise, and implement legislative acts or statutes | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies make and enforce rules that help implement statutes | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies conduct investigations during rulemaking, licensing, or before an enforcement action | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies pursue administrative, civil, or criminal sanctions for violations of laws or rules | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies propose rules, exercise their powers, and take various actions | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
| Agencies provide detailed rules and guidance to clarify and execute statutes | Department of Justice, Federal Trade Commission, Securities and Exchange Commission, Environmental Protection Agency, etc. |
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What You'll Learn
Agencies' rule-making and adjudication processes
Agencies are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those laws. Agencies are delegated power by Congress (or in the case of a state agency, the state legislature) to take on the responsibility for carrying out certain prerogatives from Congress. Agencies like OSHA not only ensure workplace safety but also enforce federal standards that protect employee rights and wellbeing. Similarly, the EPA implements federal environmental laws that have far-reaching impacts on industries ranging from manufacturing to agriculture.
The APA is a remedial statute designed to ensure uniformity and openness in the procedures used by federal agencies. The APA is the major source for federal administrative agency law, while state agencies' administration and regulation are governed by comparable state acts. For example, under the federal APA and judicial interpretations of the APA, agencies purporting to engage in the rulemaking function must give notice of proposed rulemaking before adopting the final rule. The final rule must follow a logical outgrowth of the proposed rule and must display the agencies' consideration of all comments received and reviewed. Agencies must abide by their own rules and regulations.
In its adjudicatory functions, agencies often have their own judicial body, known as the Administrative Law Judge (ALJ), who are part of their respective agencies but must be independent from the agency officials involved in certain actions. ALJs are employed by the agency but are bound by certain rules and procedures that aim to ensure neutrality. Adjudications vary in the forms they take and in the substantive ends they serve. Each procedural system must be carefully designed to serve those particular ends. Each system must also find an optimal balance between sometimes competing objectives, often said to come down to efficiency and fairness, in deciding what and how much process to give.
Agencies are permitted to rely on rules in reaching their decisions rather than adjudicate, where the promulgation of the rules is within the agency's statutory authority, and the rules themselves are not arbitrary or capricious. When someone violates an agency's rule, the agency can proceed with a process known as adjudication. However, agencies also adjudicate other things such as the granting of public benefits and applications for certain federal programs. Simply put, agency adjudications are anything that results in an order from the agency.
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Agencies' investigative powers
Administrative agencies are empowered by law to investigate various matters within their jurisdiction. They are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those laws. Agencies are delegated power by Congress (or in the case of a state agency, the state legislature) to take on the responsibility for carrying out certain prerogatives from Congress.
Agencies have broad discretionary powers to conduct investigations and are generally held to have expertise on technical matters within their jurisdiction. They may investigate matters related to the creation of new rules, or the amendment or modification of existing ones. They can also investigate as part of the rulemaking process, in the course of reviewing an application for a license or permit, or to determine whether there are grounds to bring an enforcement action. For instance, the Securities and Exchange Commission (SEC) has the power to investigate violations of corporate and securities laws.
Agencies are limited to the jurisdiction and authority granted to them by statute, and their investigations are inquisitorial proceedings to gather information. They may organize field studies, hold private conferences and consultations, conduct inspections, and require periodic reports from businesses. While agencies have broad discretion, their investigative powers are not unfettered. They must adhere to the principles of due process, fairness, and substantial evidence, and are always subject to judicial review to ensure they do not overreach or abuse their authority.
In the United States, courts have generally held that the due process protections of the Fifth and Fourteenth Amendments do not apply in administrative investigations. However, the Administrative Procedure Act (APA) provides a framework for federal agencies' procedures, requiring them to give notice of proposed rulemaking and display consideration of all comments received before adopting a final rule.
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Agencies' enforcement powers
Agencies like the Securities and Exchange Commission (SEC) are authorized to file civil lawsuits for alleged violations of securities regulations and statutes. The U.S. Department of Justice can file suit on behalf of agencies that do not have the statutory authority to sue on their own. Agencies with specific law enforcement responsibilities, like the Drug Enforcement Administration (DEA), may initiate criminal prosecutions or refer them to a prosecutor's office.
Agencies are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those laws. Agencies are delegated power by Congress (or in the case of a state agency, the state legislature) to take on the responsibility for carrying out certain prerogatives from Congress. Generally, administrative agencies are created to protect the public interest rather than to vindicate private rights.
The Administrative Procedure Act (APA) is a remedial statute designed to ensure uniformity and openness in the procedures used by federal agencies. It is a comprehensive regulatory scheme governing regulations, adjudications, and rulemaking in general terms. The APA is the major source for federal administrative agency law, while state agencies' administration and regulation are governed by comparable state acts.
Former Supreme Court Justice Stephen Breyer defined the legal rules and principles of administrative law in four parts:
- Define the authority and structure of administrative agencies
- Specify the procedural formalities employed by agencies
- Determine the validity of agency decisions
- Define the role of reviewing courts and other governmental entities in relation to administrative agencies
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Agencies' independence from presidential control
Agencies are delegated power by Congress (or in the case of a state agency, the state legislature) to carry out certain prerogatives. Agencies are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those laws. Administrative law is a critical component of public law and is the process by which federal agencies, state, and local governments implement and enforce laws enacted by Congress or state legislatures.
In the United States federal government, independent agencies are agencies that exist outside the federal executive departments and the Executive Office of the President. They are considered part of the executive branch, but have regulatory or rule-making authority and are insulated from presidential control. The president's power to dismiss the agency head or a member is limited. Independent agencies can be distinguished from federal executive departments by their structural and functional characteristics. Their officers can be protected from removal by the president, and they can be controlled by a board that cannot be appointed all at once. The board can also be required to be bipartisan.
The Supreme Court has played a significant role in shaping the boundaries of presidential control over independent agencies. In Humphrey's Executor v. United States (1935), the Court upheld statutory limitations on the president's power to remove officers of administrative bodies that performed quasi-legislative or quasi-judicial functions, such as the Federal Trade Commission. However, more recently, the Supreme Court has revived the President's inherent removal power, casting doubt on Congress's ability to limit the President's control over independent agencies. This shift in jurisprudence has sparked discussions about the potential end of independent agencies as we know them.
The independence of agencies from presidential control is a complex and evolving issue. While independent agencies are generally insulated from direct presidential control, the President's power to appoint and remove officials, as well as the Supreme Court's interpretations, play a significant role in shaping the dynamic between the executive branch and these agencies.
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Agencies' compliance with the Administrative Procedure Act
Administrative law is a branch of law that governs the administration and regulation of government agencies and the procedures they must follow when making rules and adjudicating administrative litigation. Agencies are created through their own organic statutes, which establish new laws, and in doing so, create the respective agencies to interpret, administer, and enforce those laws. These agencies are delegated power by Congress or, in the case of state agencies, the state legislature.
The Administrative Procedure Act (APA) is a federal act that governs the procedures of administrative law. The APA is the major source for federal administrative agency law, while state agencies' administration and regulation are governed by comparable state acts. The APA sets forth the procedures that agencies must follow when making rules and adjudicating matters. It includes requirements for publishing notices of proposed and final rulemaking in the Federal Register and provides opportunities for the public to comment on notices of proposed rulemaking. The APA requires most rules to have a 30-day delayed effective date.
The APA also addresses other agency actions such as the issuance of policy statements, licenses, and permits. It provides standards for judicial review if a person has been adversely affected or aggrieved by an agency action. The APA is designed to ensure uniformity and openness in the procedures used by federal agencies. It is a comprehensive regulatory scheme governing regulations, adjudications, and rulemaking in general terms.
Agencies must abide by their own rules and regulations and act within Constitutional and statutory parameters. Courts must defer to administrative agency interpretations of the authority granted to them by Congress, but they should not grant blind deference to the statutory interpretations of administrative agencies. Instead, courts must independently interpret the statute and effectuate the will of Congress within constitutional limits.
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Frequently asked questions
Administrative law is a branch of public law that governs how government agencies can operate. It defines how these agencies propose rules, exercise their powers, and take various actions.
Agencies implement administrative law by creating and enforcing rules and regulations that help implement statutes. They also oversee and monitor activities in various sectors, such as commercial aviation, medical device manufacturing, and securities markets.
Examples of agencies that implement administrative law include the Department of Labor (DOL), the Federal Communications Commission (FCC), the Securities and Exchange Commission (SEC), the Environmental Protection Agency (EPA), and the Department of Homeland Security.
The Administrative Procedure Act is a law passed by Congress in 1946 that outlines the process by which federal agencies propose and make rules and regulations. It ensures uniformity and openness in the procedures used by federal agencies.
Courts play a crucial role in administrative law. They interpret statutes, review agency rules and actions, and ensure that agencies act within their constitutional and statutory limits. Courts must also give deference to agency interpretations, depending on the agency's expertise and the ambiguity of congressional intent.
