Administrative (Regulatory) Law
Administrative or regulatory law is the set of laws and legal principles governing the creation, administration, operation and regulation of federal and state administrative agencies. It emanates from the Office of the President, Executive Branch agencies and independent regulatory agencies. Agencies are authorised only with the creation or promulgation of regulations per a particular Congress delegation. Administrative law exists as rules, regulations, procedures, orders and decisions. Its chief aim is to ensure that administrative agencies exercise accountability. The judicial review of agency actions helps keep a check on the powers of the executive branch and prevents their abuse while also providing transparency of government operations to the public. Administrative law is closely connected with various aspects of daily life in society
Administrative Agencies
Organisations established by the federal or state governments to manage specific aspects of the law are known as administrative agencies. While the US Constitution includes the legislative, executive, and judicial branches of the government in its Articles I, II, and III, agencies are not covered. However, the Supreme Court has awarded legitimacy to federal administrative agencies to make rules with a similar binding effect as Congress statutes.
Independent agencies come into being and receive their powers from federal enabling acts, and these powers may be amended or withdrawn by statute. They are usually headed by a commission or board comprising five to seven members with shared authority. The commissioners or board are appointed by the president and must be confirmed by the Senate. They cannot be removed except for “good cause” and serve for staggered terms longer than the four-year presidential term. On the other hand, executive agencies are usually overseen by a single director, secretary or administrator whom the president appoints. Executive agency members typically serve at the pleasure of the president.
Although considered to have executive functions, administrative agencies act quasi-legislatively when they develop or promulgate rules and regulations like a legislature to build on or clarify federal statutes. They also work quasi-judicially when they conduct when hearings and issue rulings and decisions, similar to a court. Their quasi-judicial capacity allows them to carry out limited fact-finding and evaluate civil and sometimes criminal penalties. Given that they make regulations, enforce the law and conduct fact-finding, administrative agencies thus have elements of all three branches of government, that is, executive, legislative and judicial.
Federal administrative agencies issue rules abiding by the steps and guidelines established under the Administrative Procedure Act of 1946. The act aims to ensure public participation in rulemaking and consistency in rule-issuing procedures.
Administrative Law Judges (ALJs)
ALJs are specially trained and independent judges or Hearing Officers responsible for conducting and presiding over orderly, fair, and impartial hearings of cases dealing with administrative law. Their appointment is governed by the Administrative Procedure Act of 1946 (APA) in the United States. They are authorised to administer oaths, rule on evidentiary objections, and render legal and factual determinations.
Although ALJs are viewed as working on the executive side of governance than the judicial, the APA equips them with considerable independence in decision-making and immunity from any liability arising from their judicial acts. They work independently of agencies that are parties to a dispute, and the APA safeguards them from any pressure from stakeholders.
After balanced and thorough research and review of all available information, ALJs issue a well-reasoned recommendation or final decision for matters pertaining to administrative agencies. If they issue a recommendation, the agency head is responsible for the final decision.
ALJs are not components of the judicial court system. They are also not employed by the agency that is a party to a dispute. Instead, they remain neutral in every hearing as they are employed by the federal government or the Office of Administrative Hearings (OAH) in states. While many states have enacted a body of laws based on the APA, the powers they accord their ALJs vary from being wide-ranging, considerable and independent to minimal.
Administrative Law Judge (ALJ) vs Administrative Judge (AJ)
Federal agencies employ administrative judges (AJs) as Hearing Officers to preside over informal administrative adjudication proceedings, which typically fall outside the domain of rulemaking but facilitate dispute resolution between agencies and private parties or between private parties. Informal adjudication accounts for a large majority of adjudications and is generally used for hearings related to benefits, immigration, equal employment, government contracts and security clearance.
While agencies directly hire AJs, administrative law judges (ALJs) are appointed by the president, courts or agency heads. Furthermore, the Administrative Procedure Act (APA) protects ALJs but not AJs from removal, discipline and performance reviews. ALJs generally receive higher compensation and greater independence and job security than AJs. While AJs have varying authority across states and local entities, they are authorised, like administrative law judges, to administer oaths during proceedings, receive testimony and evidence, make fact findings and issue adjudicative orders. While most ALJ and many AJ positions require a law degree, a licence to practise and work experience, some AJ roles may accept a bachelor’s degree in a relevant subject.
Stages in Administrative Hearings
1. Upon a hearing being requested - When a party requests a hearing, all interested parties receive a notice summarising the issues. The Hearing Officer of ALJ may hold a pre-hearing session with the disputants to agree on what the dispute is about, arrive at a consensus about undisputed facts, chalk out a timetable for the hearing and encourage a settlement agreement.
2. During the hearing - Disputing parties put forth facts, evidence and arguments to support a particular resolution. The Hearing Officer or ALJ’s first step is to address each exhibit that will be submitted and ensure a copy for each side before admitting them into the hearing record. Admittance implies that the evidence is reliable for all parties and can be referred to by them. The ALJ then summarises the issues at hand. Similar to a traditional court, the proceedings include each party delivering an opening statement to the ALJ and calling witnesses to testify. Witnesses must be sworn in before they testify and are governed by perjury laws, as in regular jury trials. Hearings may end with parties presenting their closing statements. Hearings and proceedings are recorded in some manner.
3. After the hearing - Parties may buy a transcript to prepare the brief that ALJs may ask them to submit or an appeal if required. After the briefs are submitted, the ALJ must draft a recommended or final decision. All parties receive the document detailing the relevant facts and findings, the law that applies to the case and how it does so. Subsequently, the parties must abide by the provided timeframe to file written objections to the proposed decision, in part or in full, if it is unsatisfactory. The ALJ responds by reviewing the objections and then modifying the decision or leaving it as it is. Each party receives the final decision in writing with a notice of appeal rights. In case of disagreement, a party may appeal the ALJ’s ruling to an administrative appeals authority.
Judge vs Hearing Officer
Authorised by law, judges preside over proceedings in courts. At the federal level, they hear cases relevant to the constitutionality of laws, the country’s treaties, ambassadors and ministers, state disputes, admiralty law, bankruptcy and habeas corpus matters. At the state level, judges typically with criminal cases and those related to wills and estates. They also hear contract and tort cases and those related to family law (marriages, divorces and adoptions). The president nominates federal judges, and the Senate confirms them. They typically hold office during good behaviour for life. However, misbehaviour may lead to removal from office through Congressional impeachment. State court judges may be elected or appointed for a fixed term or life or first appointed and then elected.
Hearing Officers are attorneys appointed by the State or government bodies to oversee administrative cases. They are not judges, although they perform quasi-judicial functions, mainly resolving disputes and settling claims involving administrative agencies or executive departments of the government. They hear testimony, analyse evidence and interpret and apply administrative law. Hearing Officers typically take several days after the hearing to arrive at a decision and mail it to the disputing parties. Thereby, they have considerable time to consider all aspects of the case before rendering a ruling, giving contesting parties greater confidence that the decision is fair. While administrative hearings are formal, they are less so than a traditional court case heard by a judge.
Although their scope of authority is similar, ALJs are different from traditional courtroom judges in that they conduct bench trials, meaning they serve as both the judge and trier of fact for all administrative hearings. Civil courts may offer the option of forgoing a jury and having the judge assess factual evidence.
Some Examples of Issues that Hearing Officers Tackle
- Civil service law
- Zoning & land use
- Licensing
- Conflicts of interest
- City contracts
- Human rights law
- Workers’ compensation
- Disability benefits
- Vehicle seizures
- Street cleanliness
- Waste disposal
- Street vendors
- Sanitation in restaurants, public health and the environment
- Parks property
- Air, noise & water pollution
- Building and fire code violations
- Public transport rule violations
Alternative Dispute Resolution (ADR)
Alternative dispute resolution (ADR) refers to the ways in which dispute resolution can take place without a trial. Some other ADR methods are arbitration, mediation and neutral evaluation. ADR processes are largely confidential, less formal and stressful than courtroom proceedings and more economical and time-saving. Since parties to the dispute engage in the resolution process, the outcomes may be more creative, longer-lasting, satisfying and conducive to better relationships than court rulings.
Hearing Officer vs Arbitrators
A Hearing Officer is comparable to an arbitrator, except that arbitrators are neither appointed nor monitored by the court system. Consequently, materials produced in arbitration are often not public records, unlike those brought to Hearing Officers. While non-binding arbitration outcomes offer disputing parties the flexibility to appeal to the court or resort to alternative forms of settlement, a binding arbitration ruling is more difficult to challenge than decisions given by Hearing Officers, which can be submitted for review to courts of appeal.
The Difference Between Magistrates and Hearing Officers in Family Law Courts
State bar members may be appointed general or special magistrates to supervise divorces and other family law matters. However, cases can be entrusted to general magistrates only if disputing parties agree to it, following which they may try the case, hear evidence and submit their report with facts, legal conclusions and recommendations to the judge who referred the case. Parties to the dispute may file objections to the report and request to be heard before the judge. During the hearing, the judge assesses if substantial evidence supports the magistrate’s conclusions or if there is evidence that disproves their correctness and takes steps accordingly. Special magistrates carry out duties similar to general magistrates but do not need the parties to consent.
Hearing Officers may also be called upon by family law judges, particularly for cases involving child support, to convene hearings, exercise their authority to get parties to present evidence, review agreements and finally submit their recommendations to the judge. Both parties to the dispute may petition the court to alter or even overturn the Hearing Officer's recommendations.
Current Scenario
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