US (United States) Code. Title 5. Chapter 5: Administrative procedure

Codificación normativa de EEUU (Estados Unidos) Legislación Federal estadounidense # Government organization and employees

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-CITE-

5 USC CHAPTER 5 - ADMINISTRATIVE PROCEDURE 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

.

-HEAD-

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

-MISC1-

SUBCHAPTER I - GENERAL PROVISIONS

Sec.

500. Administrative practice; general provisions.

501. Advertising practice; restrictions.

502. Administrative practice; Reserves and National Guardsmen.

503. Witness fees and allowances.

504. Costs and fees of parties.

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

551. Definitions.

552. Public information; agency rules, opinions, orders, records,

and proceedings.

552a. Records about individuals. (FOOTNOTE 1)

(FOOTNOTE 1) So in original. Does not conform to section

catchline.

552b. Open meetings.

553. Rule making.

554. Adjudications.

555. Ancillary matters.

556. Hearings; presiding employees; powers and duties; burden of

proof; evidence; record as basis of decision.

557. Initial decisions; conclusiveness; review by agency;

submissions by parties; contents of decisions; record.

558. Imposition of sanctions; determination of applications for

licenses; suspension, revocation, and expiration of licenses.

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

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

561. Purpose.

562. Definitions.

563. Determination of need for negotiated rulemaking committee.

564. Publication of notice; applications for membership on

committee.

565. Establishment of committee.

566. Conduct of committee activity.

567. Termination of committee.

568. Services, facilities, and payment of committee member

expenses.

569. Encouraging negotiated rulemaking.

570. Judicial review.

570a. Authorization of appropriations.

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

571. Definitions.

572. General authority.

573. Neutrals.

574. Confidentiality.

575. Authorization of arbitration.

576. Enforcement of arbitration agreements.

577. Arbitrators.

578. Authority of the arbitrator.

579. Arbitration proceedings.

580. Arbitration awards.

581. Judicial review.

(582. Repealed.)

583. Support services.

584. Authorization of appropriations.

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

591. Purpose.

592. Definitions.

593. Administrative Conference of the United States.

594. Powers and duties of the Conference.

595. Organization of the Conference.

596. Authorization of appropriations.

AMENDMENTS

1996 - Pub. L. 104-320, Sec. 4(b)(2), 10(b), 11(b)(2), (d)(2),

Oct. 19, 1996, 110 Stat. 3871, 3873, 3874, in item 569 substituted

''Encouraging negotiated rulemaking'' for ''Role of the

Administrative Conference of the United States and other

entities'', added items 570a and 584, and struck out item 582

''Compilation of information''.

1992 - Pub. L. 102-354, Sec. 4, Aug. 26, 1992, 106 Stat. 945,

substituted headings of subchapters III, IV, and V and items 561 to

570, 571 to 583, and 591 to 596 for former heading of subchapter

III and former items 571 to 576 relating to Administrative

Conference of the United States, former heading of subchapter IV

and former items 581 to 593 relating to alternative means of

dispute resolution in the administrative process, and former

heading of subchapter IV and former items 581 to 590 relating to

negotiated rulemaking procedure.

1990 - Pub. L. 101-648, Sec. 3(b), Nov. 29, 1990, 104 Stat. 4976,

added heading of subchapter IV and items 581 to 590 relating to

negotiated rulemaking procedure.

Pub. L. 101-552, Sec. 4(c), Nov. 15, 1990, 104 Stat. 2745, added

heading of subchapter IV and items 581 to 593 (renumbered 571 to

583) relating to alternative means of dispute resolution.

1986 - Pub. L. 99-470, Sec. 2(b), Oct. 14, 1986, 100 Stat. 1198,

substituted ''Authorization of appropriations'' for

''Appropriations'' in item 576.

1985 - Pub. L. 99-80, Sec. 6, Aug. 5, 1985, 99 Stat. 186, revived

item 504 and repealed Pub. L. 96-481, title II, Sec. 203(c), Oct.

21, 1980, 94 Stat. 2327, which provided for the repeal, effective

Oct. 1, 1984, of item 504.

1980 - Pub. L. 96-481, title II, Sec. 203(a)(2), (c), Oct. 21,

1980, 94 Stat. 2327, added item 504 ''Costs and fees of parties'',

and repealed that item effective Oct. 1, 1984.

1976 - Pub. L. 94-409, Sec. 3(b), Sept. 13, 1976, 90 Stat. 1246,

added item 552b.

1974 - Pub. L. 93-579, Sec. 4, Dec. 31, 1974, 88 Stat. 1905,

added item 552a.

1967 - Pub. L. 90-83, Sec. 1(1)(B), Sept. 11, 1967, 81 Stat. 195,

added item 500.

Pub. L. 90-23, Sec. 2, June 5, 1967, 81 Stat. 56, substituted

''Public information; agency rules, opinions, orders, records and

proceedings'' for ''Publication of information, rules, opinions,

orders, and public records'' in item 552.

-SECREF-

CHAPTER REFERRED TO IN OTHER SECTIONS

This chapter is referred to in title 2 section 437d; title 6

section 112; title 12 sections 1467a, 1730a, 1786, 1818, 2266,

4582, 4633; title 15 sections 77s, 637, 648, 656, 687e, 1541,

1691b, 1715, 2703, 3803; title 16 section 460aa-3; title 20

sections 1068, 7711; title 21 section 342; title 25 sections 450j,

450l, 458aaa-5, 954; title 29 sections 1861, 2939; title 30 section

811; title 33 section 701n; title 39 sections 204, 410, 3001, 3603;

title 42 sections 300j-6, 9613, 11504; title 43 section 1740; title

44 section 3507; title 45 sections 1116, 1212; title 46 App.

section 1241p; title 49 sections 106, 44936.

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5 USC SUBCHAPTER I - GENERAL PROVISIONS 01/06/03

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TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

.

-HEAD-

SUBCHAPTER I - GENERAL PROVISIONS

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5 USC Sec. 500 01/06/03

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TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-

Sec. 500. Administrative practice; general provisions

-STATUTE-

(a) For the purpose of this section -

(1) ''agency'' has the meaning given it by section 551 of this

title; and

(2) ''State'' means a State, a territory or possession of the

United States including a Commonwealth, or the District of

Columbia.

(b) An individual who is a member in good standing of the bar of

the highest court of a State may represent a person before an

agency on filing with the agency a written declaration that he is

currently qualified as provided by this subsection and is

authorized to represent the particular person in whose behalf he

acts.

(c) An individual who is duly qualified to practice as a

certified public accountant in a State may represent a person

before the Internal Revenue Service of the Treasury Department on

filing with that agency a written declaration that he is currently

qualified as provided by this subsection and is authorized to

represent the particular person in whose behalf he acts.

(d) This section does not -

(1) grant or deny to an individual who is not qualified as

provided by subsection (b) or (c) of this section the right to

appear for or represent a person before an agency or in an agency

proceeding;

(2) authorize or limit the discipline, including disbarment, of

individuals who appear in a representative capacity before an

agency;

(3) authorize an individual who is a former employee of an

agency to represent a person before an agency when the

representation is prohibited by statute or regulation; or

(4) prevent an agency from requiring a power of attorney as a

condition to the settlement of a controversy involving the

payment of money.

(e) Subsections (b)-(d) of this section do not apply to practice

before the United States Patent and Trademark Office with respect

to patent matters that continue to be covered by chapter 3

(sections 31-33) of title 35.

(f) When a participant in a matter before an agency is

represented by an individual qualified under subsection (b) or (c)

of this section, a notice or other written communication required

or permitted to be given the participant in the matter shall be

given to the representative in addition to any other service

specifically required by statute. When a participant is

represented by more than one such qualified representative, service

on any one of the representatives is sufficient.

-SOURCE-

(Added Pub. L. 90-83, Sec. 1(1)(A), Sept. 11, 1967, 81 Stat. 195;

amended Pub. L. 106-113, div. B, Sec. 1000(a)(9) (title IV, Sec.

4732(b)(2)), Nov. 29, 1999, 113 Stat. 1536, 1501A-583.)

-MISC1-

Historical and Revision Notes

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Section of title 5 Source (U.S. Code) Source (Revised

Statutes at Large)

---------------------------------------------------------------------

500(a) 5 App.: 1014. Nov. 8, 1965, Pub.

L. 89-332, Sec. 3,

79 Stat. 1281.

500(b)-(e) 5 App.: 1012. Nov. 8, 1965, Pub.

L. 89-332, Sec. 1,

79 Stat. 1281.

500(f) 5 App.: 1013. Nov. 8, 1965, Pub.

L. 89-332, Sec. 2,

79 Stat. 1281.

-------------------------------

The definition of ''State'' in subsection (a)(2) is supplied for

convenience and is based on the words ''State, possession,

territory, Commonwealth, or District of Columbia'' in subsections

(a) and (b) of 5 App. U.S.C. 1012.

In subsection (d), the words ''This section does not'' are

substituted for ''nothing herein shall be construed''.

In subsection (d)(3), the word ''employee'' is substituted for

''officer or employee'' to conform to the definition of

''employee'' in 5 U.S.C. 2105.

AMENDMENTS

1999 - Subsec. (e). Pub. L. 106-113 substituted ''United States

Patent and Trademark Office'' for ''Patent Office''.

EFFECTIVE DATE OF 1999 AMENDMENT

Amendment by Pub. L. 106-113 effective 4 months after Nov. 29,

1999, see section 1000(a)(9) (title IV, Sec. 4731) of Pub. L.

106-113, set out as a note under section 1 of Title 35, Patents.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 31 section 330; title 38

section 5901; title 49 section 703.

-CITE-

5 USC Sec. 501 01/06/03

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TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-

Sec. 501. Advertising practice; restrictions

-STATUTE-

An individual, firm, or corporation practicing before an agency

of the United States may not use the name of a Member of either

House of Congress or of an individual in the service of the United

States in advertising the business.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381.)

-MISC1-

Historical and Revision Notes

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Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 101. Apr. 27, 1916, ch.

89, Sec. 1, 39

Stat. 54.

-------------------------------

The words ''may not'' are substituted for ''It shall be unlawful

for''. The words ''agency of the United States'' are substituted

for ''any department or office of the Government''. The words ''an

individual in the service of the United States'' are substituted

for ''officer of the Government'' in view of the definitions in

sections 2104 and 2105.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

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5 USC Sec. 502 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-

Sec. 502. Administrative practice; Reserves and National Guardsmen

-STATUTE-

Membership in a reserve component of the armed forces or in the

National Guard does not prevent an individual from practicing his

civilian profession or occupation before, or in connection with, an

agency of the United States.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 30r(c) (2d Aug. 10, 1956, ch.

sentence). 1041, Sec. 29(c)

(2d sentence), 70A

Stat. 632.

-------------------------------

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

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5 USC Sec. 503 01/06/03

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TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-

Sec. 503. Witness fees and allowances

-STATUTE-

(a) For the purpose of this section, ''agency'' has the meaning

given it by section 5721 of this title.

(b) A witness is entitled to the fees and allowances allowed by

statute for witnesses in the courts of the United States when -

(1) he is subpenaed under section 304(a) of this title; or

(2) he is subpenaed to and appears at a hearing before an

agency authorized by law to hold hearings and subpena witnesses

to attend the hearings.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381.)

-MISC1-

Historical and Revision Notes

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Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 95. R.S. Sec. 185.

5 U.S.C. 95a. Aug. 2, 1946, ch.

744, Sec. 10, 60

Stat. 809.

-------------------------------

Former sections 95 and 95a are combined and restated for clarity

and brevity. The words ''or expenses in the case of Government

officers and employees'' are omitted as covered by section 1823 of

title 28. The word ''agency'' is substituted for ''department'' and

defined to conform to the definition of ''department'' in section

18 of the Act of Aug. 2, 1946, ch. 744, 60 Stat. 811.

This section was part of title IV of the Revised Statutes. The

Act of July 26, 1947, ch. 343, Sec. 201(d), as added Aug. 10, 1949,

ch. 412, Sec. 4, 63 Stat. 579 (former 5 U.S.C. 171-1), which

provides ''Except to the extent inconsistent with the provisions of

this Act (National Security Act of 1947), the provisions of title

IV of the Revised Statutes as now or hereafter amended shall be

applicable to the Department of Defense'' is omitted from this

title but is not repealed.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

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5 USC Sec. 504 01/06/03

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TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER I - GENERAL PROVISIONS

-HEAD-

Sec. 504. Costs and fees of parties

-STATUTE-

(a)(1) An agency that conducts an adversary adjudication shall

award, to a prevailing party other than the United States, fees and

other expenses incurred by that party in connection with that

proceeding, unless the adjudicative officer of the agency finds

that the position of the agency was substantially justified or that

special circumstances make an award unjust. Whether or not the

position of the agency was substantially justified shall be

determined on the basis of the administrative record, as a whole,

which is made in the adversary adjudication for which fees and

other expenses are sought.

(2) A party seeking an award of fees and other expenses shall,

within thirty days of a final disposition in the adversary

adjudication, submit to the agency an application which shows that

the party is a prevailing party and is eligible to receive an award

under this section, and the amount sought, including an itemized

statement from any attorney, agent, or expert witness representing

or appearing in behalf of the party stating the actual time

expended and the rate at which fees and other expenses were

computed. The party shall also allege that the position of the

agency was not substantially justified. When the United States

appeals the underlying merits of an adversary adjudication, no

decision on an application for fees and other expenses in

connection with that adversary adjudication shall be made under

this section until a final and unreviewable decision is rendered by

the court on the appeal or until the underlying merits of the case

have been finally determined pursuant to the appeal.

(3) The adjudicative officer of the agency may reduce the amount

to be awarded, or deny an award, to the extent that the party

during the course of the proceedings engaged in conduct which

unduly and unreasonably protracted the final resolution of the

matter in controversy. The decision of the adjudicative officer of

the agency under this section shall be made a part of the record

containing the final decision of the agency and shall include

written findings and conclusions and the reason or basis therefor.

The decision of the agency on the application for fees and other

expenses shall be the final administrative decision under this

section.

(4) If, in an adversary adjudication arising from an agency

action to enforce a party's compliance with a statutory or

regulatory requirement, the demand by the agency is substantially

in excess of the decision of the adjudicative officer and is

unreasonable when compared with such decision, under the facts and

circumstances of the case, the adjudicative officer shall award to

the party the fees and other expenses related to defending against

the excessive demand, unless the party has committed a willful

violation of law or otherwise acted in bad faith, or special

circumstances make an award unjust. Fees and expenses awarded

under this paragraph shall be paid only as a consequence of

appropriations provided in advance.

(b)(1) For the purposes of this section -

(A) ''fees and other expenses'' includes the reasonable

expenses of expert witnesses, the reasonable cost of any study,

analysis, engineering report, test, or project which is found by

the agency to be necessary for the preparation of the party's

case, and reasonable attorney or agent fees (The amount of fees

awarded under this section shall be based upon prevailing market

rates for the kind and quality of the services furnished, except

that (i) no expert witness shall be compensated at a rate in

excess of the highest rate of compensation for expert witnesses

paid by the agency involved, and (ii) attorney or agent fees

shall not be awarded in excess of $125 per hour unless the agency

determines by regulation that an increase in the cost of living

or a special factor, such as the limited availability of

qualified attorneys or agents for the proceedings involved,

justifies a higher fee.);

(B) ''party'' means a party, as defined in section 551(3) of

this title, who is (i) an individual whose net worth did not

exceed $2,000,000 at the time the adversary adjudication was

initiated, or (ii) any owner of an unincorporated business, or

any partnership, corporation, association, unit of local

government, or organization, the net worth of which did not

exceed $7,000,000 at the time the adversary adjudication was

initiated, and which had not more than 500 employees at the time

the adversary adjudication was initiated; except that an

organization described in section 501(c)(3) of the Internal

Revenue Code of 1986 (26 U.S.C. 501(c)(3)) exempt from taxation

under section 501(a) of such Code, or a cooperative association

as defined in section 15(a) of the Agricultural Marketing Act (12

U.S.C. 1141j(a)), may be a party regardless of the net worth of

such organization or cooperative association or for purposes of

subsection (a)(4), a small entity as defined in section 601;

(C) ''adversary adjudication'' means (i) an adjudication under

section 554 of this title in which the position of the United

States is represented by counsel or otherwise, but excludes an

adjudication for the purpose of establishing or fixing a rate or

for the purpose of granting or renewing a license, (ii) any

appeal of a decision made pursuant to section 6 of the Contract

Disputes Act of 1978 (41 U.S.C. 605) before an agency board of

contract appeals as provided in section 8 of that Act (41 U.S.C.

607), (iii) any hearing conducted under chapter 38 of title 31,

and (iv) the Religious Freedom Restoration Act of 1993;

(D) ''adjudicative officer'' means the deciding official,

without regard to whether the official is designated as an

administrative law judge, a hearing officer or examiner, or

otherwise, who presided at the adversary adjudication;

(E) ''position of the agency'' means, in addition to the

position taken by the agency in the adversary adjudication, the

action or failure to act by the agency upon which the adversary

adjudication is based; except that fees and other expenses may

not be awarded to a party for any portion of the adversary

adjudication in which the party has unreasonably protracted the

proceedings; and

(F) ''demand'' means the express demand of the agency which led

to the adversary adjudication, but does not include a recitation

by the agency of the maximum statutory penalty (i) in the

administrative complaint, or (ii) elsewhere when accompanied by

an express demand for a lesser amount.

(2) Except as otherwise provided in paragraph (1), the

definitions provided in section 551 of this title apply to this

section.

(c)(1) After consultation with the Chairman of the Administrative

Conference of the United States, each agency shall by rule

establish uniform procedures for the submission and consideration

of applications for an award of fees and other expenses. If a

court reviews the underlying decision of the adversary

adjudication, an award for fees and other expenses may be made only

pursuant to section 2412(d)(3) of title 28, United States Code.

(2) If a party other than the United States is dissatisfied with

a determination of fees and other expenses made under subsection

(a), that party may, within 30 days after the determination is

made, appeal the determination to the court of the United States

having jurisdiction to review the merits of the underlying decision

of the agency adversary adjudication. The court's determination on

any appeal heard under this paragraph shall be based solely on the

factual record made before the agency. The court may modify the

determination of fees and other expenses only if the court finds

that the failure to make an award of fees and other expenses, or

the calculation of the amount of the award, was unsupported by

substantial evidence.

(d) Fees and other expenses awarded under this subsection shall

be paid by any agency over which the party prevails from any funds

made available to the agency by appropriation or otherwise.

(e) The Chairman of the Administrative Conference of the United

States, after consultation with the Chief Counsel for Advocacy of

the Small Business Administration, shall report annually to the

Congress on the amount of fees and other expenses awarded during

the preceding fiscal year pursuant to this section. The report

shall describe the number, nature, and amount of the awards, the

claims involved in the controversy, and any other relevant

information which may aid the Congress in evaluating the scope and

impact of such awards. Each agency shall provide the Chairman with

such information as is necessary for the Chairman to comply with

the requirements of this subsection.

(f) No award may be made under this section for costs, fees, or

other expenses which may be awarded under section 7430 of the

Internal Revenue Code of 1986.

-SOURCE-

(Added Pub. L. 96-481, title II, Sec. 203(a)(1), (c), Oct. 21,

1980, 94 Stat. 2325, 2327; revived and amended Pub. L. 99-80, Sec.

1, 6, Aug. 5, 1985, 99 Stat. 183, 186; Pub. L. 99-509, title VI,

Sec. 6103(c), Oct. 21, 1986, 100 Stat. 1948; Pub. L. 99-514, Sec.

2, Oct. 22, 1986, 100 Stat. 2095; Pub. L. 100-647, title VI, Sec.

6239(b), Nov. 10, 1988, 102 Stat. 3746; Pub. L. 103-141, Sec. 4(b),

Nov. 16, 1993, 107 Stat. 1489; Pub. L. 104-121, title II, Sec. 231,

Mar. 29, 1996, 110 Stat. 862.)

-REFTEXT-

REFERENCES IN TEXT

The Religious Freedom Restoration Act of 1993, referred to in

subsec. (b)(1)(C)(iv), is Pub. L. 103-141, Nov. 16, 1993, 107 Stat.

1488, which is classified principally to chapter 21B (Sec. 2000bb

et seq.) of Title 42, The Public Health and Welfare. For complete

classification of this Act to the Code, see Short Title note set

out under section 2000bb of Title 42 and Tables.

Section 7430 of the Internal Revenue Code of 1986, referred to in

subsec. (f), is classified to section 7430 of Title 26, Internal

Revenue Code.

-MISC2-

AMENDMENTS

1996 - Subsec. (a)(4). Pub. L. 104-121, Sec. 231(a), added par.

(4).

Subsec. (b)(1)(A)(ii). Pub. L. 104-121, Sec. 231(b)(1),

substituted ''$125'' for ''$75''.

Subsec. (b)(1)(B). Pub. L. 104-121, Sec. 231(b)(2), inserted

before semicolon at end ''or for purposes of subsection (a)(4), a

small entity as defined in section 601''.

Subsec. (b)(1)(F). Pub. L. 104-121, Sec. 231(b)(3)-(5), added

subpar. (F).

1993 - Subsec. (b)(1)(C). Pub. L. 103-141 added cl. (iv).

1988 - Subsec. (f). Pub. L. 100-647 added subsec. (f).

1986 - Subsec. (b)(1)(B). Pub. L. 99-514 substituted ''Internal

Revenue Code of 1986'' for ''Internal Revenue Code of 1954''.

Subsec. (b)(1)(C)(iii). Pub. L. 99-509 added cl. (iii).

1985 - Subsec. (a)(1). Pub. L. 99-80, Sec. 1(a)(1), (2), struck

out ''as a party to the proceeding'' after ''the position of the

agency'', and inserted ''Whether or not the position of the agency

was substantially justified shall be determined on the basis of the

administrative record, as a whole, which is made in the adversary

adjudication for which fees and other expenses are sought.''

Subsec. (a)(2). Pub. L. 99-80, Sec. 1(b), inserted ''When the

United States appeals the underlying merits of an adversary

adjudication, no decision on an application for fees and other

expenses in connection with that adversary adjudication shall be

made under this section until a final and unreviewable decision is

rendered by the court on the appeal or until the underlying merits

of the case have been finally determined pursuant to the appeal.''

Subsec. (a)(3). Pub. L. 99-80, Sec. 1(a)(3), inserted ''The

decision of the agency on the application for fees and other

expenses shall be the final administrative decision under this

section.''

Subsec. (b)(1)(B). Pub. L. 99-80, Sec. 1(c)(1), amended subpar.

(B) generally. Prior to amendment, subpar. (B) read as follows: ''

'party' means a party, as defined in section 551(3) of this title,

which is an individual, partnership, corporation, association, or

public or private organization other than an agency, but excludes

(i) any individual whose net worth exceeded $1,000,000 at the time

the adversary adjudication was initiated, and any sole owner of an

unincorporated business, or any partnership, corporation,

association, or organization whose net worth exceeded $5,000,000 at

the time the adversary adjudication was initiated, except that an

organization described in section 501(c)(3) of the Internal Revenue

Code of 1954 (26 U.S.C. 501(c)(3)) exempt from taxation under

section 501(a) of the Code and a cooperative association as defined

in section 15(a) of the Agricultural Marketing Act (12 U.S.C.

1141j(a)), may be a party regardless of the net worth of such

organization or cooperative association, and (ii) any sole owner of

an unincorporated business, or any partnership, corporation,

association, or organization, having more than 500 employees at the

time the adversary adjudication was initiated;''.

Subsec. (b)(1)(C). Pub. L. 99-80, Sec. 1(c)(2), designated

existing provisions of subpar. (C) as cl. (i) thereof by inserting

''(i)'' before ''an adjudication under'', added cl. (ii), and

struck out ''and'' after the semicolon at the end.

Subsec. (b)(1)(D), (E). Pub. L. 99-80, Sec. 1(c)(3), substituted

''; and'' for the period at end of subpar. (D), and added subpar.

(E).

Subsec. (c)(2). Pub. L. 99-80, Sec. 1(d), amended par. (2)

generally. Prior to amendment, par. (2) read as follows: ''A party

dissatisfied with the fee determination made under subsection (a)

may petition for leave to appeal to the court of the United States

having jurisdiction to review the merits of the underlying decision

of the agency adversary adjudication. If the court denies the

petition for leave to appeal, no appeal may be taken from the

denial. If the court grants the petition, it may modify the

determination only if it finds that the failure to make an award,

or the calculation of the amount of the award, was an abuse of

discretion.''

Subsec. (d). Pub. L. 99-80, Sec. 1(e), amended subsec. (d)

generally. Prior to amendment, subsec. (d) read as follows:

''(1) Fees and other expenses awarded under this section may be

paid by any agency over which the party prevails from any funds

made available to the agency, by appropriation or otherwise, for

such purpose. If not paid by any agency, the fees and other

expenses shall be paid in the same manner as the payment of final

judgments is made pursuant to section 2414 of title 28, United

States Code.

''(2) There is authorized to be appropriated to each agency for

each of the fiscal years 1982, 1983, and 1984, such sums as may be

necessary to pay fees and other expenses awarded under this section

in such fiscal years.''

1980 - Pub. L. 96-481, Sec. 203(c), which provided for the repeal

of this section effective Oct. 1, 1984, was itself repealed and

this section was revived by section 6 of Pub. L. 99-80, set out as

a note below.

EFFECTIVE DATE OF 1996 AMENDMENT

Section 233 of Pub. L. 104-121 provided that: ''The amendments

made by sections 331 and 332 (probably means sections 231 and 232,

amending this section and section 2412 of Title 28, Judiciary and

Judicial Procedure) shall apply to civil actions and adversary

adjudications commenced on or after the date of the enactment of

this subtitle (Mar. 29, 1996).''

EFFECTIVE DATE OF 1988 AMENDMENT

Amendment by Pub. L. 100-647 applicable to proceedings commencing

after Nov. 10, 1988, see section 6239(d) of Pub. L. 100-647, set

out as a note under section 7430 of Title 26, Internal Revenue

Code.

EFFECTIVE DATE OF 1986 AMENDMENT

Amendment by Pub. L. 99-509 effective Oct. 21, 1986, and

applicable to any claim or statement made, presented or submitted

on or after such date, see section 6104 of Pub. L. 99-509, set out

as an Effective Date note under section 3801 of Title 31, Money and

Finance.

EFFECTIVE DATE OF 1985 AMENDMENT

Section 7 of Pub. L. 99-80 provided that:

''(a) In General. - Except as otherwise provided in this section,

the amendments made by this Act (reviving and amending this section

and section 2412(d) of Title 28, Judiciary and Judicial Procedure,

and amending and repealing provisions set out as notes under those

sections) shall apply to cases pending on or commenced on or after

the date of the enactment of this Act (Aug. 5, 1985).

''(b) Applicability of Amendments to Certain Prior Cases. - The

amendments made by this Act shall apply to any case commenced on or

after October 1, 1984, and finally disposed of before the date of

the enactment of this Act (Aug. 5, 1985), except that in any such

case, the 30-day period referred to in section 504(a)(2) of title

5, United States Code, or section 2412(d)(1)(B) of title 28, United

States Code, as the case may be, shall be deemed to commence on the

date of the enactment of this Act.

''(c) Applicability of Amendments to Prior Board of Contracts

Appeals Cases. - Section 504(b)(1)(C)(ii) of title 5, United States

Code, as added by section 1(c)(2) of this Act, and section

2412(d)(2)(E) of title 28, United States Code, as added by section

2(c)(2) of this Act, shall apply to any adversary adjudication

pending on or commenced on or after October 1, 1981, in which

applications for fees and other expenses were timely filed and were

dismissed for lack of jurisdiction.''

EFFECTIVE DATE

Section 208 of title II of Pub. L. 96-481, as amended by Pub. L.

99-80, Sec. 5, Aug. 5, 1985, 99 Stat. 186, provided that: ''This

title and the amendments made by this title (see Short Title note

below) shall take effect of (on) October 1, 1981, and shall apply

to any adversary adjudication, as defined in section 504(b)(1)(C)

of title 5, United States Code, and any civil action or adversary

adjudication described in section 2412 of title 28, United States

Code, which is pending on, or commenced on or after, such date.

Awards may be made for fees and other expenses incurred before

October 1, 1981, in any such adversary adjudication or civil

action.''

Section 203(c) of Pub. L. 96-481 which provided that effective

Oct. 1, 1984, this section is repealed, except that the provisions

of this section shall continue to apply through final disposition

of any adversary adjudication initiated before the date of repeal,

was itself repealed by Pub. L. 99-80, Sec. 6(b)(1), Aug. 5, 1985,

99 Stat. 186.

SHORT TITLE

Section 201 of title II of Pub. L. 96-481 provided that: ''This

title (enacting this section, amending section 634 of Title 15,

Commerce and Trade, section 2412 of Title 28, Judiciary and

Judicial Procedure, Rule 37 of the Federal Rules of Civil

Procedure, set out in Title 28 Appendix, and section 1988 of Title

42, The Public Health and Welfare, and enacting provisions set out

as notes under this section and section 2412 of Title 28) may be

cited as the 'Equal Access to Justice Act'.''

TERMINATION OF REPORTING REQUIREMENTS

For termination, effective May 15, 2000, of provisions in subsec.

(e) of this section relating to annual report to Congress on the

amount of fees and other expenses, see section 3003 of Pub. L.

104-66, as amended, set out as a note under section 1113 of Title

31, Money and Finance, and page 153 of House Document No. 103-7.

-TRANS-

TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

For termination of Administrative Conference of United States,

see provision of title IV of Pub. L. 104-52, set out as a note

preceding section 591 of this title.

-MISC5-

PROHIBITION ON USE OF ENERGY AND WATER DEVELOPMENT APPROPRIATIONS

TO PAY INTERVENING PARTIES IN REGULATORY OR ADJUDICATORY

PROCEEDINGS

Pub. L. 102-377, title V, Sec. 502, Oct. 2, 1992, 106 Stat. 1342,

provided that: ''None of the funds in this Act or subsequent Energy

and Water Development Appropriations Acts shall be used to pay the

expenses of, or otherwise compensate, parties intervening in

regulatory or adjudicatory proceedings funded in such Acts.''

REVIVAL OF PREVIOUSLY REPEALED PROVISIONS

Section 6 of Pub. L. 99-80 provided that:

''(a) Revival of Certain Expired Provisions. - Section 504 of

title 5, United States Code, and the item relating to that section

in the table of sections of chapter 5 of title 5, United States

Code, and subsection (d) of section 2412 of title 28, United States

Code, shall be effective on or after the date of the enactment of

this Act (Aug. 5, 1985) as if they had not been repealed by

sections 203(c) and 204(c) of the Equal Access to Justice Act (Pub.

L. 96-481).

''(b) Repeals. -

''(1) Section 203(c) of the Equal Access to Justice Act (which

repealed this section) is hereby repealed.

''(2) Section 204(c) of the Equal Access to Justice Act (which

repealed section 2412(d) of title 28) is hereby repealed.''

CONGRESSIONAL FINDINGS AND PURPOSES

Section 202 of title II of Pub. L. 96-481 provided that:

''(a) The Congress finds that certain individuals, partnerships,

corporations, and labor and other organizations may be deterred

from seeking review of, or defending against, unreasonable

governmental action because of the expense involved in securing the

vindication of their rights in civil actions and in administrative

proceedings.

''(b) The Congress further finds that because of the greater

resources and expertise of the United States the standard for an

award of fees against the United States should be different from

the standard governing an award against a private litigant, in

certain situations.

''(c) It is the purpose of this title (see Short Title note

above) -

''(1) to diminish the deterrent effect of seeking review of, or

defending against, governmental action by providing in specified

situations an award of attorney fees, expert witness fees, and

other costs against the United States; and

''(2) to insure the applicability in actions by or against the

United States of the common law and statutory exceptions to the

'American rule' respecting the award of attorney fees.''

LIMITATION ON PAYMENTS

Section 207 of title II of Pub. L. 96-481, which provided that

the payment of judgments, fees and other expenses in the same

manner as the payment of final judgments as provided in this Act

(probably should be ''this title'', see Short Title note above)

would be effective only to the extent and in such amounts as are

provided in advance in appropriation Acts, was repealed by Pub. L.

99-80, Sec. 4, Aug. 5, 1985, 99 Stat. 186.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 15 section 634b; title 18

section 293; title 20 section 1234; title 25 section 450m-1; title

28 section 2412; title 42 section 3612.

-CITE-

5 USC SUBCHAPTER II - ADMINISTRATIVE PROCEDURE 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

.

-HEAD-

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-MISC1-

SHORT TITLE

The provisions of this subchapter and chapter 7 of this title

were originally enacted by act June 11, 1946, ch. 324, 60 Stat.

237, popularly known as the ''Administrative Procedure Act''. That

Act was repealed as part of the general revision of this title by

Pub. L. 89-554 and its provisions incorporated into this subchapter

and chapter 7 hereof.

-SECREF-

SUBCHAPTER REFERRED TO IN OTHER SECTIONS

This subchapter is referred to in sections 571, 592, 7118, 7134,

8902, 8902a of this title; title 2 sections 501, 502; title 7

sections 136d, 1642, 6911; title 8 section 1753; title 12 sections

635a-2, 1437, 1441a, 1959, 2278a-10, 3349, 4525, 4545; title 15

sections 78dd-1, 78dd-2, 78ggg, 266, 1715, 3412, 3710a, 5103, 5308;

title 16 sections 460aa-3, 470q, 470hh; title 17 sections 701, 802;

title 19 sections 1337, 1677c; title 20 section 107d-2; title 21

sections 360kk, 811, 824, 875, 958, 971; title 22 sections 277d-24,

1623, 1645n, 4116; title 23 sections 134, 135; title 25 section

954; title 28 sections 509, 2467; title 29 sections 156, 164, 213,

481, 628, 792, 1137; title 30 sections 184, 956; title 31 sections

321, 3801, 3803; title 33 sections 524, 597, 2313; title 39 section

3008; title 41 section 43a; title 42 sections 1436c, 2000e-12,

2231, 2236, 2454, 3789d, 6212, 6241, 6393, 7191, 7276, 7383h-1,

7420, 7607, 11346, 12116, 12206; title 43 section 1624; title 45

sections 1116, 1212; title 46 sections 7702, 9303; title 47

sections 303, 305, 310, 409, 1103; title 49 sections 721, 5303,

11123, 11324, 13905, 20143, 40103, 46102, 46105; title 50 sections

167h, 835; title 50 App. sections 463, 2159.

-CITE-

5 USC Sec. 551 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 551. Definitions

-STATUTE-

For the purpose of this subchapter -

(1) ''agency'' means each authority of the Government of the

United States, whether or not it is within or subject to review

by another agency, but does not include -

(A) the Congress;

(B) the courts of the United States;

(C) the governments of the territories or possessions of the

United States;

(D) the government of the District of Columbia;

or except as to the requirements of section 552 of this title -

(E) agencies composed of representatives of the parties or of

representatives of organizations of the parties to the disputes

determined by them;

(F) courts martial and military commissions;

(G) military authority exercised in the field in time of war

or in occupied territory; or

(H) functions conferred by sections 1738, 1739, 1743, and

1744 of title 12; chapter 2 of title 41; subchapter II of

chapter 471 of title 49; or sections 1884, 1891-1902, and

former section 1641(b)(2), of title 50, appendix;

(2) ''person'' includes an individual, partnership,

corporation, association, or public or private organization other

than an agency;

(3) ''party'' includes a person or agency named or admitted as

a party, or properly seeking and entitled as of right to be

admitted as a party, in an agency proceeding, and a person or

agency admitted by an agency as a party for limited purposes;

(4) ''rule'' means the whole or a part of an agency statement

of general or particular applicability and future effect designed

to implement, interpret, or prescribe law or policy or describing

the organization, procedure, or practice requirements of an

agency and includes the approval or prescription for the future

of rates, wages, corporate or financial structures or

reorganizations thereof, prices, facilities, appliances, services

or allowances therefor or of valuations, costs, or accounting, or

practices bearing on any of the foregoing;

(5) ''rule making'' means agency process for formulating,

amending, or repealing a rule;

(6) ''order'' means the whole or a part of a final disposition,

whether affirmative, negative, injunctive, or declaratory in

form, of an agency in a matter other than rule making but

including licensing;

(7) ''adjudication'' means agency process for the formulation

of an order;

(8) ''license'' includes the whole or a part of an agency

permit, certificate, approval, registration, charter, membership,

statutory exemption or other form of permission;

(9) ''licensing'' includes agency process respecting the grant,

renewal, denial, revocation, suspension, annulment, withdrawal,

limitation, amendment, modification, or conditioning of a

license;

(10) ''sanction'' includes the whole or a part of an agency -

(A) prohibition, requirement, limitation, or other condition

affecting the freedom of a person;

(B) withholding of relief;

(C) imposition of penalty or fine;

(D) destruction, taking, seizure, or withholding of property;

(E) assessment of damages, reimbursement, restitution,

compensation, costs, charges, or fees;

(F) requirement, revocation, or suspension of a license; or

(G) taking other compulsory or restrictive action;

(11) ''relief'' includes the whole or a part of an agency -

(A) grant of money, assistance, license, authority,

exemption, exception, privilege, or remedy;

(B) recognition of a claim, right, immunity, privilege,

exemption, or exception; or

(C) taking of other action on the application or petition of,

and beneficial to, a person;

(12) ''agency proceeding'' means an agency process as defined

by paragraphs (5), (7), and (9) of this section;

(13) ''agency action'' includes the whole or a part of an

agency rule, order, license, sanction, relief, or the equivalent

or denial thereof, or failure to act; and

(14) ''ex parte communication'' means an oral or written

communication not on the public record with respect to which

reasonable prior notice to all parties is not given, but it shall

not include requests for status reports on any matter or

proceeding covered by this subchapter.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381; Pub. L. 94-409, Sec.

4(b), Sept. 13, 1976, 90 Stat. 1247; Pub. L. 103-272, Sec. 5(a),

July 5, 1994, 108 Stat. 1373.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

(1) 5 U.S.C. 1001(a). June 11, 1946, ch.

324, Sec. 2(a), 60

Stat. 237.

Aug. 8, 1946, ch.

870, Sec. 302, 60

Stat. 918.

Aug. 10, 1946, ch.

951, Sec. 601, 60

Stat. 993.

Mar. 31, 1947, ch.

30, Sec. 6(a), 61

Stat. 37.

June 30, 1947, ch.

163, Sec. 210, 61

Stat. 201.

Mar. 30, 1948, ch.

161, Sec. 301, 62

Stat. 99.

(2)-(13) 5 U.S.C. 1001 (less June 11, 1946, ch.

(a)). 324, Sec. 2 (less

(a)), 60 Stat. 237.

-------------------------------

In paragraph (1), the sentence ''Nothing in this Act shall be

construed to repeal delegations of authority as provided by law,''

is omitted as surplusage since there is nothing in the Act which

could reasonably be so construed.

In paragraph (1)(G), the words ''or naval'' are omitted as

included in ''military''.

In paragraph (1)(H), the words ''functions which by law expire on

the termination of present hostilities, within any fixed period

thereafter, or before July 1, 1947'' are omitted as executed.

Reference to the ''Selective Training and Service Act of 1940'' is

omitted as that Act expired Mar. 31, 1947. Reference to the ''Sugar

Control Extension Act of 1947'' is omitted as that Act expired on

Mar. 31, 1948. References to the ''Housing and Rent Act of 1947, as

amended'' and the ''Veterans' Emergency Housing Act of 1946'' have

been consolidated as they are related. The reference to former

section 1641(b)(2) of title 50, appendix, is retained

notwithstanding its repeal by Sec. 111(a)(1) of the Act of Sept.

21, 1961, Pub. L. 87-256, 75 Stat. 538, since Sec. 111(c) of the

Act provides that a reference in other Acts to a provision of law

repealed by Sec. 111(a) shall be considered to be a reference to

the appropriate provisions of Pub. L. 87-256.

In paragraph (2), the words ''of any character'' are omitted as

surplusage.

In paragraph (3), the words ''and a person or agency admitted by

an agency as a party for limited purposes'' are substituted for

''but nothing herein shall be construed to prevent an agency from

admitting any person or agency as a party for limited purposes''.

In paragraph (9), a comma is supplied between the words

''limitation'' and ''amendment'' to correct an editorial error of

omission.

In paragraph (10)(C), the words ''of any form'' are omitted as

surplusage.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 551 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2242

of Title 7, Agriculture.

-MISC3-

AMENDMENTS

1994 - Par. (1)(H). Pub. L. 103-272 substituted ''subchapter II

of chapter 471 of title 49; or sections'' for ''or sections

1622,''.

1976 - Par. (14). Pub. L. 94-409 added par. (14).

EFFECTIVE DATE OF 1976 AMENDMENT

Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,

1976, see section 6 of Pub. L. 94-409, set out as an Effective Date

note under section 552b of this title.

STUDY AND REPORTS ON ADMINISTRATIVE SUBPOENAS

Pub. L. 106-544, Sec. 7, Dec. 19, 2000, 114 Stat. 2719, provided

that:

''(a) Study on Use of Administrative Subpoenas. - Not later than

December 31, 2001, the Attorney General, in consultation with the

Secretary of the Treasury, shall complete a study on the use of

administrative subpoena power by executive branch agencies or

entities and shall report the findings to the Committees on the

Judiciary of the Senate and the House of Representatives. Such

report shall include -

''(1) a description of the sources of administrative subpoena

power and the scope of such subpoena power within executive

branch agencies;

''(2) a description of applicable subpoena enforcement

mechanisms;

''(3) a description of any notification provisions and any

other provisions relating to safeguarding privacy interests;

''(4) a description of the standards governing the issuance of

administrative subpoenas; and

''(5) recommendations from the Attorney General regarding

necessary steps to ensure that administrative subpoena power is

used and enforced consistently and fairly by executive branch

agencies.

''(b) Report on Frequency of Use of Administrative Subpoenas. -

''(1) In general. - The Attorney General and the Secretary of

the Treasury shall report in January of each year to the

Committees on the Judiciary of the Senate and the House of

Representatives on the number of administrative subpoenas issued

by them under this section and the identity of the agency or

component of the Department of Justice or the Department of the

Treasury issuing the subpoena and imposing the charges.

''(2) Expiration. - The reporting requirement of this

subsection shall terminate in 3 years after the date of the

enactment of this section (Dec. 19, 2000).''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 500, 504, 552, 562, 571,

592, 595, 601, 701, 804, 3344, 3348 of this title; title 2 sections

501, 502, 658, 1602; title 6 section 131; title 7 section 6997;

title 15 sections 78d-1, 78w, 632, 637c, 766, 2053, 3412, 3416,

6501; title 16 section 470w; title 22 sections 3731, 6033, 6741;

title 25 section 3402; title 26 sections 6103, 9041; title 30

sections 185, 956; title 31 sections 3901, 6101, 7501; title 41

section 422; title 42 sections 2231, 2992c, 6107, 6241, 6393, 7191,

8259, 8262, 11317, 11504; title 46 sections 7702, 9303; title 47

sections 155, 409; title 49 sections 106, 114, 11324; title 50 App.

sections 2159, 2412.

-CITE-

5 USC Sec. 552 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 552. Public information; agency rules, opinions, orders,

records, and proceedings

-STATUTE-

(a) Each agency shall make available to the public information as

follows:

(1) Each agency shall separately state and currently publish in

the Federal Register for the guidance of the public -

(A) descriptions of its central and field organization and the

established places at which, the employees (and in the case of a

uniformed service, the members) from whom, and the methods

whereby, the public may obtain information, make submittals or

requests, or obtain decisions;

(B) statements of the general course and method by which its

functions are channeled and determined, including the nature and

requirements of all formal and informal procedures available;

(C) rules of procedure, descriptions of forms available or the

places at which forms may be obtained, and instructions as to the

scope and contents of all papers, reports, or examinations;

(D) substantive rules of general applicability adopted as

authorized by law, and statements of general policy or

interpretations of general applicability formulated and adopted

by the agency; and

(E) each amendment, revision, or repeal of the foregoing.

Except to the extent that a person has actual and timely notice of

the terms thereof, a person may not in any manner be required to

resort to, or be adversely affected by, a matter required to be

published in the Federal Register and not so published. For the

purpose of this paragraph, matter reasonably available to the class

of persons affected thereby is deemed published in the Federal

Register when incorporated by reference therein with the approval

of the Director of the Federal Register.

(2) Each agency, in accordance with published rules, shall make

available for public inspection and copying -

(A) final opinions, including concurring and dissenting

opinions, as well as orders, made in the adjudication of cases;

(B) those statements of policy and interpretations which have

been adopted by the agency and are not published in the Federal

Register;

(C) administrative staff manuals and instructions to staff that

affect a member of the public;

(D) copies of all records, regardless of form or format, which

have been released to any person under paragraph (3) and which,

because of the nature of their subject matter, the agency

determines have become or are likely to become the subject of

subsequent requests for substantially the same records; and

(E) a general index of the records referred to under

subparagraph (D);

unless the materials are promptly published and copies offered for

sale. For records created on or after November 1, 1996, within one

year after such date, each agency shall make such records

available, including by computer telecommunications or, if computer

telecommunications means have not been established by the agency,

by other electronic means. To the extent required to prevent a

clearly unwarranted invasion of personal privacy, an agency may

delete identifying details when it makes available or publishes an

opinion, statement of policy, interpretation, staff manual,

instruction, or copies of records referred to in subparagraph (D).

However, in each case the justification for the deletion shall be

explained fully in writing, and the extent of such deletion shall

be indicated on the portion of the record which is made available

or published, unless including that indication would harm an

interest protected by the exemption in subsection (b) under which

the deletion is made. If technically feasible, the extent of the

deletion shall be indicated at the place in the record where the

deletion was made. Each agency shall also maintain and make

available for public inspection and copying current indexes

providing identifying information for the public as to any matter

issued, adopted, or promulgated after July 4, 1967, and required by

this paragraph to be made available or published. Each agency

shall promptly publish, quarterly or more frequently, and

distribute (by sale or otherwise) copies of each index or

supplements thereto unless it determines by order published in the

Federal Register that the publication would be unnecessary and

impracticable, in which case the agency shall nonetheless provide

copies of such index on request at a cost not to exceed the direct

cost of duplication. Each agency shall make the index referred to

in subparagraph (E) available by computer telecommunications by

December 31, 1999. A final order, opinion, statement of policy,

interpretation, or staff manual or instruction that affects a

member of the public may be relied on, used, or cited as precedent

by an agency against a party other than an agency only if -

(i) it has been indexed and either made available or published

as provided by this paragraph; or

(ii) the party has actual and timely notice of the terms

thereof.

(3)(A) Except with respect to the records made available under

paragraphs (1) and (2) of this subsection, and except as provided

in subparagraph (E), each agency, upon any request for records

which (i) reasonably describes such records and (ii) is made in

accordance with published rules stating the time, place, fees (if

any), and procedures to be followed, shall make the records

promptly available to any person.

(B) In making any record available to a person under this

paragraph, an agency shall provide the record in any form or format

requested by the person if the record is readily reproducible by

the agency in that form or format. Each agency shall make

reasonable efforts to maintain its records in forms or formats that

are reproducible for purposes of this section.

(C) In responding under this paragraph to a request for records,

an agency shall make reasonable efforts to search for the records

in electronic form or format, except when such efforts would

significantly interfere with the operation of the agency's

automated information system.

(D) For purposes of this paragraph, the term ''search'' means to

review, manually or by automated means, agency records for the

purpose of locating those records which are responsive to a

request.

(E) An agency, or part of an agency, that is an element of the

intelligence community (as that term is defined in section 3(4) of

the National Security Act of 1947 (50 U.S.C. 401a(4))) shall not

make any record available under this paragraph to -

(i) any government entity, other than a State, territory,

commonwealth, or district of the United States, or any

subdivision thereof; or

(ii) a representative of a government entity described in

clause (i).

(4)(A)(i) In order to carry out the provisions of this section,

each agency shall promulgate regulations, pursuant to notice and

receipt of public comment, specifying the schedule of fees

applicable to the processing of requests under this section and

establishing procedures and guidelines for determining when such

fees should be waived or reduced. Such schedule shall conform to

the guidelines which shall be promulgated, pursuant to notice and

receipt of public comment, by the Director of the Office of

Management and Budget and which shall provide for a uniform

schedule of fees for all agencies.

(ii) Such agency regulations shall provide that -

(I) fees shall be limited to reasonable standard charges for

document search, duplication, and review, when records are

requested for commercial use;

(II) fees shall be limited to reasonable standard charges for

document duplication when records are not sought for commercial

use and the request is made by an educational or noncommercial

scientific institution, whose purpose is scholarly or scientific

research; or a representative of the news media; and

(III) for any request not described in (I) or (II), fees shall

be limited to reasonable standard charges for document search and

duplication.

(iii) Documents shall be furnished without any charge or at a

charge reduced below the fees established under clause (ii) if

disclosure of the information is in the public interest because it

is likely to contribute significantly to public understanding of

the operations or activities of the government and is not primarily

in the commercial interest of the requester.

(iv) Fee schedules shall provide for the recovery of only the

direct costs of search, duplication, or review. Review costs shall

include only the direct costs incurred during the initial

examination of a document for the purposes of determining whether

the documents must be disclosed under this section and for the

purposes of withholding any portions exempt from disclosure under

this section. Review costs may not include any costs incurred in

resolving issues of law or policy that may be raised in the course

of processing a request under this section. No fee may be charged

by any agency under this section -

(I) if the costs of routine collection and processing of the

fee are likely to equal or exceed the amount of the fee; or

(II) for any request described in clause (ii) (II) or (III) of

this subparagraph for the first two hours of search time or for

the first one hundred pages of duplication.

(v) No agency may require advance payment of any fee unless the

requester has previously failed to pay fees in a timely fashion, or

the agency has determined that the fee will exceed $250.

(vi) Nothing in this subparagraph shall supersede fees chargeable

under a statute specifically providing for setting the level of

fees for particular types of records.

(vii) In any action by a requester regarding the waiver of fees

under this section, the court shall determine the matter de novo:

Provided, That the court's review of the matter shall be limited to

the record before the agency.

(B) On complaint, the district court of the United States in the

district in which the complainant resides, or has his principal

place of business, or in which the agency records are situated, or

in the District of Columbia, has jurisdiction to enjoin the agency

from withholding agency records and to order the production of any

agency records improperly withheld from the complainant. In such a

case the court shall determine the matter de novo, and may examine

the contents of such agency records in camera to determine whether

such records or any part thereof shall be withheld under any of the

exemptions set forth in subsection (b) of this section, and the

burden is on the agency to sustain its action. In addition to any

other matters to which a court accords substantial weight, a court

shall accord substantial weight to an affidavit of an agency

concerning the agency's determination as to technical feasibility

under paragraph (2)(C) and subsection (b) and reproducibility under

paragraph (3)(B).

(C) Notwithstanding any other provision of law, the defendant

shall serve an answer or otherwise plead to any complaint made

under this subsection within thirty days after service upon the

defendant of the pleading in which such complaint is made, unless

the court otherwise directs for good cause shown.

((D) Repealed. Pub. L. 98-620, title IV, Sec. 402(2), Nov. 8,

1984, 98 Stat. 3357.)

(E) The court may assess against the United States reasonable

attorney fees and other litigation costs reasonably incurred in any

case under this section in which the complainant has substantially

prevailed.

(F) Whenever the court orders the production of any agency

records improperly withheld from the complainant and assesses

against the United States reasonable attorney fees and other

litigation costs, and the court additionally issues a written

finding that the circumstances surrounding the withholding raise

questions whether agency personnel acted arbitrarily or

capriciously with respect to the withholding, the Special Counsel

shall promptly initiate a proceeding to determine whether

disciplinary action is warranted against the officer or employee

who was primarily responsible for the withholding. The Special

Counsel, after investigation and consideration of the evidence

submitted, shall submit his findings and recommendations to the

administrative authority of the agency concerned and shall send

copies of the findings and recommendations to the officer or

employee or his representative. The administrative authority shall

take the corrective action that the Special Counsel recommends.

(G) In the event of noncompliance with the order of the court,

the district court may punish for contempt the responsible

employee, and in the case of a uniformed service, the responsible

member.

(5) Each agency having more than one member shall maintain and

make available for public inspection a record of the final votes of

each member in every agency proceeding.

(6)(A) Each agency, upon any request for records made under

paragraph (1), (2), or (3) of this subsection, shall -

(i) determine within 20 days (excepting Saturdays, Sundays, and

legal public holidays) after the receipt of any such request

whether to comply with such request and shall immediately notify

the person making such request of such determination and the

reasons therefor, and of the right of such person to appeal to

the head of the agency any adverse determination; and

(ii) make a determination with respect to any appeal within

twenty days (excepting Saturdays, Sundays, and legal public

holidays) after the receipt of such appeal. If on appeal the

denial of the request for records is in whole or in part upheld,

the agency shall notify the person making such request of the

provisions for judicial review of that determination under

paragraph (4) of this subsection.

(B)(i) In unusual circumstances as specified in this

subparagraph, the time limits prescribed in either clause (i) or

clause (ii) of subparagraph (A) may be extended by written notice

to the person making such request setting forth the unusual

circumstances for such extension and the date on which a

determination is expected to be dispatched. No such notice shall

specify a date that would result in an extension for more than ten

working days, except as provided in clause (ii) of this

subparagraph.

(ii) With respect to a request for which a written notice under

clause (i) extends the time limits prescribed under clause (i) of

subparagraph (A), the agency shall notify the person making the

request if the request cannot be processed within the time limit

specified in that clause and shall provide the person an

opportunity to limit the scope of the request so that it may be

processed within that time limit or an opportunity to arrange with

the agency an alternative time frame for processing the request or

a modified request. Refusal by the person to reasonably modify the

request or arrange such an alternative time frame shall be

considered as a factor in determining whether exceptional

circumstances exist for purposes of subparagraph (C).

(iii) As used in this subparagraph, ''unusual circumstances''

means, but only to the extent reasonably necessary to the proper

processing of the particular requests -

(I) the need to search for and collect the requested records

from field facilities or other establishments that are separate

from the office processing the request;

(II) the need to search for, collect, and appropriately examine

a voluminous amount of separate and distinct records which are

demanded in a single request; or

(III) the need for consultation, which shall be conducted with

all practicable speed, with another agency having a substantial

interest in the determination of the request or among two or more

components of the agency having substantial subject-matter

interest therein.

(iv) Each agency may promulgate regulations, pursuant to notice

and receipt of public comment, providing for the aggregation of

certain requests by the same requestor, or by a group of requestors

acting in concert, if the agency reasonably believes that such

requests actually constitute a single request, which would

otherwise satisfy the unusual circumstances specified in this

subparagraph, and the requests involve clearly related matters.

Multiple requests involving unrelated matters shall not be

aggregated.

(C)(i) Any person making a request to any agency for records

under paragraph (1), (2), or (3) of this subsection shall be deemed

to have exhausted his administrative remedies with respect to such

request if the agency fails to comply with the applicable time

limit provisions of this paragraph. If the Government can show

exceptional circumstances exist and that the agency is exercising

due diligence in responding to the request, the court may retain

jurisdiction and allow the agency additional time to complete its

review of the records. Upon any determination by an agency to

comply with a request for records, the records shall be made

promptly available to such person making such request. Any

notification of denial of any request for records under this

subsection shall set forth the names and titles or positions of

each person responsible for the denial of such request.

(ii) For purposes of this subparagraph, the term ''exceptional

circumstances'' does not include a delay that results from a

predictable agency workload of requests under this section, unless

the agency demonstrates reasonable progress in reducing its backlog

of pending requests.

(iii) Refusal by a person to reasonably modify the scope of a

request or arrange an alternative time frame for processing a

request (or a modified request) under clause (ii) after being given

an opportunity to do so by the agency to whom the person made the

request shall be considered as a factor in determining whether

exceptional circumstances exist for purposes of this subparagraph.

(D)(i) Each agency may promulgate regulations, pursuant to notice

and receipt of public comment, providing for multitrack processing

of requests for records based on the amount of work or time (or

both) involved in processing requests.

(ii) Regulations under this subparagraph may provide a person

making a request that does not qualify for the fastest multitrack

processing an opportunity to limit the scope of the request in

order to qualify for faster processing.

(iii) This subparagraph shall not be considered to affect the

requirement under subparagraph (C) to exercise due diligence.

(E)(i) Each agency shall promulgate regulations, pursuant to

notice and receipt of public comment, providing for expedited

processing of requests for records -

(I) in cases in which the person requesting the records

demonstrates a compelling need; and

(II) in other cases determined by the agency.

(ii) Notwithstanding clause (i), regulations under this

subparagraph must ensure -

(I) that a determination of whether to provide expedited

processing shall be made, and notice of the determination shall

be provided to the person making the request, within 10 days

after the date of the request; and

(II) expeditious consideration of administrative appeals of

such determinations of whether to provide expedited processing.

(iii) An agency shall process as soon as practicable any request

for records to which the agency has granted expedited processing

under this subparagraph. Agency action to deny or affirm denial of

a request for expedited processing pursuant to this subparagraph,

and failure by an agency to respond in a timely manner to such a

request shall be subject to judicial review under paragraph (4),

except that the judicial review shall be based on the record before

the agency at the time of the determination.

(iv) A district court of the United States shall not have

jurisdiction to review an agency denial of expedited processing of

a request for records after the agency has provided a complete

response to the request.

(v) For purposes of this subparagraph, the term ''compelling

need'' means -

(I) that a failure to obtain requested records on an expedited

basis under this paragraph could reasonably be expected to pose

an imminent threat to the life or physical safety of an

individual; or

(II) with respect to a request made by a person primarily

engaged in disseminating information, urgency to inform the

public concerning actual or alleged Federal Government activity.

(vi) A demonstration of a compelling need by a person making a

request for expedited processing shall be made by a statement

certified by such person to be true and correct to the best of such

person's knowledge and belief.

(F) In denying a request for records, in whole or in part, an

agency shall make a reasonable effort to estimate the volume of any

requested matter the provision of which is denied, and shall

provide any such estimate to the person making the request, unless

providing such estimate would harm an interest protected by the

exemption in subsection (b) pursuant to which the denial is made.

(b) This section does not apply to matters that are -

(1)(A) specifically authorized under criteria established by an

Executive order to be kept secret in the interest of national

defense or foreign policy and (B) are in fact properly classified

pursuant to such Executive order;

(2) related solely to the internal personnel rules and

practices of an agency;

(3) specifically exempted from disclosure by statute (other

than section 552b of this title), provided that such statute (A)

requires that the matters be withheld from the public in such a

manner as to leave no discretion on the issue, or (B) establishes

particular criteria for withholding or refers to particular types

of matters to be withheld;

(4) trade secrets and commercial or financial information

obtained from a person and privileged or confidential;

(5) inter-agency or intra-agency memorandums or letters which

would not be available by law to a party other than an agency in

litigation with the agency;

(6) personnel and medical files and similar files the

disclosure of which would constitute a clearly unwarranted

invasion of personal privacy;

(7) records or information compiled for law enforcement

purposes, but only to the extent that the production of such law

enforcement records or information (A) could reasonably be

expected to interfere with enforcement proceedings, (B) would

deprive a person of a right to a fair trial or an impartial

adjudication, (C) could reasonably be expected to constitute an

unwarranted invasion of personal privacy, (D) could reasonably be

expected to disclose the identity of a confidential source,

including a State, local, or foreign agency or authority or any

private institution which furnished information on a confidential

basis, and, in the case of a record or information compiled by

criminal law enforcement authority in the course of a criminal

investigation or by an agency conducting a lawful national

security intelligence investigation, information furnished by a

confidential source, (E) would disclose techniques and procedures

for law enforcement investigations or prosecutions, or would

disclose guidelines for law enforcement investigations or

prosecutions if such disclosure could reasonably be expected to

risk circumvention of the law, or (F) could reasonably be

expected to endanger the life or physical safety of any

individual;

(8) contained in or related to examination, operating, or

condition reports prepared by, on behalf of, or for the use of an

agency responsible for the regulation or supervision of financial

institutions; or

(9) geological and geophysical information and data, including

maps, concerning wells.

Any reasonably segregable portion of a record shall be provided to

any person requesting such record after deletion of the portions

which are exempt under this subsection. The amount of information

deleted shall be indicated on the released portion of the record,

unless including that indication would harm an interest protected

by the exemption in this subsection under which the deletion is

made. If technically feasible, the amount of the information

deleted shall be indicated at the place in the record where such

deletion is made.

(c)(1) Whenever a request is made which involves access to

records described in subsection (b)(7)(A) and -

(A) the investigation or proceeding involves a possible

violation of criminal law; and

(B) there is reason to believe that (i) the subject of the

investigation or proceeding is not aware of its pendency, and

(ii) disclosure of the existence of the records could reasonably

be expected to interfere with enforcement proceedings,

the agency may, during only such time as that circumstance

continues, treat the records as not subject to the requirements of

this section.

(2) Whenever informant records maintained by a criminal law

enforcement agency under an informant's name or personal identifier

are requested by a third party according to the informant's name or

personal identifier, the agency may treat the records as not

subject to the requirements of this section unless the informant's

status as an informant has been officially confirmed.

(3) Whenever a request is made which involves access to records

maintained by the Federal Bureau of Investigation pertaining to

foreign intelligence or counterintelligence, or international

terrorism, and the existence of the records is classified

information as provided in subsection (b)(1), the Bureau may, as

long as the existence of the records remains classified

information, treat the records as not subject to the requirements

of this section.

(d) This section does not authorize withholding of information or

limit the availability of records to the public, except as

specifically stated in this section. This section is not authority

to withhold information from Congress.

(e)(1) On or before February 1 of each year, each agency shall

submit to the Attorney General of the United States a report which

shall cover the preceding fiscal year and which shall include -

(A) the number of determinations made by the agency not to

comply with requests for records made to such agency under

subsection (a) and the reasons for each such determination;

(B)(i) the number of appeals made by persons under subsection

(a)(6), the result of such appeals, and the reason for the action

upon each appeal that results in a denial of information; and

(ii) a complete list of all statutes that the agency relies

upon to authorize the agency to withhold information under

subsection (b)(3), a description of whether a court has upheld

the decision of the agency to withhold information under each

such statute, and a concise description of the scope of any

information withheld;

(C) the number of requests for records pending before the

agency as of September 30 of the preceding year, and the median

number of days that such requests had been pending before the

agency as of that date;

(D) the number of requests for records received by the agency

and the number of requests which the agency processed;

(E) the median number of days taken by the agency to process

different types of requests;

(F) the total amount of fees collected by the agency for

processing requests; and

(G) the number of full-time staff of the agency devoted to

processing requests for records under this section, and the total

amount expended by the agency for processing such requests.

(2) Each agency shall make each such report available to the

public including by computer telecommunications, or if computer

telecommunications means have not been established by the agency,

by other electronic means.

(3) The Attorney General of the United States shall make each

report which has been made available by electronic means available

at a single electronic access point. The Attorney General of the

United States shall notify the Chairman and ranking minority member

of the Committee on Government Reform and Oversight of the House of

Representatives and the Chairman and ranking minority member of the

Committees on Governmental Affairs and the Judiciary of the Senate,

no later than April 1 of the year in which each such report is

issued, that such reports are available by electronic means.

(4) The Attorney General of the United States, in consultation

with the Director of the Office of Management and Budget, shall

develop reporting and performance guidelines in connection with

reports required by this subsection by October 1, 1997, and may

establish additional requirements for such reports as the Attorney

General determines may be useful.

(5) The Attorney General of the United States shall submit an

annual report on or before April 1 of each calendar year which

shall include for the prior calendar year a listing of the number

of cases arising under this section, the exemption involved in each

case, the disposition of such case, and the cost, fees, and

penalties assessed under subparagraphs (E), (F), and (G) of

subsection (a)(4). Such report shall also include a description of

the efforts undertaken by the Department of Justice to encourage

agency compliance with this section.

(f) For purposes of this section, the term -

(1) ''agency'' as defined in section 551(1) of this title

includes any executive department, military department,

Government corporation, Government controlled corporation, or

other establishment in the executive branch of the Government

(including the Executive Office of the President), or any

independent regulatory agency; and

(2) ''record'' and any other term used in this section in

reference to information includes any information that would be

an agency record subject to the requirements of this section when

maintained by an agency in any format, including an electronic

format.

(g) The head of each agency shall prepare and make publicly

available upon request, reference material or a guide for

requesting records or information from the agency, subject to the

exemptions in subsection (b), including -

(1) an index of all major information systems of the agency;

(2) a description of major information and record locator

systems maintained by the agency; and

(3) a handbook for obtaining various types and categories of

public information from the agency pursuant to chapter 35 of

title 44, and under this section.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 383; Pub. L. 90-23, Sec.

1, June 5, 1967, 81 Stat. 54; Pub. L. 93-502, Sec. 1-3, Nov. 21,

1974, 88 Stat. 1561-1564; Pub. L. 94-409, Sec. 5(b), Sept. 13,

1976, 90 Stat. 1247; Pub. L. 95-454, title IX, Sec. 906(a)(10),

Oct. 13, 1978, 92 Stat. 1225; Pub. L. 98-620, title IV, Sec.

402(2), Nov. 8, 1984, 98 Stat. 3357; Pub. L. 99-570, title I, Sec.

1802, 1803, Oct. 27, 1986, 100 Stat. 3207-48, 3207-49; Pub. L.

104-231, Sec. 3-11, Oct. 2, 1996, 110 Stat. 3049-3054; Pub. L.

107-306, title III, Sec. 312, Nov. 27, 2002, 116 Stat. 2390.)

-MISC1-

Historical and Revision Notes

1966 Act

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1002. June 11, 1946, ch.

324, Sec. 3, 60

Stat. 238.

-------------------------------

In subsection (b)(3), the words ''formulated and'' are omitted as

surplusage. In the last sentence of subsection (b), the words ''in

any manner'' are omitted as surplusage since the prohibition is all

inclusive.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

1967 ACT

Section 1 (of Pub. L. 90-23) amends section 552 of title 5,

United States Code, to reflect Public Law 89-487.

In subsection (a)(1)(A), the words ''employees (and in the case

of a uniformed service, the member)'' are substituted for

''officer'' to retain the coverage of Public Law 89-487 and to

conform to the definitions in 5 U.S.C. 2101, 2104, and 2105.

In the last sentence of subsection (a)(2), the words ''A final

order * * * may be relied on * * * only if'' are substituted for

''No final order * * * may be relied upon * * * unless''; and the

words ''a party other than an agency'' and ''the party'' are

substituted for ''a private party'' and ''the private party'',

respectively, on authority of the definition of ''private party''

in 5 App. U.S.C. 1002(g).

In subsection (a)(3), the words ''the responsible employee, and

in the case of a uniformed service, the responsible member'' are

substituted for ''the responsible officers'' to retain the coverage

of Public Law 89-487 and to conform to the definitions in 5 U.S.C.

2101, 2104, and 2105.

In subsection (a)(4), the words ''shall maintain and make

available for public inspection a record'' are substituted for

''shall keep a record * * * and that record shall be available for

public inspection''.

In subsection (b)(5) and (7), the words ''a party other than an

agency'' are substituted for ''a private party'' on authority of

the definition of ''private party'' in 5 App. U.S.C. 1002(g).

In subsection (c), the words ''This section does not authorize''

and ''This section is not authority'' are substituted for ''Nothing

in this section authorizes'' and ''nor shall this section be

authority'', respectively.

5 App. U.S.C. 1002(g), defining ''private party'' to mean a party

other than an agency, is omitted since the words ''party other than

an agency'' are substituted for the words ''private party''

wherever they appear in revised 5 U.S.C. 552.

5 App. U.S.C. 1002(h), prescribing the effective date, is omitted

as unnecessary. That effective date is prescribed by section 4 of

this bill.

-COD-

CODIFICATION

Section 552 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2243

of Title 7, Agriculture.

-MISC3-

AMENDMENTS

2002 - Subsec. (a)(3)(A). Pub. L. 107-306, Sec. 312(1), inserted

''and except as provided in subparagraph (E),'' after ''of this

subsection,''.

Subsec. (a)(3)(E). Pub. L. 107-306, Sec. 312(2), added subpar.

(E).

1996 - Subsec. (a)(2). Pub. L. 104-231, Sec. 4(4), (5), in first

sentence struck out ''and'' at end of subpar. (B) and inserted

subpars. (D) and (E).

Pub. L. 104-231, Sec. 4(7), inserted after first sentence ''For

records created on or after November 1, 1996, within one year after

such date, each agency shall make such records available, including

by computer telecommunications or, if computer telecommunications

means have not been established by the agency, by other electronic

means.''

Pub. L. 104-231, Sec. 4(1), in second sentence substituted

''staff manual, instruction, or copies of records referred to in

subparagraph (D)'' for ''or staff manual or instruction''.

Pub. L. 104-231, Sec. 4(2), inserted before period at end of

third sentence '', and the extent of such deletion shall be

indicated on the portion of the record which is made available or

published, unless including that indication would harm an interest

protected by the exemption in subsection (b) under which the

deletion is made''.

Pub. L. 104-231, Sec. 4(3), inserted after third sentence ''If

technically feasible, the extent of the deletion shall be indicated

at the place in the record where the deletion was made.''

Pub. L. 104-231, Sec. 4(6), which directed the insertion of the

following new sentence after the fifth sentence ''Each agency shall

make the index referred to in subparagraph (E) available by

computer telecommunications by December 31, 1999.'', was executed

by making the insertion after the sixth sentence, to reflect the

probable intent of Congress and the addition of a new sentence by

section 4(3) of Pub. L. 104-231.

Subsec. (a)(3). Pub. L. 104-231, Sec. 5, inserted subpar. (A)

designation after ''(3)'', redesignated subpars. (A) and (B) as

cls. (i) and (ii), respectively, and added subpars. (B) to (D).

Subsec. (a)(4)(B). Pub. L. 104-231, Sec. 6, inserted at end ''In

addition to any other matters to which a court accords substantial

weight, a court shall accord substantial weight to an affidavit of

an agency concerning the agency's determination as to technical

feasibility under paragraph (2)(C) and subsection (b) and

reproducibility under paragraph (3)(B).''

Subsec. (a)(6)(A)(i). Pub. L. 104-231, Sec. 8(b), substituted

''20 days'' for ''ten days''.

Subsec. (a)(6)(B). Pub. L. 104-231, Sec. 7(b), amended subpar.

(B) generally. Prior to amendment, subpar. (B) read as follows:

''In unusual circumstances as specified in this subparagraph, the

time limits prescribed in either clause (i) or clause (ii) of

subparagraph (A) may be extended by written notice to the person

making such request setting forth the reasons for such extension

and the date on which a determination is expected to be

dispatched. No such notice shall specify a date that would result

in an extension for more than ten working days. As used in this

subparagraph, 'unusual circumstances' means, but only to the extent

reasonably necessary to the proper processing of the particular

request -

''(i) the need to search for and collect the requested records

from field facilities or other establishments that are separate

from the office processing the request;

''(ii) the need to search for, collect, and appropriately

examine a voluminous amount of separate and distinct records

which are demanded in a single request; or

''(iii) the need for consultation, which shall be conducted

with all practicable speed, with another agency having a

substantial interest in the determination of the request or among

two or more components of the agency having substantial

subject-matter interest therein.''

Subsec. (a)(6)(C). Pub. L. 104-231, Sec. 7(c), designated

existing provisions as cl. (i) and added cls. (ii) and (iii).

Subsec. (a)(6)(D). Pub. L. 104-231, Sec. 7(a), added subpar. (D).

Subsec. (a)(6)(E), (F). Pub. L. 104-231, Sec. 8(a), (c), added

subpars. (E) and (F).

Subsec. (b). Pub. L. 104-231, Sec. 9, inserted at end of closing

provisions ''The amount of information deleted shall be indicated

on the released portion of the record, unless including that

indication would harm an interest protected by the exemption in

this subsection under which the deletion is made. If technically

feasible, the amount of the information deleted shall be indicated

at the place in the record where such deletion is made.''

Subsec. (e). Pub. L. 104-231, Sec. 10, amended subsec. (e)

generally, revising and restating provisions relating to reports to

Congress.

Subsec. (f). Pub. L. 104-231, Sec. 3, amended subsec. (f)

generally. Prior to amendment, subsec. (f) read as follows: ''For

purposes of this section, the term 'agency' as defined in section

551(1) of this title includes any executive department, military

department, Government corporation, Government controlled

corporation, or other establishment in the executive branch of the

Government (including the Executive Office of the President), or

any independent regulatory agency.''

Subsec. (g). Pub. L. 104-231, Sec. 11, added subsec. (g).

1986 - Subsec. (a)(4)(A). Pub. L. 99-570, Sec. 1803, amended

subpar. (A) generally. Prior to amendment, subpar. (A) read as

follows: ''In order to carry out the provisions of this section,

each agency shall promulgate regulations, pursuant to notice and

receipt of public comment, specifying a uniform schedule of fees

applicable to all constituent units of such agency. Such fees

shall be limited to reasonable standard charges for document search

and duplication and provide for recovery of only the direct costs

of such search and duplication. Documents shall be furnished

without charge or at a reduced charge where the agency determines

that waiver or reduction of the fee is in the public interest

because furnishing the information can be considered as primarily

benefiting the general public.''

Subsec. (b)(7). Pub. L. 99-570, Sec. 1802(a), amended par. (7)

generally. Prior to amendment, par. (7) read as follows:

''investigatory records compiled for law enforcement purposes, but

only to the extent that the production of such records would (A)

interfere with enforcement proceedings, (B) deprive a person of a

right to a fair trial or an impartial adjudication, (C) constitute

an unwarranted invasion of personal privacy, (D) disclose the

identity of a confidential source and, in the case of a record

compiled by a criminal law enforcement authority in the course of a

criminal investigation, or by an agency conducting a lawful

national security intelligence investigation, confidential

information furnished only by the confidential source, (E) disclose

investigative techniques and procedures, or (F) endanger the life

or physical safety of law enforcement personnel;''.

Subsecs. (c) to (f). Pub. L. 99-570, Sec. 1802(b), added subsec.

(c) and redesignated former subsecs. (c) to (e) as (d) to (f),

respectively.

1984 - Subsec. (a)(4)(D). Pub. L. 98-620 repealed subpar. (D)

which provided for precedence on the docket and expeditious

disposition of district court proceedings authorized by subsec.

(a).

1978 - Subsec. (a)(4)(F). Pub. L. 95-454 substituted references

to the Special Counsel for references to the Civil Service

Commission wherever appearing and reference to his findings for

reference to its findings.

1976 - Subsec. (b)(3). Pub. L. 94-409 inserted provision

excluding section 552b of this title from applicability of

exemption from disclosure and provision setting forth conditions

for statute specifically exempting disclosure.

1974 - Subsec. (a)(2). Pub. L. 93-502, Sec. 1(a), substituted

provisions relating to maintenance and availability of current

indexes, for provisions relating to maintenance and availability of

a current index, and inserted provisions relating to publication

and distribution of copies of indexes or supplements thereto.

Subsec. (a)(3). Pub. L. 93-502, Sec. 1(b)(1), substituted

provisions requiring requests to reasonably describe records for

provisions requiring requests, for identifiable records, and struck

out provisions setting forth procedures to enjoin agencies from

withholding the requested records and ordering their production.

Subsec. (a)(4), (5). Pub. L. 93-502, Sec. 1(b)(2), added par. (4)

and redesignated former par. (4) as (5).

Subsec. (a)(6). Pub. L. 93-502, Sec. 1(c), added par. (6).

Subsec. (b)(1). Pub. L. 93-502, Sec. 2(a), designated existing

provisions as cl. (A), substituted ''authorized under criteria

established by an'' for ''required by'', and added cl. (B).

Subsec. (b)(7). Pub. L. 93-502, Sec. 2(b), substituted provisions

relating to exemption for investigatory records compiled for law

enforcement purposes, for provisions relating to exemption for

investigatory files compiled for law enforcement purposes.

Subsec. (b), foll. par. (9). Pub. L. 93-502, Sec. 2(c), inserted

provision relating to availability of segregable portion of

records.

Subsecs. (d), (e). Pub. L. 93-502, Sec. 3, added subsecs. (d) and

(e).

1967 - Subsec. (a). Pub. L. 90-23 substituted introductory

statement requiring every agency to make available to the public

certain information for former introductory provision excepting

from disclosure (1) any function of the United States requiring

secrecy in the public interest or (2) any matter relating to

internal management of an agency, covered in subsec. (b)(1) and (2)

of this section.

Subsec. (a)(1). Pub. L. 90-23 incorporated provisions of: former

subsec. (b)(1) in (A), inserting requirement of publication of

names of officers as sources of information and provision for

public to obtain decisions, and striking out publication

requirement for delegations by the agency of final authority;

former subsec. (b)(2), introductory part, in (B); former subsec.

(b)(2), concluding part, in (C), inserting publication requirement

for rules of procedure and descriptions of forms available or the

places at which forms may be obtained; former subsec. (b)(3),

introductory part, in (D), inserting requirement of general

applicability of substantive rules and interpretations, added

clause (E), substituted exemption of any person from failure to

resort to any matter or from being adversely affected by any matter

required to be published in the Federal Register but not so

published for former subsec. (b)(3), concluding part, excepting

from publication rules addressed to and served upon named persons

in accordance with laws and final sentence reading ''A person may

not be required to resort to organization or procedure not so

published'' and inserted provision deeming matter, which is

reasonably available, as published in the Federal Register when

such matter is incorporated by reference in the Federal Register

with the approval of its Director.

Subsec. (a)(2). Pub. L. 90-23 incorporated provisions of former

subsec. (c), provided for public copying of records, struck out

requirement of agency publication of final opinions or orders and

authority for secrecy and withholding of opinions and orders

required for good cause to be held confidential and not cited as

precedents, latter provision now superseded by subsec. (b) of this

section, designated existing subsec. (c) as clause (A), including

provision for availability of concurring and dissenting opinions,

inserted provisions for availability of policy statements and

interpretations in clause (B) and staff manuals and instructions in

clause (C), deletion of personal identifications from records to

protect personal privacy with written justification therefor, and

provision for indexing and prohibition of use of records not

indexed against any private party without actual and timely notice

of the terms thereof.

Subsec. (a)(3). Pub. L. 90-23 incorporated provisions of former

subsec. (d) and substituted provisions requiring identifiable

agency records to be made available to any person upon request and

compliance with rules as to time, place, and procedure for

inspection, and payment of fees and provisions for Federal district

court proceedings de novo for enforcement by contempt of

noncompliance with court's orders with the burden on the agency and

docket precedence for such proceedings for former provisions

requiring matters of official record to be made available to

persons properly and directly concerned except information held

confidential for good cause shown, the latter provision superseded

by subsec. (b) of this section.

Subsec. (a)(4). Pub. L. 90-23 added par. (4).

Subsec. (b). Pub. L. 90-23 added subsec. (b) which superseded

provisions excepting from disclosure any function of the United

States requiring secrecy in the public interest or any matter

relating to internal management of an agency, formerly contained in

former subsec. (a), final opinions or orders required for good

cause to be held confidential and not cited as precedents, formerly

contained in subsec. (c), and information held confidential for

good cause found, contained in former subsec. (d) of this section.

Subsec. (c). Pub. L. 90-23 added subsec. (c).

-CHANGE-

CHANGE OF NAME

Committee on Government Reform and Oversight of House of

Representatives changed to Committee on Government Reform of House

of Representatives by House Resolution No. 5, One Hundred Sixth

Congress, Jan. 6, 1999.

-MISC4-

EFFECTIVE DATE OF 1996 AMENDMENT

Section 12 of Pub. L. 104-231 provided that:

''(a) In General. - Except as provided in subsection (b), this

Act (amending this section and enacting provisions set out as notes

below) shall take effect 180 days after the date of the enactment

of this Act (Oct. 2, 1996).

''(b) Provisions Effective on Enactment (sic). - Sections 7 and 8

(amending this section) shall take effect one year after the date

of the enactment of this Act (Oct. 2, 1996).''

EFFECTIVE DATE OF 1986 AMENDMENT

Section 1804 of Pub. L. 99-570 provided that:

''(a) The amendments made by section 1802 (amending this section)

shall be effective on the date of enactment of this Act (Oct. 27,

1986), and shall apply with respect to any requests for records,

whether or not the request was made prior to such date, and shall

apply to any civil action pending on such date.

''(b)(1) The amendments made by section 1803 (amending this

section) shall be effective 180 days after the date of enactment of

this Act (Oct. 27, 1986), except that regulations to implement such

amendments shall be promulgated by such 180th day.

''(2) The amendments made by section 1803 (amending this section)

shall apply with respect to any requests for records, whether or

not the request was made prior to such date, and shall apply to any

civil action pending on such date, except that review charges

applicable to records requested for commercial use shall not be

applied by an agency to requests made before the effective date

specified in paragraph (1) of this subsection or before the agency

has finally issued its regulations.''

EFFECTIVE DATE OF 1984 AMENDMENT

Amendment by Pub. L. 98-620 not applicable to cases pending on

Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an

Effective Date note under section 1657 of Title 28, Judiciary and

Judicial Procedure.

EFFECTIVE DATE OF 1978 AMENDMENT

Amendment by Pub. L. 95-454 effective 90 days after Oct. 13,

1978, see section 907 of Pub. L. 95-454, set out as a note under

section 1101 of this title.

EFFECTIVE DATE OF 1976 AMENDMENT

Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,

1976, see section 6 of Pub. L. 94-409, set out as an Effective Date

note under section 552b of this title.

EFFECTIVE DATE OF 1974 AMENDMENT

Section 4 of Pub. L. 93-502 provided that: ''The amendments made

by this Act (amending this section) shall take effect on the

ninetieth day beginning after the date of enactment of this Act

(Nov. 21, 1974).''

EFFECTIVE DATE OF 1967 AMENDMENT

Section 4 of Pub. L. 90-23 provided that: ''This Act (amending

this section) shall be effective July 4, 1967, or on the date of

enactment (June 5, 1967), whichever is later.''

SHORT TITLE OF 1996 AMENDMENT

Section 1 of Pub. L. 104-231 provided that: ''This Act (amending

this section and enacting provisions set out as notes under this

section) may be cited as the 'Electronic Freedom of Information Act

Amendments of 1996'.''

SHORT TITLE OF 1986 AMENDMENT

Section 1801 of Pub. L. 99-570 provided that: ''This subtitle

(subtitle N (Sec. 1801-1804) of title I of Pub. L. 99-570, amending

this section and enacting provisions set out as a note under this

section) may be cited as the 'Freedom of Information Reform Act of

1986'.''

SHORT TITLE

This section is popularly known as the ''Freedom of Information

Act''.

DISCLOSURE OF INFORMATION ON JAPANESE IMPERIAL GOVERNMENT

Pub. L. 106-567, title VIII, Dec. 27, 2000, 114 Stat. 2864,

provided that:

''SEC. 801. SHORT TITLE.

''This title may be cited as the 'Japanese Imperial Government

Disclosure Act of 2000'.

''SEC. 802. DESIGNATION.

''(a) Definitions. - In this section:

''(1) Agency. - The term 'agency' has the meaning given such

term under section 551 of title 5, United States Code.

''(2) Interagency group. - The term 'Interagency Group' means

the Nazi War Crimes and Japanese Imperial Government Records

Interagency Working Group established under subsection (b).

''(3) Japanese imperial government records. - The term

'Japanese Imperial Government records' means classified records

or portions of records that pertain to any person with respect to

whom the United States Government, in its sole discretion, has

grounds to believe ordered, incited, assisted, or otherwise

participated in the experimentation on, and persecution of, any

person because of race, religion, national origin, or political

opinion, during the period beginning September 18, 1931, and

ending on December 31, 1948, under the direction of, or in

association with -

''(A) the Japanese Imperial Government;

''(B) any government in any area occupied by the military

forces of the Japanese Imperial Government;

''(C) any government established with the assistance or

cooperation of the Japanese Imperial Government; or

''(D) any government which was an ally of the Japanese

Imperial Government.

''(4) Record. - The term 'record' means a Japanese Imperial

Government record.

''(b) Establishment of Interagency Group. -

''(1) In general. - Not later than 60 days after the date of

the enactment of this Act (Dec. 27, 2000), the President shall

designate the Working Group established under the Nazi War Crimes

Disclosure Act (Public Law 105-246; 5 U.S.C. 552 note) to also

carry out the purposes of this title with respect to Japanese

Imperial Government records, and that Working Group shall remain

in existence for 3 years after the date on which this title takes

effect. Such Working Group is redesignated as the 'Nazi War

Crimes and Japanese Imperial Government Records Interagency

Working Group'.

''(2) Membership. - (Amended Pub. L. 105-246, set out as a note

below.)

''(c) Functions. - Not later than 1 year after the date of the

enactment of this Act (Dec. 27, 2000), the Interagency Group shall,

to the greatest extent possible consistent with section 803 -

''(1) locate, identify, inventory, recommend for

declassification, and make available to the public at the

National Archives and Records Administration, all classified

Japanese Imperial Government records of the United States;

''(2) coordinate with agencies and take such actions as

necessary to expedite the release of such records to the public;

and

''(3) submit a report to Congress, including the Committee on

Government Reform and the Permanent Select Committee on

Intelligence of the House of Representatives, and the Committee

on the Judiciary and the Select Committee on Intelligence of the

Senate, describing all such records, the disposition of such

records, and the activities of the Interagency Group and agencies

under this section.

''(d) Funding. - There is authorized to be appropriated such sums

as may be necessary to carry out the provisions of this title.

''SEC. 803. REQUIREMENT OF DISCLOSURE OF RECORDS.

''(a) Release of Records. - Subject to subsections (b), (c), and

(d), the Japanese Imperial Government Records Interagency Working

Group shall release in their entirety Japanese Imperial Government

records.

''(b) Exemptions. - An agency head may exempt from release under

subsection (a) specific information, that would -

''(1) constitute an unwarranted invasion of personal privacy;

''(2) reveal the identity of a confidential human source, or

reveal information about an intelligence source or method when

the unauthorized disclosure of that source or method would damage

the national security interests of the United States;

''(3) reveal information that would assist in the development

or use of weapons of mass destruction;

''(4) reveal information that would impair United States

cryptologic systems or activities;

''(5) reveal information that would impair the application of

state-of-the-art technology within a United States weapon system;

''(6) reveal United States military war plans that remain in

effect;

''(7) reveal information that would impair relations between

the United States and a foreign government, or undermine ongoing

diplomatic activities of the United States;

''(8) reveal information that would impair the current ability

of United States Government officials to protect the President,

Vice President, and other officials for whom protection services

are authorized in the interest of national security;

''(9) reveal information that would impair current national

security emergency preparedness plans; or

''(10) violate a treaty or other international agreement.

''(c) Applications of Exemptions. -

''(1) In general. - In applying the exemptions provided in

paragraphs (2) through (10) of subsection (b), there shall be a

presumption that the public interest will be served by disclosure

and release of the records of the Japanese Imperial Government.

The exemption may be asserted only when the head of the agency

that maintains the records determines that disclosure and release

would be harmful to a specific interest identified in the

exemption. An agency head who makes such a determination shall

promptly report it to the committees of Congress with appropriate

jurisdiction, including the Committee on the Judiciary and the

Select Committee on Intelligence of the Senate and the Committee

on Government Reform and the Permanent Select Committee on

Intelligence of the House of Representatives.

''(2) Application of title 5. - A determination by an agency

head to apply an exemption provided in paragraphs (2) through (9)

of subsection (b) shall be subject to the same standard of review

that applies in the case of records withheld under section

552(b)(1) of title 5, United States Code.

''(d) Records Related to Investigations or Prosecutions. - This

section shall not apply to records -

''(1) related to or supporting any active or inactive

investigation, inquiry, or prosecution by the Office of Special

Investigations of the Department of Justice; or

''(2) solely in the possession, custody, or control of the

Office of Special Investigations.

''SEC. 804. EXPEDITED PROCESSING OF REQUESTS FOR JAPANESE IMPERIAL

GOVERNMENT RECORDS.

''For purposes of expedited processing under section 552(a)(6)(E)

of title 5, United States Code, any person who was persecuted in

the manner described in section 802(a)(3) and who requests a

Japanese Imperial Government record shall be deemed to have a

compelling need for such record.

''SEC. 805. EFFECTIVE DATE.

''The provisions of this title shall take effect on the date that

is 90 days after the date of the enactment of this Act (Dec. 27,

2000).''

NAZI WAR CRIMES DISCLOSURE

Pub. L. 105-246, Oct. 8, 1998, 112 Stat. 1859, as amended by Pub.

L. 106-567, Sec. 802(b)(2), Dec. 27, 2000, 114 Stat. 2865, provided

that:

''SECTION 1. SHORT TITLE.

''This Act may be cited as the 'Nazi War Crimes Disclosure Act'.

''SEC. 2. ESTABLISHMENT OF NAZI WAR CRIMINAL RECORDS INTERAGENCY

WORKING GROUP.

''(a) Definitions. - In this section the term -

''(1) 'agency' has the meaning given such term under section

551 of title 5, United States Code;

''(2) 'Interagency Group' means the Nazi War Criminal Records

Interagency Working Group (redesignated Nazi War Crimes and

Japanese Imperial Government Records Interagency Working Group,

see section 802(b)(1) of Pub. L. 106-567, set out above)

established under subsection (b);

''(3) 'Nazi war criminal records' has the meaning given such

term under section 3 of this Act; and

''(4) 'record' means a Nazi war criminal record.

''(b) Establishment of Interagency Group. -

''(1) In general. - Not later than 60 days after the date of

enactment of this Act (Oct. 8, 1998), the President shall

establish the Nazi War Criminal Records Interagency Working

Group, which shall remain in existence for 3 years after the date

the Interagency Group is established.

''(2) Membership. - The President shall appoint to the

Interagency Group individuals whom the President determines will

most completely and effectively carry out the functions of the

Interagency Group within the time limitations provided in this

section, including the Director of the Holocaust Museum, the

Historian of the Department of State, the Archivist of the United

States, the head of any other agency the President considers

appropriate, and no more than 4 other persons who shall be

members of the public, of whom 3 shall be persons appointed under

the provisions of this Act in effect on October 8, 1998..(sic)

The head of an agency appointed by the President may designate an

appropriate officer to serve on the Interagency Group in lieu of

the head of such agency.

''(3) Initial meeting. - Not later than 90 days after the date

of enactment of this Act, the Interagency Group shall hold an

initial meeting and begin the functions required under this

section.

''(c) Functions. - Not later than 1 year after the date of

enactment of this Act (Oct. 8, 1998), the Interagency Group shall,

to the greatest extent possible consistent with section 3 of this

Act -

''(1) locate, identify, inventory, recommend for

declassification, and make available to the public at the

National Archives and Records Administration, all classified Nazi

war criminal records of the United States;

''(2) coordinate with agencies and take such actions as

necessary to expedite the release of such records to the public;

and

''(3) submit a report to Congress, including the Committee on

the Judiciary of the Senate and the Committee on Government

Reform and Oversight (now Committee on Government Reform) of the

House of Representatives, describing all such records, the

disposition of such records, and the activities of the

Interagency Group and agencies under this section.

''(d) Funding. - There are authorized to be appropriated such

sums as may be necessary to carry out the provisions of this Act.

''SEC. 3. REQUIREMENT OF DISCLOSURE OF RECORDS REGARDING PERSONS

WHO COMMITTED NAZI WAR CRIMES.

''(a) Nazi War Criminal Records. - For purposes of this Act, the

term 'Nazi war criminal records' means classified records or

portions of records that -

''(1) pertain to any person with respect to whom the United

States Government, in its sole discretion, has grounds to believe

ordered, incited, assisted, or otherwise participated in the

persecution of any person because of race, religion, national

origin, or political opinion, during the period beginning on

March 23, 1933, and ending on May 8, 1945, under the direction

of, or in association with -

''(A) the Nazi government of Germany;

''(B) any government in any area occupied by the military

forces of the Nazi government of Germany;

''(C) any government established with the assistance or

cooperation of the Nazi government of Germany; or

''(D) any government which was an ally of the Nazi government

of Germany; or

''(2) pertain to any transaction as to which the United States

Government, in its sole discretion, has grounds to believe -

''(A) involved assets taken from persecuted persons during

the period beginning on March 23, 1933, and ending on May 8,

1945, by, under the direction of, on behalf of, or under

authority granted by the Nazi government of Germany or any

nation then allied with that government; and

''(B) such transaction was completed without the assent of

the owners of those assets or their heirs or assigns or other

legitimate representatives.

''(b) Release of Records. -

''(1) In general. - Subject to paragraphs (2), (3), and (4),

the Nazi War Criminal Records Interagency Working Group shall

release in their entirety Nazi war criminal records that are

described in subsection (a).

''(2) Exception for privacy, etc. - An agency head may exempt

from release under paragraph (1) specific information, that would

-

''(A) constitute a clearly unwarranted invasion of personal

privacy;

''(B) reveal the identity of a confidential human source, or

reveal information about the application of an intelligence

source or method, or reveal the identity of a human

intelligence source when the unauthorized disclosure of that

source would clearly and demonstrably damage the national

security interests of the United States;

''(C) reveal information that would assist in the development

or use of weapons of mass destruction;

''(D) reveal information that would impair United States

cryptologic systems or activities;

''(E) reveal information that would impair the application of

state-of-the-art technology within a United States weapon

system;

''(F) reveal actual United States military war plans that

remain in effect;

''(G) reveal information that would seriously and

demonstrably impair relations between the United States and a

foreign government, or seriously and demonstrably undermine

ongoing diplomatic activities of the United States;

''(H) reveal information that would clearly and demonstrably

impair the current ability of United States Government

officials to protect the President, Vice President, and other

officials for whom protection services, in the interest of

national security, are authorized;

''(I) reveal information that would seriously and

demonstrably impair current national security emergency

preparedness plans; or

''(J) violate a treaty or international agreement.

''(3) Application of exemptions. -

''(A) In general. - In applying the exemptions listed in

subparagraphs (B) through (J) of paragraph (2), there shall be

a presumption that the public interest in the release of Nazi

war criminal records will be served by disclosure and release

of the records. Assertion of such exemption may only be made

when the agency head determines that disclosure and release

would be harmful to a specific interest identified in the

exemption. An agency head who makes such a determination shall

promptly report it to the committees of Congress with

appropriate jurisdiction, including the Committee on the

Judiciary of the Senate and the Committee on Government Reform

and Oversight (now Committee on Government Reform) of the House

of Representatives. The exemptions set forth in paragraph (2)

shall constitute the only authority pursuant to which an agency

head may exempt records otherwise subject to release under

paragraph (1).

''(B) Application of title 5. - A determination by an agency

head to apply an exemption listed in subparagraphs (B) through

(I) of paragraph (2) shall be subject to the same standard of

review that applies in the case of records withheld under

section 552(b)(1) of title 5, United States Code.

''(4) Limitation on application. - This subsection shall not

apply to records -

''(A) related to or supporting any active or inactive

investigation, inquiry, or prosecution by the Office of Special

Investigations of the Department of Justice; or

''(B) solely in the possession, custody, or control of that

office.

''(c) Inapplicability of National Security Act of 1947 Exemption.

- Section 701(a) of the National Security Act of 1947 (50 U.S.C.

431((a))) shall not apply to any operational file, or any portion

of any operational file, that constitutes a Nazi war criminal

record under section 3 of this Act.

''SEC. 4. EXPEDITED PROCESSING OF FOIA REQUESTS FOR NAZI WAR

CRIMINAL RECORDS.

''(a) Expedited Processing. - For purposes of expedited

processing under section 552(a)(6)(E) of title 5, United States

Code, any requester of a Nazi war criminal record shall be deemed

to have a compelling need for such record.

''(b) Requester. - For purposes of this section, the term

'requester' means any person who was persecuted in the manner

described under section 3(a)(1) of this Act who requests a Nazi war

criminal record.

''SEC. 5. EFFECTIVE DATE.

''This Act and the amendments made by this Act shall take effect

on the date that is 90 days after the date of enactment of this Act

(Oct. 8, 1998).''

CONGRESSIONAL STATEMENT OF FINDINGS AND PURPOSE; PUBLIC ACCESS TO

INFORMATION IN ELECTRONIC FORMAT

Section 2 of Pub. L. 104-231 provided that:

''(a) Findings. - The Congress finds that -

''(1) the purpose of section 552 of title 5, United States

Code, popularly known as the Freedom of Information Act, is to

require agencies of the Federal Government to make certain agency

information available for public inspection and copying and to

establish and enable enforcement of the right of any person to

obtain access to the records of such agencies, subject to

statutory exemptions, for any public or private purpose;

''(2) since the enactment of the Freedom of Information Act in

1966, and the amendments enacted in 1974 and 1986, the Freedom of

Information Act has been a valuable means through which any

person can learn how the Federal Government operates;

''(3) the Freedom of Information Act has led to the disclosure

of waste, fraud, abuse, and wrongdoing in the Federal Government;

''(4) the Freedom of Information Act has led to the

identification of unsafe consumer products, harmful drugs, and

serious health hazards;

''(5) Government agencies increasingly use computers to conduct

agency business and to store publicly valuable agency records and

information; and

''(6) Government agencies should use new technology to enhance

public access to agency records and information.

''(b) Purposes. - The purposes of this Act (see Short Title of

1996 Amendment note above) are to -

''(1) foster democracy by ensuring public access to agency

records and information;

''(2) improve public access to agency records and information;

''(3) ensure agency compliance with statutory time limits; and

''(4) maximize the usefulness of agency records and information

collected, maintained, used, retained, and disseminated by the

Federal Government.''

FREEDOM OF INFORMATION ACT EXEMPTION FOR CERTAIN OPEN SKIES TREATY

DATA

Pub. L. 103-236, title V, Sec. 533, Apr. 30, 1994, 108 Stat. 480,

provided that:

''(a) In General. - Data with respect to a foreign country

collected by sensors during observation flights conducted in

connection with the Treaty on Open Skies, including flights

conducted prior to entry into force of the treaty, shall be exempt

from disclosure under the Freedom of Information Act -

''(1) if the country has not disclosed the data to the public;

and

''(2) if the country has not, acting through the Open Skies

Consultative Commission or any other diplomatic channel,

authorized the United States to disclose the data to the public.

''(b) Statutory Construction. - This section constitutes a

specific exemption within the meaning of section 552(b)(3) of title

5, United States Code.

''(c) Definitions. - For the purposes of this section -

''(1) the term 'Freedom of Information Act' means the

provisions of section 552 of title 5, United States Code;

''(2) the term 'Open Skies Consultative Commission' means the

commission established pursuant to Article X of the Treaty on

Open Skies; and

''(3) the term 'Treaty on Open Skies' means the Treaty on Open

Skies, signed at Helsinki on March 24, 1992.''

-EXEC-

CLASSIFIED NATIONAL SECURITY INFORMATION

For provisions relating to a response to a request for

information under this section when the fact of its existence or

nonexistence is itself classified or when it was originally

classified by another agency, see Ex. Ord. No. 12958, Sec. 3.7,

Apr. 17, 1995, 60 F.R. 19835, set out as a note under section 435

of Title 50, War and National Defense.

EXECUTIVE ORDER NO. 12174

Ex. Ord. No. 12174, Nov. 30, 1979, 44 F.R. 69609, which related

to minimizing Federal paperwork, was revoked by Ex. Ord. No. 12291,

Feb. 17, 1981, 46 F.R. 13193, formerly set out as a note under

section 601 of this title.

EX. ORD. NO. 12600. PREDISCLOSURE NOTIFICATION PROCEDURES FOR

CONFIDENTIAL COMMERCIAL INFORMATION

Ex. Ord. No. 12600, June 23, 1987, 52 F.R. 23781, provided:

By the authority vested in me as President by the Constitution

and statutes of the United States of America, and in order to

provide predisclosure notification procedures under the Freedom of

Information Act (5 U.S.C. 552) concerning confidential commercial

information, and to make existing agency notification provisions

more uniform, it is hereby ordered as follows:

Section 1. The head of each Executive department and agency

subject to the Freedom of Information Act (5 U.S.C. 552) shall, to

the extent permitted by law, establish procedures to notify

submitters of records containing confidential commercial

information as described in section 3 of this Order, when those

records are requested under the Freedom of Information Act (FOIA),

5 U.S.C. 552, as amended, if after reviewing the request, the

responsive records, and any appeal by the requester, the department

or agency determines that it may be required to disclose the

records. Such notice requires that an agency use good-faith

efforts to advise submitters of confidential commercial information

of the procedures established under this Order. Further, where

notification of a voluminous number of submitters is required, such

notification may be accomplished by posting or publishing the

notice in a place reasonably calculated to accomplish notification.

Sec. 2. For purposes of this Order, the following definitions

apply:

(a) ''Confidential commercial information'' means records

provided to the government by a submitter that arguably contain

material exempt from release under Exemption 4 of the Freedom of

Information Act, 5 U.S.C. 552(b)(4), because disclosure could

reasonably be expected to cause substantial competitive harm.

(b) ''Submitter'' means any person or entity who provides

confidential commercial information to the government. The term

''submitter'' includes, but is not limited to, corporations, state

governments, and foreign governments.

Sec. 3. (a) For confidential commercial information submitted

prior to January 1, 1988, the head of each Executive department or

agency shall, to the extent permitted by law, provide a submitter

with notice pursuant to section 1 whenever:

(i) the records are less than 10 years old and the information

has been designated by the submitter as confidential commercial

information; or

(ii) the department or agency has reason to believe that

disclosure of the information could reasonably be expected to cause

substantial competitive harm.

(b) For confidential commercial information submitted on or after

January 1, 1988, the head of each Executive department or agency

shall, to the extent permitted by law, establish procedures to

permit submitters of confidential commercial information to

designate, at the time the information is submitted to the Federal

government or a reasonable time thereafter, any information the

disclosure of which the submitter claims could reasonably be

expected to cause substantial competitive harm. Such agency

procedures may provide for the expiration, after a specified period

of time or changes in circumstances, of designations of competitive

harm made by submitters. Additionally, such procedures may permit

the agency to designate specific classes of information that will

be treated by the agency as if the information had been so

designated by the submitter. The head of each Executive department

or agency shall, to the extent permitted by law, provide the

submitter notice in accordance with section 1 of this Order

whenever the department or agency determines that it may be

required to disclose records:

(i) designated pursuant to this subsection; or

(ii) the disclosure of which the department or agency has reason

to believe could reasonably be expected to cause substantial

competitive harm.

Sec. 4. When notification is made pursuant to section 1, each

agency's procedures shall, to the extent permitted by law, afford

the submitter a reasonable period of time in which the submitter or

its designee may object to the disclosure of any specified portion

of the information and to state all grounds upon which disclosure

is opposed.

Sec. 5. Each agency shall give careful consideration to all such

specified grounds for nondisclosure prior to making an

administrative determination of the issue. In all instances when

the agency determines to disclose the requested records, its

procedures shall provide that the agency give the submitter a

written statement briefly explaining why the submitter's objections

are not sustained. Such statement shall, to the extent permitted

by law, be provided a reasonable number of days prior to a

specified disclosure date.

Sec. 6. Whenever a FOIA requester brings suit seeking to compel

disclosure of confidential commercial information, each agency's

procedures shall require that the submitter be promptly notified.

Sec. 7. The designation and notification procedures required by

this Order shall be established by regulations, after notice and

public comment. If similar procedures or regulations already

exist, they should be reviewed for conformity and revised where

necessary. Existing procedures or regulations need not be modified

if they are in compliance with this Order.

Sec. 8. The notice requirements of this Order need not be

followed if:

(a) The agency determines that the information should not be

disclosed;

(b) The information has been published or has been officially

made available to the public;

(c) Disclosure of the information is required by law (other than

5 U.S.C. 552);

(d) The disclosure is required by an agency rule that (1) was

adopted pursuant to notice and public comment, (2) specifies narrow

classes of records submitted to the agency that are to be released

under the Freedom of Information Act (5 U.S.C. 552), and (3)

provides in exceptional circumstances for notice when the submitter

provides written justification, at the time the information is

submitted or a reasonable time thereafter, that disclosure of the

information could reasonably be expected to cause substantial

competitive harm;

(e) The information requested is not designated by the submitter

as exempt from disclosure in accordance with agency regulations

promulgated pursuant to section 7, when the submitter had an

opportunity to do so at the time of submission of the information

or a reasonable time thereafter, unless the agency has substantial

reason to believe that disclosure of the information would result

in competitive harm; or

(f) The designation made by the submitter in accordance with

agency regulations promulgated pursuant to section 7 appears

obviously frivolous; except that, in such case, the agency must

provide the submitter with written notice of any final

administrative disclosure determination within a reasonable number

of days prior to the specified disclosure date.

Sec. 9. Whenever an agency notifies a submitter that it may be

required to disclose information pursuant to section 1 of this

Order, the agency shall also notify the requester that notice and

an opportunity to comment are being provided the submitter.

Whenever an agency notifies a submitter of a final decision

pursuant to section 5 of this Order, the agency shall also notify

the requester.

Sec. 10. This Order is intended only to improve the internal

management of the Federal government, and is not intended to create

any right or benefit, substantive or procedural, enforceable at law

by a party against the United States, its agencies, its officers,

or any person. Ronald Reagan.

EX. ORD. NO. 13110. NAZI WAR CRIMES AND JAPANESE IMPERIAL

GOVERNMENT RECORDS INTERAGENCY WORKING GROUP

Ex. Ord. No. 13110, Jan. 11, 1999, 64 F.R. 2419, provided:

By the authority vested in me as President by the Constitution

and the laws of the United States of America, including the Nazi

War Crimes Disclosure Act (Public Law 105-246) (the ''Act'') (5

U.S.C. 552 note), it is hereby ordered as follows:

Section 1. Establishment of Working Group. There is hereby

established the Nazi War Criminal Records Interagency Working Group

(now Nazi War Crimes and Japanese Imperial Government Records

Interagency Working Group) (Working Group). The function of the

Group shall be to locate, inventory, recommend for

declassification, and make available to the public at the National

Archives and Records Administration all classified Nazi war

criminal records of the United States, subject to certain

designated exceptions as provided in the Act. The Working Group

shall coordinate with agencies and take such actions as necessary

to expedite the release of such records to the public.

Sec. 2. Schedule. The Working Group should complete its work to

the greatest extent possible and report to the Congress within 1

year.

Sec. 3. Membership. (a) The Working Group shall be composed of

the following members:

(1) Archivist of the United States (who shall serve as Chair of

the Working Group);

(2) Secretary of Defense;

(3) Attorney General;

(4) Director of Central Intelligence;

(5) Director of the Federal Bureau of Investigation;

(6) Director of the United States Holocaust Memorial Museum;

(7) Historian of the Department of State; and

(8) Three other persons appointed by the President.

(b) The Senior Director for Records and Access Management of the

National Security Council will serve as the liaison to and attend

the meetings of the Working Group. Members of the Working Group who

are full-time Federal officials may serve on the Working Group

through designees.

Sec. 4. Administration. (a) To the extent permitted by law and

subject to the availability of appropriations, the National

Archives and Records Administration shall provide the Working Group

with funding, administrative services, facilities, staff, and other

support services necessary for the performance of the functions of

the Working Group.

(b) The Working Group shall terminate 3 years from the date of

this Executive order. William J. Clinton.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 551, 552a, 552b, 566,

574, 1216, 7133 of this title; title 2 sections 472, 501, 502;

title 6 section 133; title 7 sections 12, 450i, 499f, 608d, 948,

1314g, 1314i, 1508, 1636, 1637b, 1642, 2279b, 5651, 5662, 7035,

8401; title 8 section 1182; title 10 sections 128, 130b, 130c,

1034, 1102, 1506, 2304, 2305, 2306a, 2328, 2371, 4595, 7582, 9594;

title 12 sections 1786, 1818, 1828, 1831o, 4611; title 14 section

645; title 15 sections 18a, 57b-2, 78m, 78o-5, 78q, 78w, 78x,

78dd-1, 78dd-2, 79z-5c, 80a-30, 80b-10a, 278n, 638, 719d, 773, 796,

1314, 1335a, 2055, 2217, 2613, 3364, 3710a, 4019, 4104, 4107, 4305,

4403, 4606, 4912, 5104, 5308, 7006, 7215, 7306; title 16 sections

973j, 1402, 3844, 4304, 5937; title 18 sections 207, 208, 1838;

title 19 sections 1333, 1431, 1509, 1625, 1677f, 2418, 3315; title

20 sections 1078, 1087-2, 9576, 9622; title 21 sections 350c, 350d,

355a, 360c, 360j, 379, 379f, 830, 1904, 1908; title 22 sections

2200a, 3902, 4355, 4415, 4604, 4607, 4833, 5841, 6713, 6744; title

25 sections 450c, 450k, 1951, 2716; title 26 sections 6103, 6110,

7611, 7803; title 28 sections 594, 1657; title 29 sections 1310,

1343, 2635; title 30 section 1604; title 31 sections 716, 1352,

3729, 3733, 5319; title 33 sections 524, 941, 1513; title 35

sections 202, 209; title 38 sections 501, 502, 7451; title 39

sections 410, 3016; title 41 sections 253, 253b, 254b, 423, 706;

title 42 sections 262a, 263b, 300i-2, 300v-2, 300aa-25, 300hh-12,

405, 1306, 1314, 1320c-9, 2167, 2168, 2454, 2996d, 4332, 5916,

5919, 6272-6274, 7135, 7412, 8103, 9122, 9208, 9660, 10704, 13385;

title 44 sections 2201, 2204, 2206, 3501, 3504, 3505, 3506, 3538,

3549; title 46 sections 4309, 6305, 7702, 9303; title 46 App.

section 1705; title 49 sections 106, 114, 706, 10706, 10709, 11162,

14123, 40110, 44921; title 50 sections 403-5c, 403-5e, 431; title

50 App. sections 463, 2158, 2159, 2170, 2406, 2411.

-CITE-

5 USC Sec. 552a 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 552a. Records maintained on individuals

-STATUTE-

(a) Definitions. - For purposes of this section -

(1) the term ''agency'' means agency as defined in section

552(e) (FOOTNOTE 1) of this title;

(FOOTNOTE 1) See References in Text note below.

(2) the term ''individual'' means a citizen of the United

States or an alien lawfully admitted for permanent residence;

(3) the term ''maintain'' includes maintain, collect, use, or

disseminate;

(4) the term ''record'' means any item, collection, or grouping

of information about an individual that is maintained by an

agency, including, but not limited to, his education, financial

transactions, medical history, and criminal or employment history

and that contains his name, or the identifying number, symbol, or

other identifying particular assigned to the individual, such as

a finger or voice print or a photograph;

(5) the term ''system of records'' means a group of any records

under the control of any agency from which information is

retrieved by the name of the individual or by some identifying

number, symbol, or other identifying particular assigned to the

individual;

(6) the term ''statistical record'' means a record in a system

of records maintained for statistical research or reporting

purposes only and not used in whole or in part in making any

determination about an identifiable individual, except as

provided by section 8 of title 13;

(7) the term ''routine use'' means, with respect to the

disclosure of a record, the use of such record for a purpose

which is compatible with the purpose for which it was collected;

(8) the term ''matching program'' -

(A) means any computerized comparison of -

(i) two or more automated systems of records or a system of

records with non-Federal records for the purpose of -

(I) establishing or verifying the eligibility of, or

continuing compliance with statutory and regulatory

requirements by, applicants for, recipients or

beneficiaries of, participants in, or providers of services

with respect to, cash or in-kind assistance or payments

under Federal benefit programs, or

(II) recouping payments or delinquent debts under such

Federal benefit programs, or

(ii) two or more automated Federal personnel or payroll

systems of records or a system of Federal personnel or

payroll records with non-Federal records,

(B) but does not include -

(i) matches performed to produce aggregate statistical data

without any personal identifiers;

(ii) matches performed to support any research or

statistical project, the specific data of which may not be

used to make decisions concerning the rights, benefits, or

privileges of specific individuals;

(iii) matches performed, by an agency (or component

thereof) which performs as its principal function any

activity pertaining to the enforcement of criminal laws,

subsequent to the initiation of a specific criminal or civil

law enforcement investigation of a named person or persons

for the purpose of gathering evidence against such person or

persons;

(iv) matches of tax information (I) pursuant to section

6103(d) of the Internal Revenue Code of 1986, (II) for

purposes of tax administration as defined in section

6103(b)(4) of such Code, (III) for the purpose of

intercepting a tax refund due an individual under authority

granted by section 404(e), 464, or 1137 of the Social

Security Act; or (IV) for the purpose of intercepting a tax

refund due an individual under any other tax refund intercept

program authorized by statute which has been determined by

the Director of the Office of Management and Budget to

contain verification, notice, and hearing requirements that

are substantially similar to the procedures in section 1137

of the Social Security Act;

(v) matches -

(I) using records predominantly relating to Federal

personnel, that are performed for routine administrative

purposes (subject to guidance provided by the Director of

the Office of Management and Budget pursuant to subsection

(v)); or

(II) conducted by an agency using only records from

systems of records maintained by that agency;

if the purpose of the match is not to take any adverse

financial, personnel, disciplinary, or other adverse action

against Federal personnel;

(vi) matches performed for foreign counterintelligence

purposes or to produce background checks for security

clearances of Federal personnel or Federal contractor

personnel;

(vii) matches performed incident to a levy described in

section 6103(k)(8) of the Internal Revenue Code of 1986; or

(viii) matches performed pursuant to section 202(x)(3) or

1611(e)(1) of the Social Security Act (42 U.S.C. 402(x)(3),

1382(e)(1));

(9) the term ''recipient agency'' means any agency, or

contractor thereof, receiving records contained in a system of

records from a source agency for use in a matching program;

(10) the term ''non-Federal agency'' means any State or local

government, or agency thereof, which receives records contained

in a system of records from a source agency for use in a matching

program;

(11) the term ''source agency'' means any agency which

discloses records contained in a system of records to be used in

a matching program, or any State or local government, or agency

thereof, which discloses records to be used in a matching

program;

(12) the term ''Federal benefit program'' means any program

administered or funded by the Federal Government, or by any agent

or State on behalf of the Federal Government, providing cash or

in-kind assistance in the form of payments, grants, loans, or

loan guarantees to individuals; and

(13) the term ''Federal personnel'' means officers and

employees of the Government of the United States, members of the

uniformed services (including members of the Reserve Components),

individuals entitled to receive immediate or deferred retirement

benefits under any retirement program of the Government of the

United States (including survivor benefits).

(b) Conditions of Disclosure. - No agency shall disclose any

record which is contained in a system of records by any means of

communication to any person, or to another agency, except pursuant

to a written request by, or with the prior written consent of, the

individual to whom the record pertains, unless disclosure of the

record would be -

(1) to those officers and employees of the agency which

maintains the record who have a need for the record in the

performance of their duties;

(2) required under section 552 of this title;

(3) for a routine use as defined in subsection (a)(7) of this

section and described under subsection (e)(4)(D) of this section;

(4) to the Bureau of the Census for purposes of planning or

carrying out a census or survey or related activity pursuant to

the provisions of title 13;

(5) to a recipient who has provided the agency with advance

adequate written assurance that the record will be used solely as

a statistical research or reporting record, and the record is to

be transferred in a form that is not individually identifiable;

(6) to the National Archives and Records Administration as a

record which has sufficient historical or other value to warrant

its continued preservation by the United States Government, or

for evaluation by the Archivist of the United States or the

designee of the Archivist to determine whether the record has

such value;

(7) to another agency or to an instrumentality of any

governmental jurisdiction within or under the control of the

United States for a civil or criminal law enforcement activity if

the activity is authorized by law, and if the head of the agency

or instrumentality has made a written request to the agency which

maintains the record specifying the particular portion desired

and the law enforcement activity for which the record is sought;

(8) to a person pursuant to a showing of compelling

circumstances affecting the health or safety of an individual if

upon such disclosure notification is transmitted to the last

known address of such individual;

(9) to either House of Congress, or, to the extent of matter

within its jurisdiction, any committee or subcommittee thereof,

any joint committee of Congress or subcommittee of any such joint

committee;

(10) to the Comptroller General, or any of his authorized

representatives, in the course of the performance of the duties

of the General Accounting Office;

(11) pursuant to the order of a court of competent

jurisdiction; or

(12) to a consumer reporting agency in accordance with section

3711(e) of title 31.

(c) Accounting of Certain Disclosures. - Each agency, with

respect to each system of records under its control, shall -

(1) except for disclosures made under subsections (b)(1) or

(b)(2) of this section, keep an accurate accounting of -

(A) the date, nature, and purpose of each disclosure of a

record to any person or to another agency made under subsection

(b) of this section; and

(B) the name and address of the person or agency to whom the

disclosure is made;

(2) retain the accounting made under paragraph (1) of this

subsection for at least five years or the life of the record,

whichever is longer, after the disclosure for which the

accounting is made;

(3) except for disclosures made under subsection (b)(7) of this

section, make the accounting made under paragraph (1) of this

subsection available to the individual named in the record at his

request; and

(4) inform any person or other agency about any correction or

notation of dispute made by the agency in accordance with

subsection (d) of this section of any record that has been

disclosed to the person or agency if an accounting of the

disclosure was made.

(d) Access to Records. - Each agency that maintains a system of

records shall -

(1) upon request by any individual to gain access to his record

or to any information pertaining to him which is contained in the

system, permit him and upon his request, a person of his own

choosing to accompany him, to review the record and have a copy

made of all or any portion thereof in a form comprehensible to

him, except that the agency may require the individual to furnish

a written statement authorizing discussion of that individual's

record in the accompanying person's presence;

(2) permit the individual to request amendment of a record

pertaining to him and -

(A) not later than 10 days (excluding Saturdays, Sundays, and

legal public holidays) after the date of receipt of such

request, acknowledge in writing such receipt; and

(B) promptly, either -

(i) make any correction of any portion thereof which the

individual believes is not accurate, relevant, timely, or

complete; or

(ii) inform the individual of its refusal to amend the

record in accordance with his request, the reason for the

refusal, the procedures established by the agency for the

individual to request a review of that refusal by the head of

the agency or an officer designated by the head of the

agency, and the name and business address of that official;

(3) permit the individual who disagrees with the refusal of the

agency to amend his record to request a review of such refusal,

and not later than 30 days (excluding Saturdays, Sundays, and

legal public holidays) from the date on which the individual

requests such review, complete such review and make a final

determination unless, for good cause shown, the head of the

agency extends such 30-day period; and if, after his review, the

reviewing official also refuses to amend the record in accordance

with the request, permit the individual to file with the agency a

concise statement setting forth the reasons for his disagreement

with the refusal of the agency, and notify the individual of the

provisions for judicial review of the reviewing official's

determination under subsection (g)(1)(A) of this section;

(4) in any disclosure, containing information about which the

individual has filed a statement of disagreement, occurring after

the filing of the statement under paragraph (3) of this

subsection, clearly note any portion of the record which is

disputed and provide copies of the statement and, if the agency

deems it appropriate, copies of a concise statement of the

reasons of the agency for not making the amendments requested, to

persons or other agencies to whom the disputed record has been

disclosed; and

(5) nothing in this section shall allow an individual access to

any information compiled in reasonable anticipation of a civil

action or proceeding.

(e) Agency Requirements. - Each agency that maintains a system of

records shall -

(1) maintain in its records only such information about an

individual as is relevant and necessary to accomplish a purpose

of the agency required to be accomplished by statute or by

executive order of the President;

(2) collect information to the greatest extent practicable

directly from the subject individual when the information may

result in adverse determinations about an individual's rights,

benefits, and privileges under Federal programs;

(3) inform each individual whom it asks to supply information,

on the form which it uses to collect the information or on a

separate form that can be retained by the individual -

(A) the authority (whether granted by statute, or by

executive order of the President) which authorizes the

solicitation of the information and whether disclosure of such

information is mandatory or voluntary;

(B) the principal purpose or purposes for which the

information is intended to be used;

(C) the routine uses which may be made of the information, as

published pursuant to paragraph (4)(D) of this subsection; and

(D) the effects on him, if any, of not providing all or any

part of the requested information;

(4) subject to the provisions of paragraph (11) of this

subsection, publish in the Federal Register upon establishment or

revision a notice of the existence and character of the system of

records, which notice shall include -

(A) the name and location of the system;

(B) the categories of individuals on whom records are

maintained in the system;

(C) the categories of records maintained in the system;

(D) each routine use of the records contained in the system,

including the categories of users and the purpose of such use;

(E) the policies and practices of the agency regarding

storage, retrievability, access controls, retention, and

disposal of the records;

(F) the title and business address of the agency official who

is responsible for the system of records;

(G) the agency procedures whereby an individual can be

notified at his request if the system of records contains a

record pertaining to him;

(H) the agency procedures whereby an individual can be

notified at his request how he can gain access to any record

pertaining to him contained in the system of records, and how

he can contest its content; and

(I) the categories of sources of records in the system;

(5) maintain all records which are used by the agency in making

any determination about any individual with such accuracy,

relevance, timeliness, and completeness as is reasonably

necessary to assure fairness to the individual in the

determination;

(6) prior to disseminating any record about an individual to

any person other than an agency, unless the dissemination is made

pursuant to subsection (b)(2) of this section, make reasonable

efforts to assure that such records are accurate, complete,

timely, and relevant for agency purposes;

(7) maintain no record describing how any individual exercises

rights guaranteed by the First Amendment unless expressly

authorized by statute or by the individual about whom the record

is maintained or unless pertinent to and within the scope of an

authorized law enforcement activity;

(8) make reasonable efforts to serve notice on an individual

when any record on such individual is made available to any

person under compulsory legal process when such process becomes a

matter of public record;

(9) establish rules of conduct for persons involved in the

design, development, operation, or maintenance of any system of

records, or in maintaining any record, and instruct each such

person with respect to such rules and the requirements of this

section, including any other rules and procedures adopted

pursuant to this section and the penalties for noncompliance;

(10) establish appropriate administrative, technical, and

physical safeguards to insure the security and confidentiality of

records and to protect against any anticipated threats or hazards

to their security or integrity which could result in substantial

harm, embarrassment, inconvenience, or unfairness to any

individual on whom information is maintained;

(11) at least 30 days prior to publication of information under

paragraph (4)(D) of this subsection, publish in the Federal

Register notice of any new use or intended use of the information

in the system, and provide an opportunity for interested persons

to submit written data, views, or arguments to the agency; and

(12) if such agency is a recipient agency or a source agency in

a matching program with a non-Federal agency, with respect to any

establishment or revision of a matching program, at least 30 days

prior to conducting such program, publish in the Federal Register

notice of such establishment or revision.

(f) Agency Rules. - In order to carry out the provisions of this

section, each agency that maintains a system of records shall

promulgate rules, in accordance with the requirements (including

general notice) of section 553 of this title, which shall -

(1) establish procedures whereby an individual can be notified

in response to his request if any system of records named by the

individual contains a record pertaining to him;

(2) define reasonable times, places, and requirements for

identifying an individual who requests his record or information

pertaining to him before the agency shall make the record or

information available to the individual;

(3) establish procedures for the disclosure to an individual

upon his request of his record or information pertaining to him,

including special procedure, if deemed necessary, for the

disclosure to an individual of medical records, including

psychological records, pertaining to him;

(4) establish procedures for reviewing a request from an

individual concerning the amendment of any record or information

pertaining to the individual, for making a determination on the

request, for an appeal within the agency of an initial adverse

agency determination, and for whatever additional means may be

necessary for each individual to be able to exercise fully his

rights under this section; and

(5) establish fees to be charged, if any, to any individual for

making copies of his record, excluding the cost of any search for

and review of the record.

The Office of the Federal Register shall biennially compile and

publish the rules promulgated under this subsection and agency

notices published under subsection (e)(4) of this section in a form

available to the public at low cost.

(g)(1) Civil Remedies. - Whenever any agency

(A) makes a determination under subsection (d)(3) of this

section not to amend an individual's record in accordance with

his request, or fails to make such review in conformity with that

subsection;

(B) refuses to comply with an individual request under

subsection (d)(1) of this section;

(C) fails to maintain any record concerning any individual with

such accuracy, relevance, timeliness, and completeness as is

necessary to assure fairness in any determination relating to the

qualifications, character, rights, or opportunities of, or

benefits to the individual that may be made on the basis of such

record, and consequently a determination is made which is adverse

to the individual; or

(D) fails to comply with any other provision of this section,

or any rule promulgated thereunder, in such a way as to have an

adverse effect on an individual,

the individual may bring a civil action against the agency, and the

district courts of the United States shall have jurisdiction in the

matters under the provisions of this subsection.

(2)(A) In any suit brought under the provisions of subsection

(g)(1)(A) of this section, the court may order the agency to amend

the individual's record in accordance with his request or in such

other way as the court may direct. In such a case the court shall

determine the matter de novo.

(B) The court may assess against the United States reasonable

attorney fees and other litigation costs reasonably incurred in any

case under this paragraph in which the complainant has

substantially prevailed.

(3)(A) In any suit brought under the provisions of subsection

(g)(1)(B) of this section, the court may enjoin the agency from

withholding the records and order the production to the complainant

of any agency records improperly withheld from him. In such a case

the court shall determine the matter de novo, and may examine the

contents of any agency records in camera to determine whether the

records or any portion thereof may be withheld under any of the

exemptions set forth in subsection (k) of this section, and the

burden is on the agency to sustain its action.

(B) The court may assess against the United States reasonable

attorney fees and other litigation costs reasonably incurred in any

case under this paragraph in which the complainant has

substantially prevailed.

(4) In any suit brought under the provisions of subsection

(g)(1)(C) or (D) of this section in which the court determines that

the agency acted in a manner which was intentional or willful, the

United States shall be liable to the individual in an amount equal

to the sum of -

(A) actual damages sustained by the individual as a result of

the refusal or failure, but in no case shall a person entitled to

recovery receive less than the sum of $1,000; and

(B) the costs of the action together with reasonable attorney

fees as determined by the court.

(5) An action to enforce any liability created under this section

may be brought in the district court of the United States in the

district in which the complainant resides, or has his principal

place of business, or in which the agency records are situated, or

in the District of Columbia, without regard to the amount in

controversy, within two years from the date on which the cause of

action arises, except that where an agency has materially and

willfully misrepresented any information required under this

section to be disclosed to an individual and the information so

misrepresented is material to establishment of the liability of the

agency to the individual under this section, the action may be

brought at any time within two years after discovery by the

individual of the misrepresentation. Nothing in this section shall

be construed to authorize any civil action by reason of any injury

sustained as the result of a disclosure of a record prior to

September 27, 1975.

(h) Rights of Legal Guardians. - For the purposes of this

section, the parent of any minor, or the legal guardian of any

individual who has been declared to be incompetent due to physical

or mental incapacity or age by a court of competent jurisdiction,

may act on behalf of the individual.

(i)(1) Criminal Penalties. - Any officer or employee of an

agency, who by virtue of his employment or official position, has

possession of, or access to, agency records which contain

individually identifiable information the disclosure of which is

prohibited by this section or by rules or regulations established

thereunder, and who knowing that disclosure of the specific

material is so prohibited, willfully discloses the material in any

manner to any person or agency not entitled to receive it, shall be

guilty of a misdemeanor and fined not more than $5,000.

(2) Any officer or employee of any agency who willfully maintains

a system of records without meeting the notice requirements of

subsection (e)(4) of this section shall be guilty of a misdemeanor

and fined not more than $5,000.

(3) Any person who knowingly and willfully requests or obtains

any record concerning an individual from an agency under false

pretenses shall be guilty of a misdemeanor and fined not more than

$5,000.

(j) General Exemptions. - The head of any agency may promulgate

rules, in accordance with the requirements (including general

notice) of sections 553(b)(1), (2), and (3), (c), and (e) of this

title, to exempt any system of records within the agency from any

part of this section except subsections (b), (c)(1) and (2),

(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) if

the system of records is -

(1) maintained by the Central Intelligence Agency; or

(2) maintained by an agency or component thereof which performs

as its principal function any activity pertaining to the

enforcement of criminal laws, including police efforts to

prevent, control, or reduce crime or to apprehend criminals, and

the activities of prosecutors, courts, correctional, probation,

pardon, or parole authorities, and which consists of (A)

information compiled for the purpose of identifying individual

criminal offenders and alleged offenders and consisting only of

identifying data and notations of arrests, the nature and

disposition of criminal charges, sentencing, confinement,

release, and parole and probation status; (B) information

compiled for the purpose of a criminal investigation, including

reports of informants and investigators, and associated with an

identifiable individual; or (C) reports identifiable to an

individual compiled at any stage of the process of enforcement of

the criminal laws from arrest or indictment through release from

supervision.

At the time rules are adopted under this subsection, the agency

shall include in the statement required under section 553(c) of

this title, the reasons why the system of records is to be exempted

from a provision of this section.

(k) Specific Exemptions. - The head of any agency may promulgate

rules, in accordance with the requirements (including general

notice) of sections 553(b)(1), (2), and (3), (c), and (e) of this

title, to exempt any system of records within the agency from

subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of

this section if the system of records is -

(1) subject to the provisions of section 552(b)(1) of this

title;

(2) investigatory material compiled for law enforcement

purposes, other than material within the scope of subsection

(j)(2) of this section: Provided, however, That if any individual

is denied any right, privilege, or benefit that he would

otherwise be entitled by Federal law, or for which he would

otherwise be eligible, as a result of the maintenance of such

material, such material shall be provided to such individual,

except to the extent that the disclosure of such material would

reveal the identity of a source who furnished information to the

Government under an express promise that the identity of the

source would be held in confidence, or, prior to the effective

date of this section, under an implied promise that the identity

of the source would be held in confidence;

(3) maintained in connection with providing protective services

to the President of the United States or other individuals

pursuant to section 3056 of title 18;

(4) required by statute to be maintained and used solely as

statistical records;

(5) investigatory material compiled solely for the purpose of

determining suitability, eligibility, or qualifications for

Federal civilian employment, military service, Federal contracts,

or access to classified information, but only to the extent that

the disclosure of such material would reveal the identity of a

source who furnished information to the Government under an

express promise that the identity of the source would be held in

confidence, or, prior to the effective date of this section,

under an implied promise that the identity of the source would be

held in confidence;

(6) testing or examination material used solely to determine

individual qualifications for appointment or promotion in the

Federal service the disclosure of which would compromise the

objectivity or fairness of the testing or examination process; or

(7) evaluation material used to determine potential for

promotion in the armed services, but only to the extent that the

disclosure of such material would reveal the identity of a source

who furnished information to the Government under an express

promise that the identity of the source would be held in

confidence, or, prior to the effective date of this section,

under an implied promise that the identity of the source would be

held in confidence.

At the time rules are adopted under this subsection, the agency

shall include in the statement required under section 553(c) of

this title, the reasons why the system of records is to be exempted

from a provision of this section.

(l)(1) Archival Records. - Each agency record which is accepted

by the Archivist of the United States for storage, processing, and

servicing in accordance with section 3103 of title 44 shall, for

the purposes of this section, be considered to be maintained by the

agency which deposited the record and shall be subject to the

provisions of this section. The Archivist of the United States

shall not disclose the record except to the agency which maintains

the record, or under rules established by that agency which are not

inconsistent with the provisions of this section.

(2) Each agency record pertaining to an identifiable individual

which was transferred to the National Archives of the United States

as a record which has sufficient historical or other value to

warrant its continued preservation by the United States Government,

prior to the effective date of this section, shall, for the

purposes of this section, be considered to be maintained by the

National Archives and shall not be subject to the provisions of

this section, except that a statement generally describing such

records (modeled after the requirements relating to records subject

to subsections (e)(4)(A) through (G) of this section) shall be

published in the Federal Register.

(3) Each agency record pertaining to an identifiable individual

which is transferred to the National Archives of the United States

as a record which has sufficient historical or other value to

warrant its continued preservation by the United States Government,

on or after the effective date of this section, shall, for the

purposes of this section, be considered to be maintained by the

National Archives and shall be exempt from the requirements of this

section except subsections (e)(4)(A) through (G) and (e)(9) of this

section.

(m)(1) Government Contractors. - When an agency provides by a

contract for the operation by or on behalf of the agency of a

system of records to accomplish an agency function, the agency

shall, consistent with its authority, cause the requirements of

this section to be applied to such system. For purposes of

subsection (i) of this section any such contractor and any employee

of such contractor, if such contract is agreed to on or after the

effective date of this section, shall be considered to be an

employee of an agency.

(2) A consumer reporting agency to which a record is disclosed

under section 3711(e) of title 31 shall not be considered a

contractor for the purposes of this section.

(n) Mailing Lists. - An individual's name and address may not be

sold or rented by an agency unless such action is specifically

authorized by law. This provision shall not be construed to

require the withholding of names and addresses otherwise permitted

to be made public.

(o) Matching Agreements. - (1) No record which is contained in a

system of records may be disclosed to a recipient agency or

non-Federal agency for use in a computer matching program except

pursuant to a written agreement between the source agency and the

recipient agency or non-Federal agency specifying -

(A) the purpose and legal authority for conducting the program;

(B) the justification for the program and the anticipated

results, including a specific estimate of any savings;

(C) a description of the records that will be matched,

including each data element that will be used, the approximate

number of records that will be matched, and the projected

starting and completion dates of the matching program;

(D) procedures for providing individualized notice at the time

of application, and notice periodically thereafter as directed by

the Data Integrity Board of such agency (subject to guidance

provided by the Director of the Office of Management and Budget

pursuant to subsection (v)), to -

(i) applicants for and recipients of financial assistance or

payments under Federal benefit programs, and

(ii) applicants for and holders of positions as Federal

personnel,

that any information provided by such applicants, recipients,

holders, and individuals may be subject to verification through

matching programs;

(E) procedures for verifying information produced in such

matching program as required by subsection (p);

(F) procedures for the retention and timely destruction of

identifiable records created by a recipient agency or non-Federal

agency in such matching program;

(G) procedures for ensuring the administrative, technical, and

physical security of the records matched and the results of such

programs;

(H) prohibitions on duplication and redisclosure of records

provided by the source agency within or outside the recipient

agency or the non-Federal agency, except where required by law or

essential to the conduct of the matching program;

(I) procedures governing the use by a recipient agency or

non-Federal agency of records provided in a matching program by a

source agency, including procedures governing return of the

records to the source agency or destruction of records used in

such program;

(J) information on assessments that have been made on the

accuracy of the records that will be used in such matching

program; and

(K) that the Comptroller General may have access to all records

of a recipient agency or a non-Federal agency that the

Comptroller General deems necessary in order to monitor or verify

compliance with the agreement.

(2)(A) A copy of each agreement entered into pursuant to

paragraph (1) shall -

(i) be transmitted to the Committee on Governmental Affairs of

the Senate and the Committee on Government Operations of the

House of Representatives; and

(ii) be available upon request to the public.

(B) No such agreement shall be effective until 30 days after the

date on which such a copy is transmitted pursuant to subparagraph

(A)(i).

(C) Such an agreement shall remain in effect only for such

period, not to exceed 18 months, as the Data Integrity Board of the

agency determines is appropriate in light of the purposes, and

length of time necessary for the conduct, of the matching program.

(D) Within 3 months prior to the expiration of such an agreement

pursuant to subparagraph (C), the Data Integrity Board of the

agency may, without additional review, renew the matching agreement

for a current, ongoing matching program for not more than one

additional year if -

(i) such program will be conducted without any change; and

(ii) each party to the agreement certifies to the Board in

writing that the program has been conducted in compliance with

the agreement.

(p) Verification and Opportunity to Contest Findings. - (1) In

order to protect any individual whose records are used in a

matching program, no recipient agency, non-Federal agency, or

source agency may suspend, terminate, reduce, or make a final

denial of any financial assistance or payment under a Federal

benefit program to such individual, or take other adverse action

against such individual, as a result of information produced by

such matching program, until -

(A)(i) the agency has independently verified the information;

or

(ii) the Data Integrity Board of the agency, or in the case of

a non-Federal agency the Data Integrity Board of the source

agency, determines in accordance with guidance issued by the

Director of the Office of Management and Budget that -

(I) the information is limited to identification and amount

of benefits paid by the source agency under a Federal benefit

program; and

(II) there is a high degree of confidence that the

information provided to the recipient agency is accurate;

(B) the individual receives a notice from the agency containing

a statement of its findings and informing the individual of the

opportunity to contest such findings; and

(C)(i) the expiration of any time period established for the

program by statute or regulation for the individual to respond to

that notice; or

(ii) in the case of a program for which no such period is

established, the end of the 30-day period beginning on the date

on which notice under subparagraph (B) is mailed or otherwise

provided to the individual.

(2) Independent verification referred to in paragraph (1)

requires investigation and confirmation of specific information

relating to an individual that is used as a basis for an adverse

action against the individual, including where applicable

investigation and confirmation of -

(A) the amount of any asset or income involved;

(B) whether such individual actually has or had access to such

asset or income for such individual's own use; and

(C) the period or periods when the individual actually had such

asset or income.

(3) Notwithstanding paragraph (1), an agency may take any

appropriate action otherwise prohibited by such paragraph if the

agency determines that the public health or public safety may be

adversely affected or significantly threatened during any notice

period required by such paragraph.

(q) Sanctions. - (1) Notwithstanding any other provision of law,

no source agency may disclose any record which is contained in a

system of records to a recipient agency or non-Federal agency for a

matching program if such source agency has reason to believe that

the requirements of subsection (p), or any matching agreement

entered into pursuant to subsection (o), or both, are not being met

by such recipient agency.

(2) No source agency may renew a matching agreement unless -

(A) the recipient agency or non-Federal agency has certified

that it has complied with the provisions of that agreement; and

(B) the source agency has no reason to believe that the

certification is inaccurate.

(r) Report on New Systems and Matching Programs. - Each agency

that proposes to establish or make a significant change in a system

of records or a matching program shall provide adequate advance

notice of any such proposal (in duplicate) to the Committee on

Government Operations of the House of Representatives, the

Committee on Governmental Affairs of the Senate, and the Office of

Management and Budget in order to permit an evaluation of the

probable or potential effect of such proposal on the privacy or

other rights of individuals.

(s) Biennial Report. - The President shall biennially submit to

the Speaker of the House of Representatives and the President pro

tempore of the Senate a report -

(1) describing the actions of the Director of the Office of

Management and Budget pursuant to section 6 of the Privacy Act of

1974 during the preceding 2 years;

(2) describing the exercise of individual rights of access and

amendment under this section during such years;

(3) identifying changes in or additions to systems of records;

(4) containing such other information concerning administration

of this section as may be necessary or useful to the Congress in

reviewing the effectiveness of this section in carrying out the

purposes of the Privacy Act of 1974.

(t)(1) Effect of Other Laws. - No agency shall rely on any

exemption contained in section 552 of this title to withhold from

an individual any record which is otherwise accessible to such

individual under the provisions of this section.

(2) No agency shall rely on any exemption in this section to

withhold from an individual any record which is otherwise

accessible to such individual under the provisions of section 552

of this title.

(u) Data Integrity Boards. - (1) Every agency conducting or

participating in a matching program shall establish a Data

Integrity Board to oversee and coordinate among the various

components of such agency the agency's implementation of this

section.

(2) Each Data Integrity Board shall consist of senior officials

designated by the head of the agency, and shall include any senior

official designated by the head of the agency as responsible for

implementation of this section, and the inspector general of the

agency, if any. The inspector general shall not serve as chairman

of the Data Integrity Board.

(3) Each Data Integrity Board -

(A) shall review, approve, and maintain all written agreements

for receipt or disclosure of agency records for matching programs

to ensure compliance with subsection (o), and all relevant

statutes, regulations, and guidelines;

(B) shall review all matching programs in which the agency has

participated during the year, either as a source agency or

recipient agency, determine compliance with applicable laws,

regulations, guidelines, and agency agreements, and assess the

costs and benefits of such programs;

(C) shall review all recurring matching programs in which the

agency has participated during the year, either as a source

agency or recipient agency, for continued justification for such

disclosures;

(D) shall compile an annual report, which shall be submitted to

the head of the agency and the Office of Management and Budget

and made available to the public on request, describing the

matching activities of the agency, including -

(i) matching programs in which the agency has participated as

a source agency or recipient agency;

(ii) matching agreements proposed under subsection (o) that

were disapproved by the Board;

(iii) any changes in membership or structure of the Board in

the preceding year;

(iv) the reasons for any waiver of the requirement in

paragraph (4) of this section for completion and submission of

a cost-benefit analysis prior to the approval of a matching

program;

(v) any violations of matching agreements that have been

alleged or identified and any corrective action taken; and

(vi) any other information required by the Director of the

Office of Management and Budget to be included in such report;

(E) shall serve as a clearinghouse for receiving and providing

information on the accuracy, completeness, and reliability of

records used in matching programs;

(F) shall provide interpretation and guidance to agency

components and personnel on the requirements of this section for

matching programs;

(G) shall review agency recordkeeping and disposal policies and

practices for matching programs to assure compliance with this

section; and

(H) may review and report on any agency matching activities

that are not matching programs.

(4)(A) Except as provided in subparagraphs (B) and (C), a Data

Integrity Board shall not approve any written agreement for a

matching program unless the agency has completed and submitted to

such Board a cost-benefit analysis of the proposed program and such

analysis demonstrates that the program is likely to be cost

effective. (FOOTNOTE 2)

(FOOTNOTE 2) So in original. Probably should be

''cost-effective.''

(B) The Board may waive the requirements of subparagraph (A) of

this paragraph if it determines in writing, in accordance with

guidelines prescribed by the Director of the Office of Management

and Budget, that a cost-benefit analysis is not required.

(C) A cost-benefit analysis shall not be required under

subparagraph (A) prior to the initial approval of a written

agreement for a matching program that is specifically required by

statute. Any subsequent written agreement for such a program shall

not be approved by the Data Integrity Board unless the agency has

submitted a cost-benefit analysis of the program as conducted under

the preceding approval of such agreement.

(5)(A) If a matching agreement is disapproved by a Data Integrity

Board, any party to such agreement may appeal the disapproval to

the Director of the Office of Management and Budget. Timely notice

of the filing of such an appeal shall be provided by the Director

of the Office of Management and Budget to the Committee on

Governmental Affairs of the Senate and the Committee on Government

Operations of the House of Representatives.

(B) The Director of the Office of Management and Budget may

approve a matching agreement notwithstanding the disapproval of a

Data Integrity Board if the Director determines that -

(i) the matching program will be consistent with all applicable

legal, regulatory, and policy requirements;

(ii) there is adequate evidence that the matching agreement

will be cost-effective; and

(iii) the matching program is in the public interest.

(C) The decision of the Director to approve a matching agreement

shall not take effect until 30 days after it is reported to

committees described in subparagraph (A).

(D) If the Data Integrity Board and the Director of the Office of

Management and Budget disapprove a matching program proposed by the

inspector general of an agency, the inspector general may report

the disapproval to the head of the agency and to the Congress.

(6) In the reports required by paragraph (3)(D), agency matching

activities that are not matching programs may be reported on an

aggregate basis, if and to the extent necessary to protect ongoing

law enforcement or counterintelligence investigations.

(v) Office of Management and Budget Responsibilities. - The

Director of the Office of Management and Budget shall -

(1) develop and, after notice and opportunity for public

comment, prescribe guidelines and regulations for the use of

agencies in implementing the provisions of this section; and

(2) provide continuing assistance to and oversight of the

implementation of this section by agencies.

-SOURCE-

(Added Pub. L. 93-579, Sec. 3, Dec. 31, 1974, 88 Stat. 1897;

amended Pub. L. 94-183, Sec. 2(2), Dec. 31, 1975, 89 Stat. 1057;

Pub. L. 97-365, Sec. 2, Oct. 25, 1982, 96 Stat. 1749; Pub. L.

97-375, title II, Sec. 201(a), (b), Dec. 21, 1982, 96 Stat. 1821;

Pub. L. 97-452, Sec. 2(a)(1), Jan. 12, 1983, 96 Stat. 2478; Pub. L.

98-477, Sec. 2(c), Oct. 15, 1984, 98 Stat. 2211; Pub. L. 98-497,

title I, Sec. 107(g), Oct. 19, 1984, 98 Stat. 2292; Pub. L.

100-503, Sec. 2-6(a), 7, 8, Oct. 18, 1988, 102 Stat. 2507-2514;

Pub. L. 101-508, title VII, Sec. 7201(b)(1), Nov. 5, 1990, 104

Stat. 1388-334; Pub. L. 103-66, title XIII, Sec. 13581(c), Aug. 10,

1993, 107 Stat. 611; Pub. L. 104-193, title I, Sec. 110(w), Aug.

22, 1996, 110 Stat. 2175; Pub. L. 104-226, Sec. 1(b)(3), Oct. 2,

1996, 110 Stat. 3033; Pub. L. 104-316, title I, Sec. 115(g)(2)(B),

Oct. 19, 1996, 110 Stat. 3835; Pub. L. 105-34, title X, Sec.

1026(b)(2), Aug. 5, 1997, 111 Stat. 925; Pub. L. 105-362, title

XIII, Sec. 1301(d), Nov. 10, 1998, 112 Stat. 3293; Pub. L. 106-170,

title IV, Sec. 402(a)(2), Dec. 17, 1999, 113 Stat. 1908.)

-REFTEXT-

REFERENCES IN TEXT

Section 552(e) of this title, referred to in subsec. (a)(1), was

redesignated section 552(f) of this title by section 1802(b) of

Pub. L. 99-570.

Section 6103 of the Internal Revenue Code of 1986, referred to in

subsec. (a)(8)(B)(iv), (vii), is classified to section 6103 of

Title 26, Internal Revenue Code.

Sections 404, 464, and 1137 of the Social Security Act, referred

to in subsec. (a)(8)(B)(iv), are classified to sections 604, 664,

and 1320b-7, respectively, of Title 42, The Public Health and

Welfare.

For effective date of this section, referred to in subsecs.

(k)(2), (5), (7), (l)(2), (3), and (m), see Effective Date note

below.

Section 6 of the Privacy Act of 1974, referred to in subsec.

(s)(1), is section 6 of Pub. L. 93-579, which was set out below and

was repealed by section 6(c) of Pub. L. 100-503.

For classification of the Privacy Act of 1974, referred to in

subsec. (s)(4), see Short Title note below.

-COD-

CODIFICATION

Section 552a of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2244

of Title 7, Agriculture.

-MISC3-

AMENDMENTS

1999 - Subsec. (a)(8)(B)(viii). Pub. L. 106-170 added cl. (viii).

1998 - Subsec. (u)(6), (7). Pub. L. 105-362 redesignated par. (7)

as (6), substituted ''paragraph (3)(D)'' for ''paragraphs (3)(D)

and (6)'', and struck out former par. (6) which read as follows:

''The Director of the Office of Management and Budget shall,

annually during the first 3 years after the date of enactment of

this subsection and biennially thereafter, consolidate in a report

to the Congress the information contained in the reports from the

various Data Integrity Boards under paragraph (3)(D). Such report

shall include detailed information about costs and benefits of

matching programs that are conducted during the period covered by

such consolidated report, and shall identify each waiver granted by

a Data Integrity Board of the requirement for completion and

submission of a cost-benefit analysis and the reasons for granting

the waiver.''

1997 - Subsec. (a)(8)(B)(vii). Pub. L. 105-34 added cl. (vii).

1996 - Subsec. (a)(8)(B)(iv)(III). Pub. L. 104-193 substituted

''section 404(e), 464,'' for ''section 464''.

Subsec. (a)(8)(B)(v) to (vii). Pub. L. 104-226 inserted ''or'' at

end of cl. (v), struck out ''or'' at end of cl. (vi), and struck

out cl. (vii) which read as follows: ''matches performed pursuant

to section 6103(l)(12) of the Internal Revenue Code of 1986 and

section 1144 of the Social Security Act;''.

Subsecs. (b)(12), (m)(2). Pub. L. 104-316 substituted ''3711(e)''

for ''3711(f)''.

1993 - Subsec. (a)(8)(B)(vii). Pub. L. 103-66 added cl. (vii).

1990 - Subsec. (p). Pub. L. 101-508 amended subsec. (p)

generally, restating former pars. (1) and (3) as par. (1), adding

provisions relating to Data Integrity Boards, and restating former

pars. (2) and (4) as (2) and (3), respectively.

1988 - Subsec. (a)(8) to (13). Pub. L. 100-503, Sec. 5, added

pars. (8) to (13).

Subsec. (e)(12). Pub. L. 100-503, Sec. 3(a), added par. (12).

Subsec. (f). Pub. L. 100-503, Sec. 7, substituted ''biennially''

for ''annually'' in last sentence.

Subsecs. (o) to (q). Pub. L. 100-503, Sec. 2(2), added subsecs.

(o) to (q). Former subsecs. (o) to (q) redesignated (r) to (t),

respectively.

Subsec. (r). Pub. L. 100-503, Sec. 3(b), inserted ''and matching

programs'' in heading and amended text generally. Prior to

amendment, text read as follows: ''Each agency shall provide

adequate advance notice to Congress and the Office of Management

and Budget of any proposal to establish or alter any system of

records in order to permit an evaluation of the probable or

potential effect of such proposal on the privacy and other personal

or property rights of individuals or the disclosure of information

relating to such individuals, and its effect on the preservation of

the constitutional principles of federalism and separation of

powers.''

Pub. L. 100-503, Sec. 2(1), redesignated former subsec. (o) as

(r).

Subsec. (s). Pub. L. 100-503, Sec. 8, substituted ''Biennial''

for ''Annual'' in heading, ''biennially submit'' for ''annually

submit'' in introductory provisions, ''preceding 2 years'' for

''preceding year'' in par. (1), and ''such years'' for ''such

year'' in par. (2).

Pub. L. 100-503, Sec. 2(1), redesignated former subsec. (p) as

(s).

Subsec. (t). Pub. L. 100-503, Sec. 2(1), redesignated former

subsec. (q) as (t).

Subsec. (u). Pub. L. 100-503, Sec. 4, added subsec. (u).

Subsec. (v). Pub. L. 100-503, Sec. 6(a), added subsec. (v).

1984 - Subsec. (b)(6). Pub. L. 98-497, Sec. 107(g)(1),

substituted ''National Archives and Records Administration'' for

''National Archives of the United States'', and ''Archivist of the

United States or the designee of the Archivist'' for

''Administrator of General Services or his designee''.

Subsec. (l)(1). Pub. L. 98-497, Sec. 107(g)(2), substituted

''Archivist of the United States'' for ''Administrator of General

Services'' in two places.

Subsec. (q). Pub. L. 98-477 designated existing provisions as

par. (1) and added par. (2).

1983 - Subsec. (b)(12). Pub. L. 97-452 substituted ''section

3711(f) of title 31'' for ''section 3(d) of the Federal Claims

Collection Act of 1966 (31 U.S.C. 952(d))''.

Subsec. (m)(2). Pub. L. 97-452 substituted ''section 3711(f) of

title 31'' for ''section 3(d) of the Federal Claims Collection Act

of 1966 (31 U.S.C. 952(d))''.

1982 - Subsec. (b)(12). Pub. L. 97-365, Sec. 2(a), added par.

(12).

Subsec. (e)(4). Pub. L. 97-375, Sec. 201(a), substituted ''upon

establishment or revision'' for ''at least annually'' after

''Federal Register''.

Subsec. (m). Pub. L. 97-365, Sec. 2(b), designated existing

provisions as par. (1) and added par. (2).

Subsec. (p). Pub. L. 97-375, Sec. 201(b), substituted provisions

requiring annual submission of a report by the President to the

Speaker of the House and President pro tempore of the Senate

relating to the Director of the Office of Management and Budget,

individual rights of access, changes or additions to systems of

records, and other necessary or useful information, for provisions

which had directed the President to submit to the Speaker of the

House and the President of the Senate, by June 30 of each calendar

year, a consolidated report, separately listing for each Federal

agency the number of records contained in any system of records

which were exempted from the application of this section under the

provisions of subsections (j) and (k) of this section during the

preceding calendar year, and the reasons for the exemptions, and

such other information as indicate efforts to administer fully this

section.

1975 - Subsec. (g)(5). Pub. L. 94-183 substituted ''to September

27, 1975'' for ''to the effective date of this section''.

-CHANGE-

CHANGE OF NAME

Committee on Government Operations of House of Representatives

treated as referring to Committee on Government Reform and

Oversight of House of Representatives by section 1(a) of Pub. L.

104-14, set out as a note under section 21 of Title 2, The

Congress. Committee on Government Reform and Oversight of House of

Representatives changed to Committee on Government Reform of House

of Representatives by House Resolution No. 5, One Hundred Sixth

Congress, Jan. 6, 1999.

-MISC4-

EFFECTIVE DATE OF 1999 AMENDMENT

Amendment by Pub. L. 106-170 applicable to individuals whose

period of confinement in an institution commences on or after the

first day of the fourth month beginning after December 1999, see

section 402(a)(4) of Pub. L. 106-170, set out as a note under

section 402 of Title 42, The Public Health and Welfare.

EFFECTIVE DATE OF 1997 AMENDMENT

Amendment by Pub. L. 105-34 applicable to levies issued after

Aug. 5, 1997, see section 1026(c) of Pub. L. 105-34, set out as a

note under section 6103 of Title 26, Internal Revenue Code.

EFFECTIVE DATE OF 1996 AMENDMENT

Amendment by Pub. L. 104-193 effective July 1, 1997, with

transition rules relating to State options to accelerate such date,

rules relating to claims, actions, and proceedings commenced before

such date, rules relating to closing out of accounts for terminated

or substantially modified programs and continuance in office of

Assistant Secretary for Family Support, and provisions relating to

termination of entitlement under AFDC program, see section 116 of

Pub. L. 104-193, as amended, set out as an Effective Date note

under section 601 of Title 42, The Public Health and Welfare.

EFFECTIVE DATE OF 1993 AMENDMENT

Amendment by Pub. L. 103-66 effective Jan. 1, 1994, see section

13581(d) of Pub. L. 103-66, set out as a note under section 1395y

of Title 42, The Public Health and Welfare.

EFFECTIVE DATE OF 1988 AMENDMENT

Section 10 of Pub. L. 100-503, as amended by Pub. L. 101-56, Sec.

2, July 19, 1989, 103 Stat. 149, provided that:

''(a) In General. - Except as provided in subsections (b) and

(c), the amendments made by this Act (amending this section and

repealing provisions set out as a note below) shall take effect 9

months after the date of enactment of this Act (Oct. 18, 1988).

''(b) Exceptions. - The amendment made by sections 3(b), 6, 7,

and 8 of this Act (amending this section and repealing provisions

set out as a note below) shall take effect upon enactment.

''(c) Effective Date Delayed for Existing Programs. - In the case

of any matching program (as defined in section 552a(a)(8) of title

5, United States Code, as added by section 5 of this Act) in

operation before June 1, 1989, the amendments made by this Act

(other than the amendments described in subsection (b)) shall take

effect January 1, 1990, if -

''(1) such matching program is identified by an agency as being

in operation before June 1, 1989; and

''(2) such identification is -

''(A) submitted by the agency to the Committee on

Governmental Affairs of the Senate, the Committee on Government

Operations of the House of Representatives, and the Office of

Management and Budget before August 1, 1989, in a report which

contains a schedule showing the dates on which the agency

expects to have such matching program in compliance with the

amendments made by this Act, and

''(B) published by the Office of Management and Budget in the

Federal Register, before September 15, 1989.''

EFFECTIVE DATE OF 1984 AMENDMENT

Amendment by Pub. L. 98-497 effective Apr. 1, 1985, see section

301 of Pub. L. 98-497, set out as a note under section 2102 of

Title 44, Public Printing and Documents.

EFFECTIVE DATE

Section 8 of Pub. L. 93-579 provided that: ''The provisions of

this Act (enacting this section and provisions set out as notes

under this section) shall be effective on and after the date of

enactment (Dec. 31, 1974), except that the amendments made by

sections 3 and 4 (enacting this section and amending analysis

preceding section 500 of this title) shall become effective 270

days following the day on which this Act is enacted.''

SHORT TITLE OF 1990 AMENDMENT

Section 7201(a) of Pub. L. 101-508 provided that: ''This section

(amending this section and enacting provisions set out as notes

below) may be cited as the 'Computer Matching and Privacy

Protection Amendments of 1990'.''

SHORT TITLE OF 1989 AMENDMENT

Pub. L. 101-56, Sec. 1, July 19, 1989, 103 Stat. 149, provided

that: ''This Act (amending section 10 of Pub. L. 100-503, set out

as a note above) may be cited as the 'Computer Matching and Privacy

Protection Act Amendments of 1989'.''

SHORT TITLE OF 1988 AMENDMENT

Section 1 of Pub. L. 100-503 provided that: ''This Act (amending

this section, enacting provisions set out as notes above and below,

and repealing provisions set out as a note below) may be cited as

the 'Computer Matching and Privacy Protection Act of 1988'.''

SHORT TITLE OF 1974 AMENDMENT

Section 1 of Pub. L. 93-579 provided: ''That this Act (enacting

this section and provisions set out as notes under this section)

may be cited as the 'Privacy Act of 1974'.''

SHORT TITLE

This section is popularly known as the ''Privacy Act''.

TERMINATION OF REPORTING REQUIREMENTS

For termination, effective May 15, 2000, of reporting provisions

in subsec. (s) of this section, see section 3003 of Pub. L. 104-66,

as amended, set out as a note under section 1113 of Title 31, Money

and Finance, and page 31 of House Document No. 103-7.

-TRANS-

DELEGATION OF FUNCTIONS

Functions of Director of Office of Management and Budget under

this section delegated to Administrator for Office of Information

and Regulatory Affairs by section 3 of Pub. L. 96-511, Dec. 11,

1980, 94 Stat. 2825, set out as a note under section 3503 of Title

44, Public Printing and Documents.

-MISC5-

PUBLICATION OF GUIDANCE UNDER SUBSECTION (P)(1)(A)(II)

Section 7201(b)(2) of Pub. L. 101-508 provided that: ''Not later

than 90 days after the date of the enactment of this Act (Nov. 5,

1990), the Director of the Office of Management and Budget shall

publish guidance under subsection (p)(1)(A)(ii) of section 552a of

title 5, United States Code, as amended by this Act.''

LIMITATION ON APPLICATION OF VERIFICATION REQUIREMENT

Section 7201(c) of Pub. L. 101-508 provided that: ''Section

552a(p)(1)(A)(ii)(II) of title 5, United States Code, as amended by

section 2 (probably means section 7201(b)(1) of Pub. L. 101-508),

shall not apply to a program referred to in paragraph (1), (2), or

(4) of section 1137(b) of the Social Security Act (42 U.S.C.

1320b-7), until the earlier of -

''(1) the date on which the Data Integrity Board of the Federal

agency which administers that program determines that there is

not a high degree of confidence that information provided by that

agency under Federal matching programs is accurate; or

''(2) 30 days after the date of publication of guidance under

section 2(b) (probably means section 7201(b)(2) of Pub. L.

101-508, set out as a note above).''

EFFECTIVE DATE DELAYED FOR CERTAIN EDUCATION BENEFITS COMPUTER

MATCHING PROGRAMS

Pub. L. 101-366, title II, Sec. 206(d), Aug. 15, 1990, 104 Stat.

442, provided that:

''(1) In the case of computer matching programs between the

Department of Veterans Affairs and the Department of Defense in the

administration of education benefits programs under chapters 30 and

32 of title 38 and chapter 106 of title 10, United States Code, the

amendments made to section 552a of title 5, United States Code, by

the Computer Matching and Privacy Protection Act of 1988 (Pub. L.

100-503) (other than the amendments made by section 10(b) of that

Act) (see Effective Date of 1988 Amendment note above) shall take

effect on October 1, 1990.

''(2) For purposes of this subsection, the term 'matching

program' has the same meaning provided in section 552a(a)(8) of

title 5, United States Code.''

IMPLEMENTATION GUIDANCE FOR 1988 AMENDMENTS

Section 6(b) of Pub. L. 100-503 provided that: ''The Director

shall, pursuant to section 552a(v) of title 5, United States Code,

develop guidelines and regulations for the use of agencies in

implementing the amendments made by this Act (amending this section

and repealing provisions set out as a note below) not later than 8

months after the date of enactment of this Act (Oct. 18, 1988).''

CONSTRUCTION OF 1988 AMENDMENTS

Section 9 of Pub. L. 100-503 provided that: ''Nothing in the

amendments made by this Act (amending this section and repealing

provisions set out as a note below) shall be construed to authorize

-

''(1) the establishment or maintenance by any agency of a

national data bank that combines, merges, or links information on

individuals maintained in systems of records by other Federal

agencies;

''(2) the direct linking of computerized systems of records

maintained by Federal agencies;

''(3) the computer matching of records not otherwise authorized

by law; or

''(4) the disclosure of records for computer matching except to

a Federal, State, or local agency.''

CONGRESSIONAL FINDINGS AND STATEMENT OF PURPOSE

Section 2 of Pub. L. 93-579 provided that:

''(a) The Congress finds that -

''(1) the privacy of an individual is directly affected by the

collection, maintenance, use, and dissemination of personal

information by Federal agencies;

''(2) the increasing use of computers and sophisticated

information technology, while essential to the efficient

operations of the Government, has greatly magnified the harm to

individual privacy that can occur from any collection,

maintenance, use, or dissemination of personal information;

''(3) the opportunities for an individual to secure employment,

insurance, and credit, and his right to due process, and other

legal protections are endangered by the misuse of certain

information systems;

''(4) the right to privacy is a personal and fundamental right

protected by the Constitution of the United States; and

''(5) in order to protect the privacy of individuals identified

in information systems maintained by Federal agencies, it is

necessary and proper for the Congress to regulate the collection,

maintenance, use, and dissemination of information by such

agencies.

''(b) The purpose of this Act (enacting this section and

provisions set out as notes under this section) is to provide

certain safeguards for an individual against an invasion of

personal privacy by requiring Federal agencies, except as otherwise

provided by law, to -

''(1) permit an individual to determine what records pertaining

to him are collected, maintained, used, or disseminated by such

agencies;

''(2) permit an individual to prevent records pertaining to him

obtained by such agencies for a particular purpose from being

used or made available for another purpose without his consent;

''(3) permit an individual to gain access to information

pertaining to him in Federal agency records, to have a copy made

of all or any portion thereof, and to correct or amend such

records;

''(4) collect, maintain, use, or disseminate any record of

identifiable personal information in a manner that assures that

such action is for a necessary and lawful purpose, that the

information is current and accurate for its intended use, and

that adequate safeguards are provided to prevent misuse of such

information;

''(5) permit exemptions from the requirements with respect to

records provided in this Act only in those cases where there is

an important public policy need for such exemption as has been

determined by specific statutory authority; and

''(6) be subject to civil suit for any damages which occur as a

result of willful or intentional action which violates any

individual's rights under this Act.''

PRIVACY PROTECTION STUDY COMMISSION

Section 5 of Pub. L. 93-579, as amended by Pub. L. 95-38, June 1,

1977, 91 Stat. 179, which established the Privacy Protection Study

Commission and provided that the Commission study data banks,

automated data processing programs and information systems of

governmental, regional and private organizations to determine

standards and procedures in force for protection of personal

information, that the Commission report to the President and

Congress the extent to which requirements and principles of section

552a of title 5 should be applied to the information practices of

those organizations, and that it make other legislative

recommendations to protect the privacy of individuals while meeting

the legitimate informational needs of government and society,

ceased to exist on September 30, 1977, pursuant to section 5(g) of

Pub. L. 93-579.

GUIDELINES AND REGULATIONS FOR MAINTENANCE OF PRIVACY AND

PROTECTION OF RECORDS OF INDIVIDUALS

Section 6 of Pub. L. 93-579, which provided that the Office of

Management and Budget shall develop guidelines and regulations for

use of agencies in implementing provisions of this section and

provide continuing assistance to and oversight of the

implementation of the provisions of such section by agencies, was

repealed by Pub. L. 100-503, Sec. 6(c), Oct. 18, 1988, 102 Stat.

2513.

DISCLOSURE OF SOCIAL SECURITY NUMBER

Section 7 of Pub. L. 93-579 provided that:

''(a)(1) It shall be unlawful for any Federal, State or local

government agency to deny to any individual any right, benefit, or

privilege provided by law because of such individual's refusal to

disclose his social security account number.

''(2) the (The) provisions of paragraph (1) of this subsection

shall not apply with respect to -

''(A) any disclosure which is required by Federal statute, or

''(B) the disclosure of a social security number to any

Federal, State, or local agency maintaining a system of records

in existence and operating before January 1, 1975, if such

disclosure was required under statute or regulation adopted prior

to such date to verify the identity of an individual.

''(b) Any Federal, State, or local government agency which

requests an individual to disclose his social security account

number shall inform that individual whether that disclosure is

mandatory or voluntary, by what statutory or other authority such

number is solicited, and what uses will be made of it.''

AUTHORIZATION OF APPROPRIATIONS TO PRIVACY PROTECTION STUDY

COMMISSION

Section 9 of Pub. L. 93-579, as amended by Pub. L. 94-394, Sept.

3, 1976, 90 Stat. 1198, authorized appropriations for the period

beginning July 1, 1975, and ending on September 30, 1977.

-EXEC-

CLASSIFIED NATIONAL SECURITY INFORMATION

For provisions relating to a response to a request for

information under this section when the fact of its existence or

nonexistence is itself classified or when it was originally

classified by another agency, see Ex. Ord. No. 12958, Sec. 3.7,

Apr. 17, 1995, 60 F.R. 19835, set out as a note under section 435

of Title 50, War and National Defense.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 552b, 1212, 3111, 7133,

8148 of this title; title 6 section 142; title 7 sections 2204b,

2279b, 7035; title 10 sections 1102, 1506, 1588, 1596b; title 12

section 1715z; title 14 section 645; title 15 section 7215; title

16 sections 410cc-35, 1536; title 18 section 2707; title 19 section

1631; title 20 sections 1080a, 1090, 9514, 9573, 9622; title 22

section 4355; title 25 section 3205; title 26 sections 6103, 7852;

title 29 section 1908; title 31 sections 310, 3701, 3711, 3716,

3718, 3729, 3733, 7701; title 38 sections 3684A, 5701; title 39

section 410; title 42 sections 247b-4, 300aa-25, 402, 405, 904,

1306, 1395cc-2, 3544, 7385i, 9660, 14614, 14616; title 44 sections

2906, 3501, 3504, 3506, 3538, 3549, 3602; title 46 sections 7702,

9303; title 49 section 30305; title 50 sections 403-5c, 403-5e;

title 50 App. section 2159.

-CITE-

5 USC Sec. 552b 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 552b. Open meetings

-STATUTE-

(a) For purposes of this section -

(1) the term ''agency'' means any agency, as defined in section

552(e) (FOOTNOTE 1) of this title, headed by a collegial body

composed of two or more individual members, a majority of whom

are appointed to such position by the President with the advice

and consent of the Senate, and any subdivision thereof authorized

to act on behalf of the agency;

(FOOTNOTE 1) See References in Text note below.

(2) the term ''meeting'' means the deliberations of at least

the number of individual agency members required to take action

on behalf of the agency where such deliberations determine or

result in the joint conduct or disposition of official agency

business, but does not include deliberations required or

permitted by subsection (d) or (e); and

(3) the term ''member'' means an individual who belongs to a

collegial body heading an agency.

(b) Members shall not jointly conduct or dispose of agency

business other than in accordance with this section. Except as

provided in subsection (c), every portion of every meeting of an

agency shall be open to public observation.

(c) Except in a case where the agency finds that the public

interest requires otherwise, the second sentence of subsection (b)

shall not apply to any portion of an agency meeting, and the

requirements of subsections (d) and (e) shall not apply to any

information pertaining to such meeting otherwise required by this

section to be disclosed to the public, where the agency properly

determines that such portion or portions of its meeting or the

disclosure of such information is likely to -

(1) disclose matters that are (A) specifically authorized under

criteria established by an Executive order to be kept secret in

the interests of national defense or foreign policy and (B) in

fact properly classified pursuant to such Executive order;

(2) relate solely to the internal personnel rules and practices

of an agency;

(3) disclose matters specifically exempted from disclosure by

statute (other than section 552 of this title), provided that

such statute (A) requires that the matters be withheld from the

public in such a manner as to leave no discretion on the issue,

or (B) establishes particular criteria for withholding or refers

to particular types of matters to be withheld;

(4) disclose trade secrets and commercial or financial

information obtained from a person and privileged or

confidential;

(5) involve accusing any person of a crime, or formally

censuring any person;

(6) disclose information of a personal nature where disclosure

would constitute a clearly unwarranted invasion of personal

privacy;

(7) disclose investigatory records compiled for law enforcement

purposes, or information which if written would be contained in

such records, but only to the extent that the production of such

records or information would (A) interfere with enforcement

proceedings, (B) deprive a person of a right to a fair trial or

an impartial adjudication, (C) constitute an unwarranted invasion

of personal privacy, (D) disclose the identity of a confidential

source and, in the case of a record compiled by a criminal law

enforcement authority in the course of a criminal investigation,

or by an agency conducting a lawful national security

intelligence investigation, confidential information furnished

only by the confidential source, (E) disclose investigative

techniques and procedures, or (F) endanger the life or physical

safety of law enforcement personnel;

(8) disclose information contained in or related to

examination, operating, or condition reports prepared by, on

behalf of, or for the use of an agency responsible for the

regulation or supervision of financial institutions;

(9) disclose information the premature disclosure of which

would -

(A) in the case of an agency which regulates currencies,

securities, commodities, or financial institutions, be likely

to (i) lead to significant financial speculation in currencies,

securities, or commodities, or (ii) significantly endanger the

stability of any financial institution; or

(B) in the case of any agency, be likely to significantly

frustrate implementation of a proposed agency action,

except that subparagraph (B) shall not apply in any instance

where the agency has already disclosed to the public the content

or nature of its proposed action, or where the agency is required

by law to make such disclosure on its own initiative prior to

taking final agency action on such proposal; or

(10) specifically concern the agency's issuance of a subpena,

or the agency's participation in a civil action or proceeding, an

action in a foreign court or international tribunal, or an

arbitration, or the initiation, conduct, or disposition by the

agency of a particular case of formal agency adjudication

pursuant to the procedures in section 554 of this title or

otherwise involving a determination on the record after

opportunity for a hearing.

(d)(1) Action under subsection (c) shall be taken only when a

majority of the entire membership of the agency (as defined in

subsection (a)(1)) votes to take such action. A separate vote of

the agency members shall be taken with respect to each agency

meeting a portion or portions of which are proposed to be closed to

the public pursuant to subsection (c), or with respect to any

information which is proposed to be withheld under subsection (c).

A single vote may be taken with respect to a series of meetings, a

portion or portions of which are proposed to be closed to the

public, or with respect to any information concerning such series

of meetings, so long as each meeting in such series involves the

same particular matters and is scheduled to be held no more than

thirty days after the initial meeting in such series. The vote of

each agency member participating in such vote shall be recorded and

no proxies shall be allowed.

(2) Whenever any person whose interests may be directly affected

by a portion of a meeting requests that the agency close such

portion to the public for any of the reasons referred to in

paragraph (5), (6), or (7) of subsection (c), the agency, upon

request of any one of its members, shall vote by recorded vote

whether to close such meeting.

(3) Within one day of any vote taken pursuant to paragraph (1) or

(2), the agency shall make publicly available a written copy of

such vote reflecting the vote of each member on the question. If a

portion of a meeting is to be closed to the public, the agency

shall, within one day of the vote taken pursuant to paragraph (1)

or (2) of this subsection, make publicly available a full written

explanation of its action closing the portion together with a list

of all persons expected to attend the meeting and their

affiliation.

(4) Any agency, a majority of whose meetings may properly be

closed to the public pursuant to paragraph (4), (8), (9)(A), or

(10) of subsection (c), or any combination thereof, may provide by

regulation for the closing of such meetings or portions thereof in

the event that a majority of the members of the agency votes by

recorded vote at the beginning of such meeting, or portion thereof,

to close the exempt portion or portions of the meeting, and a copy

of such vote, reflecting the vote of each member on the question,

is made available to the public. The provisions of paragraphs (1),

(2), and (3) of this subsection and subsection (e) shall not apply

to any portion of a meeting to which such regulations apply:

Provided, That the agency shall, except to the extent that such

information is exempt from disclosure under the provisions of

subsection (c), provide the public with public announcement of the

time, place, and subject matter of the meeting and of each portion

thereof at the earliest practicable time.

(e)(1) In the case of each meeting, the agency shall make public

announcement, at least one week before the meeting, of the time,

place, and subject matter of the meeting, whether it is to be open

or closed to the public, and the name and phone number of the

official designated by the agency to respond to requests for

information about the meeting. Such announcement shall be made

unless a majority of the members of the agency determines by a

recorded vote that agency business requires that such meeting be

called at an earlier date, in which case the agency shall make

public announcement of the time, place, and subject matter of such

meeting, and whether open or closed to the public, at the earliest

practicable time.

(2) The time or place of a meeting may be changed following the

public announcement required by paragraph (1) only if the agency

publicly announces such change at the earliest practicable time.

The subject matter of a meeting, or the determination of the agency

to open or close a meeting, or portion of a meeting, to the public,

may be changed following the public announcement required by this

subsection only if (A) a majority of the entire membership of the

agency determines by a recorded vote that agency business so

requires and that no earlier announcement of the change was

possible, and (B) the agency publicly announces such change and the

vote of each member upon such change at the earliest practicable

time.

(3) Immediately following each public announcement required by

this subsection, notice of the time, place, and subject matter of a

meeting, whether the meeting is open or closed, any change in one

of the preceding, and the name and phone number of the official

designated by the agency to respond to requests for information

about the meeting, shall also be submitted for publication in the

Federal Register.

(f)(1) For every meeting closed pursuant to paragraphs (1)

through (10) of subsection (c), the General Counsel or chief legal

officer of the agency shall publicly certify that, in his or her

opinion, the meeting may be closed to the public and shall state

each relevant exemptive provision. A copy of such certification,

together with a statement from the presiding officer of the meeting

setting forth the time and place of the meeting, and the persons

present, shall be retained by the agency. The agency shall

maintain a complete transcript or electronic recording adequate to

record fully the proceedings of each meeting, or portion of a

meeting, closed to the public, except that in the case of a

meeting, or portion of a meeting, closed to the public pursuant to

paragraph (8), (9)(A), or (10) of subsection (c), the agency shall

maintain either such a transcript or recording, or a set of

minutes. Such minutes shall fully and clearly describe all matters

discussed and shall provide a full and accurate summary of any

actions taken, and the reasons therefor, including a description of

each of the views expressed on any item and the record of any

rollcall vote (reflecting the vote of each member on the

question). All documents considered in connection with any action

shall be identified in such minutes.

(2) The agency shall make promptly available to the public, in a

place easily accessible to the public, the transcript, electronic

recording, or minutes (as required by paragraph (1)) of the

discussion of any item on the agenda, or of any item of the

testimony of any witness received at the meeting, except for such

item or items of such discussion or testimony as the agency

determines to contain information which may be withheld under

subsection (c). Copies of such transcript, or minutes, or a

transcription of such recording disclosing the identity of each

speaker, shall be furnished to any person at the actual cost of

duplication or transcription. The agency shall maintain a complete

verbatim copy of the transcript, a complete copy of the minutes, or

a complete electronic recording of each meeting, or portion of a

meeting, closed to the public, for a period of at least two years

after such meeting, or until one year after the conclusion of any

agency proceeding with respect to which the meeting or portion was

held, whichever occurs later.

(g) Each agency subject to the requirements of this section

shall, within 180 days after the date of enactment of this section,

following consultation with the Office of the Chairman of the

Administrative Conference of the United States and published notice

in the Federal Register of at least thirty days and opportunity for

written comment by any person, promulgate regulations to implement

the requirements of subsections (b) through (f) of this section.

Any person may bring a proceeding in the United States District

Court for the District of Columbia to require an agency to

promulgate such regulations if such agency has not promulgated such

regulations within the time period specified herein. Subject to

any limitations of time provided by law, any person may bring a

proceeding in the United States Court of Appeals for the District

of Columbia to set aside agency regulations issued pursuant to this

subsection that are not in accord with the requirements of

subsections (b) through (f) of this section and to require the

promulgation of regulations that are in accord with such

subsections.

(h)(1) The district courts of the United States shall have

jurisdiction to enforce the requirements of subsections (b) through

(f) of this section by declaratory judgment, injunctive relief, or

other relief as may be appropriate. Such actions may be brought by

any person against an agency prior to, or within sixty days after,

the meeting out of which the violation of this section arises,

except that if public announcement of such meeting is not initially

provided by the agency in accordance with the requirements of this

section, such action may be instituted pursuant to this section at

any time prior to sixty days after any public announcement of such

meeting. Such actions may be brought in the district court of the

United States for the district in which the agency meeting is held

or in which the agency in question has its headquarters, or in the

District Court for the District of Columbia. In such actions a

defendant shall serve his answer within thirty days after the

service of the complaint. The burden is on the defendant to

sustain his action. In deciding such cases the court may examine

in camera any portion of the transcript, electronic recording, or

minutes of a meeting closed to the public, and may take such

additional evidence as it deems necessary. The court, having due

regard for orderly administration and the public interest, as well

as the interests of the parties, may grant such equitable relief as

it deems appropriate, including granting an injunction against

future violations of this section or ordering the agency to make

available to the public such portion of the transcript, recording,

or minutes of a meeting as is not authorized to be withheld under

subsection (c) of this section.

(2) Any Federal court otherwise authorized by law to review

agency action may, at the application of any person properly

participating in the proceeding pursuant to other applicable law,

inquire into violations by the agency of the requirements of this

section and afford such relief as it deems appropriate. Nothing in

this section authorizes any Federal court having jurisdiction

solely on the basis of paragraph (1) to set aside, enjoin, or

invalidate any agency action (other than an action to close a

meeting or to withhold information under this section) taken or

discussed at any agency meeting out of which the violation of this

section arose.

(i) The court may assess against any party reasonable attorney

fees and other litigation costs reasonably incurred by any other

party who substantially prevails in any action brought in

accordance with the provisions of subsection (g) or (h) of this

section, except that costs may be assessed against the plaintiff

only where the court finds that the suit was initiated by the

plaintiff primarily for frivolous or dilatory purposes. In the

case of assessment of costs against an agency, the costs may be

assessed by the court against the United States.

(j) Each agency subject to the requirements of this section shall

annually report to the Congress regarding the following:

(1) The changes in the policies and procedures of the agency

under this section that have occurred during the preceding 1-year

period.

(2) A tabulation of the number of meetings held, the exemptions

applied to close meetings, and the days of public notice provided

to close meetings.

(3) A brief description of litigation or formal complaints

concerning the implementation of this section by the agency.

(4) A brief explanation of any changes in law that have

affected the responsibilities of the agency under this section.

(k) Nothing herein expands or limits the present rights of any

person under section 552 of this title, except that the exemptions

set forth in subsection (c) of this section shall govern in the

case of any request made pursuant to section 552 to copy or inspect

the transcripts, recordings, or minutes described in subsection (f)

of this section. The requirements of chapter 33 of title 44,

United States Code, shall not apply to the transcripts, recordings,

and minutes described in subsection (f) of this section.

(l) This section does not constitute authority to withhold any

information from Congress, and does not authorize the closing of

any agency meeting or portion thereof required by any other

provision of law to be open.

(m) Nothing in this section authorizes any agency to withhold

from any individual any record, including transcripts, recordings,

or minutes required by this section, which is otherwise accessible

to such individual under section 552a of this title.

-SOURCE-

(Added Pub. L. 94-409, Sec. 3(a), Sept. 13, 1976, 90 Stat. 1241;

amended Pub. L. 104-66, title III, Sec. 3002, Dec. 21, 1995, 109

Stat. 734.)

-REFTEXT-

REFERENCES IN TEXT

Section 552(e) of this title, referred to in subsec. (a)(1), was

redesignated section 552(f) of this title by section 1802(b) of

Pub. L. 99-570.

180 days after the date of enactment of this section, referred to

in subsec. (g), means 180 days after the date of enactment of Pub.

L. 94-409, which was approved Sept. 13, 1976.

-MISC2-

AMENDMENTS

1995 - Subsec. (j). Pub. L. 104-66 amended subsec. (j)

generally. Prior to amendment, subsec. (j) read as follows: ''Each

agency subject to the requirements of this section shall annually

report to Congress regarding its compliance with such requirements,

including a tabulation of the total number of agency meetings open

to the public, the total number of meetings closed to the public,

the reasons for closing such meetings, and a description of any

litigation brought against the agency under this section, including

any costs assessed against the agency in such litigation (whether

or not paid by the agency).''

EFFECTIVE DATE

Section 6 of Pub. L. 94-409 provided that:

''(a) Except as provided in subsection (b) of this section, the

provisions of this Act (see Short Title note set out below) shall

take effect 180 days after the date of its enactment (Sept. 13,

1976).

''(b) Subsection (g) of section 552b of title 5, United States

Code, as added by section 3(a) of this Act, shall take effect upon

enactment (Sept. 13, 1976).''

SHORT TITLE

Section 1 of Pub. L. 94-409 provided: ''That this Act (enacting

this section, amending sections 551, 552, 556, and 557 of this

title, section 10 of Pub. L. 92-463, set out in the Appendix to

this title, and section 410 of Title 39, and enacting provisions

set out as notes under this section) may be cited as the

'Government in the Sunshine Act'.''

TERMINATION OF REPORTING REQUIREMENTS

For termination, effective May 15, 2000, of provisions of law

requiring submittal to Congress of any annual, semiannual, or other

regular periodic report listed in House Document No. 103-7 (in

which the report required by subsec. (j) of this section is listed

on page 151), see section 3003 of Pub. L. 104-66, as amended, set

out as a note under section 1113 of Title 31, Money and Finance.

-TRANS-

TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

For termination of Administrative Conference of United States,

see provision of title IV of Pub. L. 104-52, set out as a note

preceding section 591 of this title.

-MISC5-

DECLARATION OF POLICY AND STATEMENT OF PURPOSE

Section 2 of Pub. L. 94-409 provided that: ''It is hereby

declared to be the policy of the United States that the public is

entitled to the fullest practicable information regarding the

decisionmaking processes of the Federal Government. It is the

purpose of this Act (see Short Title note set out above) to provide

the public with such information while protecting the rights of

individuals and the ability of the Government to carry out its

responsibilities.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 552 of this title; title 7

section 945; title 19 section 2347; title 22 sections 4605, 4833;

title 39 section 410; title 42 sections 1862n-5, 2996c, 7171, 8103,

10703, 14195; title 44 section 2204; title 45 sections 1116, 1212;

title 46 sections 7702, 9303; title 49 section 703; title 50 App.

sections 2158, 2159.

-CITE-

5 USC Sec. 553 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 553. Rule making

-STATUTE-

(a) This section applies, according to the provisions thereof,

except to the extent that there is involved -

(1) a military or foreign affairs function of the United

States; or

(2) a matter relating to agency management or personnel or to

public property, loans, grants, benefits, or contracts.

(b) General notice of proposed rule making shall be published in

the Federal Register, unless persons subject thereto are named and

either personally served or otherwise have actual notice thereof in

accordance with law. The notice shall include -

(1) a statement of the time, place, and nature of public rule

making proceedings;

(2) reference to the legal authority under which the rule is

proposed; and

(3) either the terms or substance of the proposed rule or a

description of the subjects and issues involved.

Except when notice or hearing is required by statute, this

subsection does not apply -

(A) to interpretative rules, general statements of policy, or

rules of agency organization, procedure, or practice; or

(B) when the agency for good cause finds (and incorporates the

finding and a brief statement of reasons therefor in the rules

issued) that notice and public procedure thereon are

impracticable, unnecessary, or contrary to the public interest.

(c) After notice required by this section, the agency shall give

interested persons an opportunity to participate in the rule making

through submission of written data, views, or arguments with or

without opportunity for oral presentation. After consideration of

the relevant matter presented, the agency shall incorporate in the

rules adopted a concise general statement of their basis and

purpose. When rules are required by statute to be made on the

record after opportunity for an agency hearing, sections 556 and

557 of this title apply instead of this subsection.

(d) The required publication or service of a substantive rule

shall be made not less than 30 days before its effective date,

except -

(1) a substantive rule which grants or recognizes an exemption

or relieves a restriction;

(2) interpretative rules and statements of policy; or

(3) as otherwise provided by the agency for good cause found

and published with the rule.

(e) Each agency shall give an interested person the right to

petition for the issuance, amendment, or repeal of a rule.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 383.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1003. June 11, 1946, ch.

324, Sec. 4, 60

Stat. 238.

-------------------------------

In subsection (a)(1), the words ''or naval'' are omitted as

included in ''military''.

In subsection (b), the word ''when'' is substituted for ''in any

situation in which''.

In subsection (c), the words ''for oral presentation'' are

substituted for ''to present the same orally in any manner''. The

words ''sections 556 and 557 of this title apply instead of this

subsection'' are substituted for ''the requirements of sections

1006 and 1007 of this title shall apply in place of the provisions

of this subsection''.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 553 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2245

of Title 7, Agriculture.

-EXEC-

EXECUTIVE ORDER NO. 12044

Ex. Ord. No. 12044, Mar. 23, 1978, 43 F.R. 12661, as amended by

Ex. Ord. No. 12221, June 27, 1980, 45 F.R. 44249, which related to

the improvement of Federal regulations, was revoked by Ex. Ord. No.

12291, Feb. 17, 1981, 46 F.R. 13193, formerly set out as a note

under section 601 of this title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 552a, 556, 561, 566, 601,

603, 604, 611, 1103, 1105, 5304 of this title; title 2 sections

501, 502, 1383, 1384; title 6 section 441; title 7 sections 499c,

499f, 927, 944a, 2013, 2014, 2707, 4604, 4906, 6802, 6804, 7251,

7253, 7281, 7412, 7804, 7981, 7991; title 8 sections 1288, 1372;

title 9 section 306; title 12 sections 635, 1441a, 1710, 1735f-17,

1828, 3336, 4004, 4008, 4112, 4308, 4526, 4589, 4611; title 15

sections 18a, 45a, 57a, 77f, 78l, 78m, 78n, 78s, 78ee, 78ggg, 1193,

1203, 1262, 1277, 1474, 1476, 1604, 1693b, 2058, 2079, 2082, 2309,

2603, 2604, 2605, 2618, 2643, 2703, 2823, 3412, 3803, 4017, 4404,

5624, 5711, 5721, 5724, 6004, 6102, 6502, 6765; title 16 sections

460nnn-105, 620a, 839b, 971d, 1379, 1381, 1383b, 1463, 1533, 1535,

1604, 1821, 1822, 3341, 3604, 3636, 3801, 5504; title 19 section

2561; title 20 sections 1098a, 1221e-4, 1232, 1406, 1461, 6104,

9581; title 21 sections 358, 463; title 25 sections 450c, 450k;

title 28 section 994; title 30 sections 185, 811, 936, 1211, 1468,

1751; title 33 sections 1231, 1322, 1504; title 35 sections 2, 3;

title 38 sections 501, 502; title 40 section 3704; title 41

sections 43a, 47, 422; title 42 sections 289d, 290aa-10, 300g-1,

300h, 421, 902, 1320a-7c, 1395ff, 1395hh, 1437d, 1437u, 1437z-3,

1796c, 2210a, 2992b-1, 4029, 4905, 5403, 5404, 5419, 5422, 5506,

5919, 6239, 6250d, 6306, 7191, 7407, 7502, 7511a, 7607, 8275, 8411,

9112, 9127, 9204, 9605, 10155, 10193, 11023, 11376, 11387, 12725,

12879, 12898, 12898a, 13603, 13643, 14923, 14941; title 43 section

1740; title 44 section 2206; title 46 sections 7702, 9303, 14104;

title 46 App. sections 1241f, 1716; title 47 section 336; title 49

sections 5103, 20103, 24308, 31136, 31317, 32502, 32902, 40103,

44940, 60102; title 50 App. sections 2158, 2159, 2412.

-CITE-

5 USC Sec. 554 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 554. Adjudications

-STATUTE-

(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 (FOOTNOTE

1) administrative law judge appointed under section 3105 of this

title;

(FOOTNOTE 1) So in original.

(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 a

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.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 384; Pub. L. 95-251, Sec.

2(a)(1), Mar. 27, 1978, 92 Stat. 183.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1004. June 11, 1946, ch.

324, Sec. 5, 60

Stat. 239.

-------------------------------

In subsection (a)(2), the word ''employee'' is substituted for

''officer or employee of the United States'' in view of the

definition of ''employee'' in section 2105.

In subsection (a)(4), the word ''naval'' is omitted as included

in ''military''.

In subsection (a)(5), the word ''or'' is substituted for ''and''

since the exception is applicable if any one of the factors are

involved.

In subsection (a)(6), the word ''worker'' is substituted for

''employee'', since the latter is defined in section 2105 as

meaning Federal employees.

In subsection (b), the word ''When'' is substituted for ''In

instances in which''.

In subsection (c)(2), the comma after the word ''hearing'' is

omitted to correct an editorial error.

In subsection (d), the words ''The employee'' and ''such an

employee'' are substituted in the first two sentences for ''The

same officers'' and ''such officers'' in view of the definition of

''employee'' in section 2105. The word ''officer'' is omitted in

the third and fourth sentences as included in ''employee'' as

defined in section 2105. The prohibition in the third and fourth

sentences is restated in positive form. In paragraph (C) of the

last sentence, the words ''in any manner'' are omitted as

surplusage.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 554 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2246

of Title 7, Agriculture.

-MISC3-

AMENDMENTS

1978 - Subsec. (a)(2). Pub. L. 95-251 substituted

''administrative law judge'' for ''hearing examiner''.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 504, 552b, 556, 557, 8124

of this title; title 2 sections 501, 502, 1405, 1602; title 7

sections 86, 87e, 87f-1, 1359ii, 3804, 3805; title 8 sections

1324a, 1324c, 1375; title 12 sections 1817, 1818, 2268, 3413; title

15 sections 78d-1, 1274, 2064, 2066, 2605, 2615, 3412, 6765; title

16 sections 429b-1, 470ff, 773f, 796, 823b, 839f, 973f, 1174, 1437,

1536, 1540, 1852, 1856, 1858, 2407, 2437, 2602, 3142, 3373, 3636,

5010, 5507; title 18 section 3625; title 19 section 1308; title 20

sections 1234, 6083, 7183; title 21 sections 321, 333, 342, 346a,

360e, 844a, 1041; title 22 section 6761; title 29 sections 214,

216, 659, 1813, 1853; title 30 sections 185, 804, 811, 815, 817,

818, 821, 938, 1264, 1268, 1275, 1293, 1426, 1462; title 33

sections 919, 1319, 1321, 1367, 1504; title 38 section 7101A; title

41 section 422; title 42 sections 262, 300g-3, 300h-2, 300gg-22,

2000e-16c, 2000e-17, 2282a, 3783, 3789d, 4910, 6303, 6971, 7407,

7413, 7419, 7502, 7511a, 7524, 7607, 7920, 8433, 9112, 9152, 9609,

9610; title 43 sections 1656, 1766; title 45 section 905; title 46

sections 7702, 9303; title 46 App. section 1187e; title 47 sections

409, 503; title 49 sections 521, 13902, 20104; title 50 App.

sections 16, 2159, 2410, 2412.

-CITE-

5 USC Sec. 555 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 555. Ancillary matters

-STATUTE-

(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 nonpublic 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.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 385.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1005. June 11, 1946, ch.

324, Sec. 6, 60

Stat. 240.

-------------------------------

In subsection (b), the words ''is entitled'' are substituted for

''shall be accorded the right''. The word ''officers'' is omitted

as included in ''employees'' in view of the definition of

''employee'' in section 2105. The words ''With due regard for the

convenience and necessity of the parties or their representatives

and within a reasonable time'' are substituted for ''with

reasonable dispatch'' and ''except that due regard shall be had for

the convenience and necessity of the parties or their

representatives''. The prohibition in the last sentence is

restated in positive form and the words ''This subsection does

not'' are substituted for ''Nothing herein shall be construed

either to''.

In subsection (c), the words ''in any manner or for any purpose''

are omitted as surplusage.

In subsection (e), the word ''brief'' is substituted for

''simple''. The words ''of the grounds for denial'' are substituted

for ''of procedural or other grounds'' for clarity.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 555 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2247

of Title 7, Agriculture.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 2 sections 501, 502, 1405;

title 8 section 1375; title 16 sections 1536, 3636; title 18

section 3625; title 30 section 185; title 41 section 422; title 42

sections 2000e-16c, 7407, 7502, 7511a, 7607; title 46 sections

7702, 9303; title 50 App. sections 16, 2159, 2410, 2412.

-CITE-

5 USC Sec. 556 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 556. Hearings; presiding employees; powers and duties; burden

of proof; evidence; record as basis of decision

-STATUTE-

(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 administrative law judges 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 violation 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.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 386; Pub. L. 94-409, Sec.

4(c), Sept. 13, 1976, 90 Stat. 1247; Pub. L. 95-251, Sec. 2(a)(1),

Mar. 27, 1978, 92 Stat. 183; Pub. L. 101-552, Sec. 4(a), Nov. 15,

1990, 104 Stat. 2737.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1006. June 11, 1946, ch.

324, Sec. 7, 60

Stat. 241.

-------------------------------

In subsection (b), the words ''hearing examiners'' are

substituted for ''examiners'' in paragraph (3) for clarity. The

prohibition in the second sentence is restated in positive form and

the words ''This subchapter does not'' are substituted for ''but

nothing in this chapter shall be deemed to''. The words

''employee'' and ''employees'' are substituted for ''officer'' and

''officers'' in view of the definition of ''employee'' in section

2105. The sentence ''A presiding or participating employee may at

any time disqualify himself.'' is substituted for the words ''Any

such officer may at any time withdraw if he deems himself

disqualified.''

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

AMENDMENTS

1990 - Subsec. (c)(6). Pub. L. 101-552, Sec. 4(a)(1), inserted

before semicolon at end ''or by the use of alternative means of

dispute resolution as provided in subchapter IV of this chapter''.

Subsec. (c)(7) to (11). Pub. L. 101-552, Sec. 4(a)(2), added

pars. (7) and (8) and redesignated former pars. (7) and (8) and

redesignated former pars. (7) to (9) as (9) to (11), respectively.

1978 - Subsec. (b)(3). Pub. L. 95-251 substituted

''administrative law judges'' for ''hearing examiners''.

1976 - Subsec. (d). Pub. L. 94-409 inserted provisions relating

to consideration by agency of a violation under section 557(d) of

this title.

EFFECTIVE DATE OF 1976 AMENDMENT

Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,

1976, see section 6 of Pub. L. 94-409, set out as an Effective Date

note under section 552b of this title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF AGRICULTURE

Functions vested by this subchapter in hearing examiners employed

by Department of Agriculture not included in functions of officers,

agencies, and employees of that Department transferred to Secretary

of Agriculture by 1953 Reorg. Plan No. 2, Sec. 1, eff. June 4,

1953, 18 F.R. 3219, 67 Stat. 633, set out in the Appendix to this

title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF COMMERCE

Functions vested by this subchapter in hearing examiners employed

by Department of Commerce not included in functions of officers,

agencies, and employees of that Department transferred to Secretary

of Commerce by 1950 Reorg. Plan No. 5, Sec. 1, eff. May 24, 1950,

15 F.R. 3174, 64 Stat. 1263, set out in the Appendix to this title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF THE INTERIOR

Functions vested by this subchapter in hearing examiners employed

by Department of the Interior not included in functions of

officers, agencies, and employees of that Department transferred to

Secretary of the Interior by 1950 Reorg. Plan No. 3, Sec. 1, eff.

May 24, 1950, 15 F.R. 3174, 64 Stat. 1262, set out in the Appendix

to this title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF JUSTICE

Functions vested by this subchapter in hearing examiners employed

by Department of Justice not included in functions of officers,

agencies, and employees of that Department transferred to Attorney

General by 1950 Reorg. Plan No. 2, Sec. 1, eff. May 24, 1950, 15

F.R. 3173, 64 Stat. 1261, set out in the Appendix to this title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF LABOR

Functions vested by this subchapter in hearing examiners employed

by Department of Labor not included in functions of officers,

agencies, and employees of that Department transferred to Secretary

of Labor by 1950 Reorg. Plan No. 6, Sec. 1, eff. May 24, 1950, 15

F.R. 3174, 64 Stat. 1263, set out in the Appendix to this title.

HEARING EXAMINERS EMPLOYED BY DEPARTMENT OF THE TREASURY

Functions vested by this subchapter in hearing examiners employed

by Department of the Treasury not included in functions of

officers, agencies, and employees of that Department transferred to

Secretary of the Treasury by 1950 Reorg. Plan. No. 26, Sec. 1,

eff. July 31, 1950, 15 F.R. 4935, 64 Stat. 1280, set out in the

Appendix to this title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 553, 554, 557, 558, 706,

3105 of this title; title 2 sections 501, 502, 1405; title 7

sections 86, 87e, 87f-1, 1359ii, 2023, 2707, 3804, 3805, 4604,

4906, 6802, 6804, 7804; title 8 sections 1182, 1375; title 13

section 305; title 15 sections 57a, 2605, 3412; title 16 sections

796, 839f, 1536, 2602, 3636; title 20 section 1234; title 21

sections 321, 342, 379e, 1041; title 22 sections 1037a, 4136; title

30 sections 185, 811, 1415; title 33 sections 907, 1319, 1321;

title 39 sections 404, 3624, 3661; title 41 section 422; title 42

sections 300h-2, 1320a-7c, 2000e-16c, 2241, 7171, 7407, 7413, 7502,

7511a, 7524, 7607, 9612, 11504; title 46 sections 7702, 9303; title

47 section 155; title 49 sections 31136, 31317; title 50 App.

sections 16, 2159, 2410, 2412.

-CITE-

5 USC Sec. 557 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 557. Initial decisions; conclusiveness; review by agency;

submissions by parties; contents of decisions; record

-STATUTE-

(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.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 387; Pub. L. 94-409, Sec.

4(a), Sept. 13, 1976, 90 Stat. 1246.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1007. June 11, 1946, ch.

324, Sec. 8, 60

Stat. 242.

-------------------------------

In subsection (b), the word ''employee'' is substituted for

''officer'' and ''officers'' in view of the definition of

''employee'' in section 2105. The word ''either'' is added after

the word ''requires'' in the first sentence to eliminate the need

for parentheses. The words ''the presiding employee or an employee

qualified to preside at hearings under section 556 of this title''

are substituted for ''such officers'' in the last sentence. The

word ''initial'' is omitted before ''decision'', the final word in

the first sentence and the sixth word of the fourth sentence, to

avoid confusion between the ''initial decision'' of the presiding

employee and the ''initial decision'' of the agency.

In subsection (c), the word ''employees'' is substituted for

''officers'' in view of the definition of ''employee'' in section

2105.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 557 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2207

of Title 7, Agriculture.

Section 557a of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2208

of Title 7.

-MISC3-

AMENDMENTS

1976 - Subsec. (d). Pub. L. 94-409 added subsec. (d).

EFFECTIVE DATE OF 1976 AMENDMENT

Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,

1976, see section 6 of Pub. L. 94-409, set out as an Effective Date

note under section 552b of this title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 553, 554, 556, 558, 706,

3105 of this title; title 2 sections 501, 502, 1405; title 7

sections 86, 87e, 87f-1, 2023, 2707, 4604, 4906, 6802, 6804, 7804;

title 8 section 1375; title 13 section 305; title 15 sections 57a,

2605, 3412; title 16 sections 796, 839f, 2602, 3636; title 20

section 1234; title 21 section 321; title 30 sections 185, 811,

823, 1415; title 39 sections 404, 3624, 3661; title 41 section 422;

title 42 sections 1320a-7c, 1395ww, 1485, 2000e-16c, 2241, 7407,

7502, 7511a, 7607, 11504; title 46 sections 7702, 9303; title 49

sections 31136, 31317; title 50 App. sections 16, 2159, 2410, 2412.

-CITE-

5 USC Sec. 558 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

Sec. 558. Imposition of sanctions; determination of applications

for licenses; suspension, revocation, and expiration of

licenses

-STATUTE-

(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 application 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.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 388.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1008. June 11, 1946, ch.

324, Sec. 9, 60

Stat. 242.

-------------------------------

In subsection (b), the prohibition is restated in positive form.

In subsection (c), the words ''within a reasonable time'' are

substituted for ''with reasonable dispatch''. The last two

sentences are restated for conciseness and clarity and to restate

the prohibition in positive form.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-COD-

CODIFICATION

Section 558 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2209

of Title 7, Agriculture.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 2 sections 501, 502; title

16 section 1824; title 30 section 185; title 41 section 422; title

42 sections 2236, 7651g; title 45 section 312; title 46 sections

7702, 9303; title 50 App. sections 2159, 2412.

-CITE-

5 USC Sec. 559 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER II - ADMINISTRATIVE PROCEDURE

-HEAD-

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

-STATUTE-

This subchapter, chapter 7, and sections 1305, 3105, 3344,

4301(2)(E), 5372, and 7521 of this title, and the provisions of

section 5335(a)(B) of this title that relate to administrative law

judges, 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), 5372,

or 7521 of this title, or the provisions of section 5335(a)(B) of

this title that relate to administrative law judges, except to the

extent that it does so expressly.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 388; Pub. L. 90-623, Sec.

1(1), Oct. 22, 1968, 82 Stat. 1312; Pub. L. 95-251, Sec. 2(a)(1),

Mar. 27, 1978, 92 Stat. 183; Pub. L. 95-454, title VIII, Sec.

801(a)(3)(B)(iii), Oct. 13, 1978, 92 Stat. 1221.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1011. June 11, 1946, ch.

324, Sec. 12, 60

Stat. 244.

-------------------------------

In the first and last sentences, the words ''This subchapter,

chapter 7, and sections 1305, 3105, 3344, 4301(2)(E), 5362, and

7521, and the provisions of section 5335(a)(B) of this title that

relate to hearing examiners'' are substituted for ''this Act'' to

reflect the codification of the Act in this title. The words ''to

diminish the constitutional rights of any person or'' are omitted

as surplusage as there is nothing in the Act that can reasonably be

construed to diminish those rights and because a statute may not

operate in derogation of the Constitution.

The third sentence of former section 1011 is omitted as covered

by technical section 7. The sixth sentence of former section 1011

is omitted as executed.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

AMENDMENTS

1978 - Pub. L. 95-454 substituted ''5372'' for ''5362'' wherever

appearing.

Pub. L. 95-251 substituted ''administrative law judges'' for

''hearing examiners'' wherever appearing.

1968 - Pub. L. 90-623 inserted ''of this title'' after ''7521''

wherever appearing.

EFFECTIVE DATE OF 1978 AMENDMENT

Amendment by Pub. L. 95-454 effective on first day of first

applicable pay period beginning on or after the 90th day after Oct.

13, 1978, see section 801(a)(4) of Pub. L. 95-454, set out as an

Effective Date note under section 5361 of this title.

EFFECTIVE DATE OF 1968 AMENDMENT

Amendment by Pub. L. 90-623 intended to restate without

substantive change the law in effect on Oct. 22, 1968, see section

6 of Pub. L. 90-623, set out as a note under section 5334 of this

title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 2 sections 501, 502; title

15 section 1541; title 30 sections 185, 823, 956; title 41 section

422; title 46 sections 7702, 9303; title 50 App. sections 2159,

2412.

-CITE-

5 USC SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

.

-HEAD-

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-MISC1-

PRIOR PROVISIONS

A prior subchapter III (Sec. 571 et seq.) was redesignated

subchapter V (Sec. 591 et seq.) of this chapter.

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 3(a)(1), Aug. 26, 1992, 106 Stat.

944, redesignated subchapter IV of this chapter relating to

negotiated rulemaking procedure as this subchapter.

-SECREF-

SUBCHAPTER REFERRED TO IN OTHER SECTIONS

This subchapter is referred to in title 20 sections 2326, 6571;

title 23 section 202; title 25 sections 450k, 458gg, 458aaa-16,

2018, 4116; title 42 sections 1320d-1, 1395w-26, 1437g, 1485.

-CITE-

5 USC Sec. 561 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 561. Purpose

-STATUTE-

The purpose of this subchapter is to establish a framework for

the conduct of negotiated rulemaking, consistent with section 553

of this title, to encourage agencies to use the process when it

enhances the informal rulemaking process. Nothing in this

subchapter should be construed as an attempt to limit innovation

and experimentation with the negotiated rulemaking process or with

other innovative rulemaking procedures otherwise authorized by law.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4970,

Sec. 581; renumbered Sec. 561, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 581 of this title as

this section.

EFFECTIVE DATE OF REPEAL; SAVINGS PROVISION

Section 5 of Pub. L. 101-648, as amended by Pub. L. 102-354, Sec.

5(a)(2), Aug. 26, 1992, 106 Stat. 945, which provided that

subchapter III of chapter 5 of title 5 and the table of sections

corresponding to such subchapter, were repealed, effective 6 years

after Nov. 29, 1990, except for then pending proceedings, was

repealed by Pub. L. 104-320, Sec. 11(a), Oct. 19, 1996, 110 Stat.

3873.

SHORT TITLE OF 1992 AMENDMENT

Section 1 of Pub. L. 102-354 provided that: ''This Act (amending

sections 565, 568, 569, 571, 577, 580, 581, and 593 of this title,

section 10 of Title 9, Arbitration, and section 173 of Title 29,

Labor, renumbering sections 571 to 576, 581 to 590, and 581 to 593

as 591 to 596, 561 to 570, and 571 to 583, respectively, of this

title, and amending provisions set out as notes under this section

and section 571 of this title) may be cited as the 'Administrative

Procedure Technical Amendments Act of 1991'.''

SHORT TITLE OF 1990 AMENDMENT

Section 1 of Pub. L. 101-648 provided that: ''This Act (enacting

this subchapter) may be cited as the 'Negotiated Rulemaking Act of

1990'.''

CONGRESSIONAL FINDINGS

Section 2 of Pub. L. 101-648 provided that: ''The Congress makes

the following findings:

''(1) Government regulation has increased substantially since

the enactment of the Administrative Procedure Act (see Short

Title note set out preceding section 551 of this title).

''(2) Agencies currently use rulemaking procedures that may

discourage the affected parties from meeting and communicating

with each other, and may cause parties with different interests

to assume conflicting and antagonistic positions and to engage in

expensive and time-consuming litigation over agency rules.

''(3) Adversarial rulemaking deprives the affected parties and

the public of the benefits of face-to-face negotiations and

cooperation in developing and reaching agreement on a rule. It

also deprives them of the benefits of shared information,

knowledge, expertise, and technical abilities possessed by the

affected parties.

''(4) Negotiated rulemaking, in which the parties who will be

significantly affected by a rule participate in the development

of the rule, can provide significant advantages over adversarial

rulemaking.

''(5) Negotiated rulemaking can increase the acceptability and

improve the substance of rules, making it less likely that the

affected parties will resist enforcement or challenge such rules

in court. It may also shorten the amount of time needed to issue

final rules.

''(6) Agencies have the authority to establish negotiated

rulemaking committees under the laws establishing such agencies

and their activities and under the Federal Advisory Committee Act

(5 U.S.C. App.). Several agencies have successfully used

negotiated rulemaking. The process has not been widely used by

other agencies, however, in part because such agencies are

unfamiliar with the process or uncertain as to the authority for

such rulemaking.''

AUTHORIZATION OF APPROPRIATIONS

Section 4 of Pub. L. 101-648, as amended by Pub. L. 102-354, Sec.

5(a)(1), Aug. 26, 1992, 106 Stat. 945, authorized additional

appropriations to Administrative Conference of the United States to

carry out Pub. L. 101-648 in fiscal years 1991, 1992, and 1993.

-CITE-

5 USC Sec. 562 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 562. Definitions

-STATUTE-

For the purposes of this subchapter, the term -

(1) ''agency'' has the same meaning as in section 551(1) of

this title;

(2) ''consensus'' means unanimous concurrence among the

interests represented on a negotiated rulemaking committee

established under this subchapter, unless such committee -

(A) agrees to define such term to mean a general but not

unanimous concurrence; or

(B) agrees upon another specified definition;

(3) ''convener'' means a person who impartially assists an

agency in determining whether establishment of a negotiated

rulemaking committee is feasible and appropriate in a particular

rulemaking;

(4) ''facilitator'' means a person who impartially aids in the

discussions and negotiations among the members of a negotiated

rulemaking committee to develop a proposed rule;

(5) ''interest'' means, with respect to an issue or matter,

multiple parties which have a similar point of view or which are

likely to be affected in a similar manner;

(6) ''negotiated rulemaking'' means rulemaking through the use

of a negotiated rulemaking committee;

(7) ''negotiated rulemaking committee'' or ''committee'' means

an advisory committee established by an agency in accordance with

this subchapter and the Federal Advisory Committee Act to

consider and discuss issues for the purpose of reaching a

consensus in the development of a proposed rule;

(8) ''party'' has the same meaning as in section 551(3) of this

title;

(9) ''person'' has the same meaning as in section 551(2) of

this title;

(10) ''rule'' has the same meaning as in section 551(4) of this

title; and

(11) ''rulemaking'' means ''rule making'' as that term is

defined in section 551(5) of this title.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4970,

Sec. 582; renumbered Sec. 562, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-REFTEXT-

REFERENCES IN TEXT

The Federal Advisory Committee Act, referred to in par. (7), is

Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, as amended, which is

set out in the Appendix to this title.

-MISC2-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 582 of this title as

this section.

-CITE-

5 USC Sec. 563 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 563. Determination of need for negotiated rulemaking committee

-STATUTE-

(a) Determination of Need by the Agency. - An agency may

establish a negotiated rulemaking committee to negotiate and

develop a proposed rule, if the head of the agency determines that

the use of the negotiated rulemaking procedure is in the public

interest. In making such a determination, the head of the agency

shall consider whether -

(1) there is a need for a rule;

(2) there are a limited number of identifiable interests that

will be significantly affected by the rule;

(3) there is a reasonable likelihood that a committee can be

convened with a balanced representation of persons who -

(A) can adequately represent the interests identified under

paragraph (2); and

(B) are willing to negotiate in good faith to reach a

consensus on the proposed rule;

(4) there is a reasonable likelihood that a committee will

reach a consensus on the proposed rule within a fixed period of

time;

(5) the negotiated rulemaking procedure will not unreasonably

delay the notice of proposed rulemaking and the issuance of the

final rule;

(6) the agency has adequate resources and is willing to commit

such resources, including technical assistance, to the committee;

and

(7) the agency, to the maximum extent possible consistent with

the legal obligations of the agency, will use the consensus of

the committee with respect to the proposed rule as the basis for

the rule proposed by the agency for notice and comment.

(b) Use of Conveners. -

(1) Purposes of conveners. - An agency may use the services of

a convener to assist the agency in -

(A) identifying persons who will be significantly affected by

a proposed rule, including residents of rural areas; and

(B) conducting discussions with such persons to identify the

issues of concern to such persons, and to ascertain whether the

establishment of a negotiated rulemaking committee is feasible

and appropriate in the particular rulemaking.

(2) Duties of conveners. - The convener shall report findings

and may make recommendations to the agency. Upon request of the

agency, the convener shall ascertain the names of persons who are

willing and qualified to represent interests that will be

significantly affected by the proposed rule, including residents

of rural areas. The report and any recommendations of the

convener shall be made available to the public upon request.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4970,

Sec. 583; renumbered Sec. 563, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 583 of this title as

this section.

NEGOTIATED RULEMAKING COMMITTEES

Pub. L. 104-320, Sec. 11(e), Oct. 19, 1996, 110 Stat. 3874,

provided that: ''The Director of the Office of Management and

Budget shall -

''(1) within 180 days of the date of the enactment of this Act

(Oct. 19, 1996), take appropriate action to expedite the

establishment of negotiated rulemaking committees and committees

established to resolve disputes under the Administrative Dispute

Resolution Act (Pub. L. 101-552, see Short Title note set out

under section 571 of this title), including, with respect to

negotiated rulemaking committees, eliminating any redundant

administrative requirements related to filing a committee charter

under section 9 of the Federal Advisory Committee Act (5 U.S.C.

App.) and providing public notice of such committee under section

564 of title 5, United States Code; and

''(2) within one year of the date of the enactment of this Act,

submit recommendations to Congress for any necessary legislative

changes.''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 23 section 202; title 25

sections 2018, 4116.

-CITE-

5 USC Sec. 564 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 564. Publication of notice; applications for membership on

committees

-STATUTE-

(a) Publication of Notice. - If, after considering the report of

a convener or conducting its own assessment, an agency decides to

establish a negotiated rulemaking committee, the agency shall

publish in the Federal Register and, as appropriate, in trade or

other specialized publications, a notice which shall include -

(1) an announcement that the agency intends to establish a

negotiated rulemaking committee to negotiate and develop a

proposed rule;

(2) a description of the subject and scope of the rule to be

developed, and the issues to be considered;

(3) a list of the interests which are likely to be

significantly affected by the rule;

(4) a list of the persons proposed to represent such interests

and the person or persons proposed to represent the agency;

(5) a proposed agenda and schedule for completing the work of

the committee, including a target date for publication by the

agency of a proposed rule for notice and comment;

(6) a description of administrative support for the committee

to be provided by the agency, including technical assistance;

(7) a solicitation for comments on the proposal to establish

the committee, and the proposed membership of the negotiated

rulemaking committee; and

(8) an explanation of how a person may apply or nominate

another person for membership on the committee, as provided under

subsection (b).

(b) Applications for Membership or (FOOTNOTE 1) Committee. -

Persons who will be significantly affected by a proposed rule and

who believe that their interests will not be adequately represented

by any person specified in a notice under subsection (a)(4) may

apply for, or nominate another person for, membership on the

negotiated rulemaking committee to represent such interests with

respect to the proposed rule. Each application or nomination shall

include -

(FOOTNOTE 1) So in original. Probably should be ''on''.

(1) the name of the applicant or nominee and a description of

the interests such person shall represent;

(2) evidence that the applicant or nominee is authorized to

represent parties related to the interests the person proposes to

represent;

(3) a written commitment that the applicant or nominee shall

actively participate in good faith in the development of the rule

under consideration; and

(4) the reasons that the persons specified in the notice under

subsection (a)(4) do not adequately represent the interests of

the person submitting the application or nomination.

(c) Period for Submission of Comments and Applications. - The

agency shall provide for a period of at least 30 calendar days for

the submission of comments and applications under this section.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4971,

Sec. 584; renumbered Sec. 564, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 584 of this title as

this section.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 565 of this title; title

25 section 4116; title 42 section 1395w-26.

-CITE-

5 USC Sec. 565 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 565. Establishment of committee

-STATUTE-

(a) Establishment. -

(1) Determination to establish committee. - If after

considering comments and applications submitted under section

564, the agency determines that a negotiated rulemaking committee

can adequately represent the interests that will be significantly

affected by a proposed rule and that it is feasible and

appropriate in the particular rulemaking, the agency may

establish a negotiated rulemaking committee. In establishing and

administering such a committee, the agency shall comply with the

Federal Advisory Committee Act with respect to such committee,

except as otherwise provided in this subchapter.

(2) Determination not to establish committee. - If after

considering such comments and applications, the agency decides

not to establish a negotiated rulemaking committee, the agency

shall promptly publish notice of such decision and the reasons

therefor in the Federal Register and, as appropriate, in trade or

other specialized publications, a copy of which shall be sent to

any person who applied for, or nominated another person for

membership on the negotiating (FOOTNOTE 1) rulemaking committee

to represent such interests with respect to the proposed rule.

(FOOTNOTE 1) So in original. Probably should be ''negotiated''.

(b) Membership. - The agency shall limit membership on a

negotiated rulemaking committee to 25 members, unless the agency

head determines that a greater number of members is necessary for

the functioning of the committee or to achieve balanced

membership. Each committee shall include at least one person

representing the agency.

(c) Administrative Support. - The agency shall provide

appropriate administrative support to the negotiated rulemaking

committee, including technical assistance.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4972,

Sec. 585; renumbered Sec. 565 and amended Pub. L. 102-354, Sec.

3(a)(2), (3), Aug. 26, 1992, 106 Stat. 944.)

-REFTEXT-

REFERENCES IN TEXT

The Federal Advisory Committee Act, referred to in subsec.

(a)(1), is Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, as amended,

which is set out in the Appendix to this title.

-MISC2-

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 3(a)(2), renumbered section 585 of

this title as this section.

Subsec. (a)(1). Pub. L. 102-354, Sec. 3(a)(3), substituted

''section 564'' for ''section 584''.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 23 section 202; title 25

sections 458gg, 458aaa-16, 2018, 4116; title 42 section 1395w-26.

-CITE-

5 USC Sec. 566 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 566. Conduct of committee activity

-STATUTE-

(a) Duties of Committee. - Each negotiated rulemaking committee

established under this subchapter shall consider the matter

proposed by the agency for consideration and shall attempt to reach

a consensus concerning a proposed rule with respect to such matter

and any other matter the committee determines is relevant to the

proposed rule.

(b) Representatives of Agency on Committee. - The person or

persons representing the agency on a negotiated rulemaking

committee shall participate in the deliberations and activities of

the committee with the same rights and responsibilities as other

members of the committee, and shall be authorized to fully

represent the agency in the discussions and negotiations of the

committee.

(c) Selecting Facilitator. - Notwithstanding section 10(e) of the

Federal Advisory Committee Act, an agency may nominate either a

person from the Federal Government or a person from outside the

Federal Government to serve as a facilitator for the negotiations

of the committee, subject to the approval of the committee by

consensus. If the committee does not approve the nominee of the

agency for facilitator, the agency shall submit a substitute

nomination. If a committee does not approve any nominee of the

agency for facilitator, the committee shall select by consensus a

person to serve as facilitator. A person designated to represent

the agency in substantive issues may not serve as facilitator or

otherwise chair the committee.

(d) Duties of Facilitator. - A facilitator approved or selected

by a negotiated rulemaking committee shall -

(1) chair the meetings of the committee in an impartial manner;

(2) impartially assist the members of the committee in

conducting discussions and negotiations; and

(3) manage the keeping of minutes and records as required under

section 10(b) and (c) of the Federal Advisory Committee Act,

except that any personal notes and materials of the facilitator

or of the members of a committee shall not be subject to section

552 of this title.

(e) Committee Procedures. - A negotiated rulemaking committee

established under this subchapter may adopt procedures for the

operation of the committee. No provision of section 553 of this

title shall apply to the procedures of a negotiated rulemaking

committee.

(f) Report of Committee. - If a committee reaches a consensus on

a proposed rule, at the conclusion of negotiations the committee

shall transmit to the agency that established the committee a

report containing the proposed rule. If the committee does not

reach a consensus on a proposed rule, the committee may transmit to

the agency a report specifying any areas in which the committee

reached a consensus. The committee may include in a report any

other information, recommendations, or materials that the committee

considers appropriate. Any committee member may include as an

addendum to the report additional information, recommendations, or

materials.

(g) Records of Committee. - In addition to the report required by

subsection (f), a committee shall submit to the agency the records

required under section 10(b) and (c) of the Federal Advisory

Committee Act.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4973,

Sec. 586; renumbered Sec. 566, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-REFTEXT-

REFERENCES IN TEXT

Section 10 of the Federal Advisory Committee Act, referred to in

subsecs. (c), (d)(3), and (g), is section 10 of Pub. L. 92-463,

which is set out in the Appendix to this title.

-MISC2-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 586 of this title as

this section.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 42 section 1395w-26.

-CITE-

5 USC Sec. 567 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 567. Termination of committee

-STATUTE-

A negotiated rulemaking committee shall terminate upon

promulgation of the final rule under consideration, unless the

committee's charter contains an earlier termination date or the

agency, after consulting the committee, or the committee itself

specifies an earlier termination date.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4974,

Sec. 587; renumbered Sec. 567, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 587 of this title as

this section.

-CITE-

5 USC Sec. 568 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 568. Services, facilities, and payment of committee member

expenses

-STATUTE-

(a) Services of Conveners and Facilitators. -

(1) In general. - An agency may employ or enter into contracts

for the services of an individual or organization to serve as a

convener or facilitator for a negotiated rulemaking committee

under this subchapter, or may use the services of a Government

employee to act as a convener or a facilitator for such a

committee.

(2) Determination of conflicting interests. - An agency shall

determine whether a person under consideration to serve as

convener or facilitator of a committee under paragraph (1) has

any financial or other interest that would preclude such person

from serving in an impartial and independent manner.

(b) Services and Facilities of Other Entities. - For purposes of

this subchapter, an agency may use the services and facilities of

other Federal agencies and public and private agencies and

instrumentalities with the consent of such agencies and

instrumentalities, and with or without reimbursement to such

agencies and instrumentalities, and may accept voluntary and

uncompensated services without regard to the provisions of section

1342 of title 31. The Federal Mediation and Conciliation Service

may provide services and facilities, with or without reimbursement,

to assist agencies under this subchapter, including furnishing

conveners, facilitators, and training in negotiated rulemaking.

(c) Expenses of Committee Members. - Members of a negotiated

rulemaking committee shall be responsible for their own expenses of

participation in such committee, except that an agency may, in

accordance with section 7(d) of the Federal Advisory Committee Act,

pay for a member's reasonable travel and per diem expenses,

expenses to obtain technical assistance, and a reasonable rate of

compensation, if -

(1) such member certifies a lack of adequate financial

resources to participate in the committee; and

(2) the agency determines that such member's participation in

the committee is necessary to assure an adequate representation

of the member's interest.

(d) Status of Member as Federal Employee. - A member's receipt of

funds under this section or section 569 shall not conclusively

determine for purposes of sections 202 through 209 of title 18

whether that member is an employee of the United States Government.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4974,

Sec. 588; renumbered Sec. 568 and amended Pub. L. 102-354, Sec.

3(a)(2), (4), Aug. 26, 1992, 106 Stat. 944.)

-REFTEXT-

REFERENCES IN TEXT

Section 7(d) of the Federal Advisory Committee Act, referred to

in subsec. (c), is section 7(d) of Pub. L. 92-463, which is set out

in the Appendix to this title.

-MISC2-

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 3(a)(2), renumbered section 588 of

this title as this section.

Subsec. (d). Pub. L. 102-354, Sec. 3(a)(4), substituted ''section

569'' for ''section 589''.

-CITE-

5 USC Sec. 569 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 569. Encouraging negotiated rulemaking

-STATUTE-

(a) The President shall designate an agency or designate or

establish an interagency committee to facilitate and encourage

agency use of negotiated rulemaking. An agency that is

considering, planning, or conducting a negotiated rulemaking may

consult with such agency or committee for information and

assistance.

(b) To carry out the purposes of this subchapter, an agency

planning or conducting a negotiated rulemaking may accept, hold,

administer, and utilize gifts, devises, and bequests of property,

both real and personal if that agency's acceptance and use of such

gifts, devises, or bequests do not create a conflict of interest.

Gifts and bequests of money and proceeds from sales of other

property received as gifts, devises, or bequests shall be deposited

in the Treasury and shall be disbursed upon the order of the head

of such agency. Property accepted pursuant to this section, and

the proceeds thereof, shall be used as nearly as possible in

accordance with the terms of the gifts, devises, or bequests.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4975,

Sec. 589; renumbered Sec. 569 and amended Pub. L. 102-354, Sec.

3(a)(2), (5), Aug. 26, 1992, 106 Stat. 944; Pub. L. 104-320, Sec.

11(b)(1), Oct. 19, 1996, 110 Stat. 3873.)

-MISC1-

AMENDMENTS

1996 - Pub. L. 104-320 in section catchline substituted

''Encouraging negotiated rulemaking'' for ''Role of the

Administrative Conference of the United States and other

entities'', and in text added subsecs. (a) and (b) and struck out

former subsecs. (a) to (g) which related to: in subsec. (a),

consultation by agencies; in subsec. (b), roster of potential

conveners and facilitators; in subsec. (c), procedures to obtain

conveners and facilitators; in subsec. (d), compilation of data on

negotiated rulemaking and report to Congress; in subsec. (e),

training in negotiated rulemaking; in subsec. (f), payment of

expenses of agencies; and in subsec. (g), use of funds of the

conference.

1992 - Pub. L. 102-354, Sec. 3(a)(2), renumbered section 589 of

this title as this section.

Subsec. (d)(2). Pub. L. 102-354, Sec. 3(a)(5)(A), substituted

''section 566'' for ''section 586''.

Subsec. (f)(2). Pub. L. 102-354, Sec. 3(a)(5)(B), substituted

''section 568(c)'' for ''section 588(c)''.

Subsec. (g). Pub. L. 102-354, Sec. 3(a)(5)(C), substituted

''section 595(c)(12)'' for ''section 575(c)(12)''.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 568 of this title.

-CITE-

5 USC Sec. 570 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 570. Judicial review

-STATUTE-

Any agency action relating to establishing, assisting, or

terminating a negotiated rulemaking committee under this subchapter

shall not be subject to judicial review. Nothing in this section

shall bar judicial review of a rule if such judicial review is

otherwise provided by law. A rule which is the product of

negotiated rulemaking and is subject to judicial review shall not

be accorded any greater deference by a court than a rule which is

the product of other rulemaking procedures.

-SOURCE-

(Added Pub. L. 101-648, Sec. 3(a), Nov. 29, 1990, 104 Stat. 4976,

Sec. 590; renumbered Sec. 570, Pub. L. 102-354, Sec. 3(a)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 590 of this title as

this section.

-CITE-

5 USC Sec. 570a 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER III - NEGOTIATED RULEMAKING PROCEDURE

-HEAD-

Sec. 570a. Authorization of appropriations

-STATUTE-

There are authorized to be appropriated such sums as may be

necessary to carry out the purposes of this subchapter.

-SOURCE-

(Added Pub. L. 104-320, Sec. 11(d)(1), Oct. 19, 1996, 110 Stat.

3873.)

-CITE-

5 USC SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE

RESOLUTION IN THE ADMINISTRATIVE PROCESS 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

.

-HEAD-

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-COD-

CODIFICATION

Another subchapter IV (Sec. 581 et seq.) relating to negotiated

rulemaking procedure was redesignated subchapter III (Sec. 561 et

seq.) of this chapter.

-MISC3-

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 3(b)(1), Aug. 26, 1992, 106 Stat.

944, transferred this subchapter so as to appear immediately after

subchapter III of this chapter.

-SECREF-

SUBCHAPTER REFERRED TO IN OTHER SECTIONS

This subchapter is referred to in section 556 of this title;

title 12 section 4806; title 25 sections 450j, 450l; title 28

section 2672; title 29 section 173; title 41 section 605.

-CITE-

5 USC Sec. 571 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 571. Definitions

-STATUTE-

For the purposes of this subchapter, the term -

(1) ''agency'' has the same meaning as in section 551(1) of

this title;

(2) ''administrative program'' includes a Federal function

which involves protection of the public interest and the

determination of rights, privileges, and obligations of private

persons through rule making, adjudication, licensing, or

investigation, as those terms are used in subchapter II of this

chapter;

(3) ''alternative means of dispute resolution'' means any

procedure that is used to resolve issues in controversy,

including, but not limited to, conciliation, facilitation,

mediation, factfinding, minitrials, arbitration, and use of

ombuds, or any combination thereof;

(4) ''award'' means any decision by an arbitrator resolving the

issues in controversy;

(5) ''dispute resolution communication'' means any oral or

written communication prepared for the purposes of a dispute

resolution proceeding, including any memoranda, notes or work

product of the neutral, parties or nonparty participant; except

that a written agreement to enter into a dispute resolution

proceeding, or final written agreement or arbitral award reached

as a result of a dispute resolution proceeding, is not a dispute

resolution communication;

(6) ''dispute resolution proceeding'' means any process in

which an alternative means of dispute resolution is used to

resolve an issue in controversy in which a neutral is appointed

and specified parties participate;

(7) ''in confidence'' means, with respect to information, that

the information is provided -

(A) with the expressed intent of the source that it not be

disclosed; or

(B) under circumstances that would create the reasonable

expectation on behalf of the source that the information will

not be disclosed;

(8) ''issue in controversy'' means an issue which is material

to a decision concerning an administrative program of an agency,

and with which there is disagreement -

(A) between an agency and persons who would be substantially

affected by the decision; or

(B) between persons who would be substantially affected by

the decision;

(9) ''neutral'' means an individual who, with respect to an

issue in controversy, functions specifically to aid the parties

in resolving the controversy;

(10) ''party'' means -

(A) for a proceeding with named parties, the same as in

section 551(3) of this title; and

(B) for a proceeding without named parties, a person who will

be significantly affected by the decision in the proceeding and

who participates in the proceeding;

(11) ''person'' has the same meaning as in section 551(2) of

this title; and

(12) ''roster'' means a list of persons qualified to provide

services as neutrals.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2738,

Sec. 581; renumbered Sec. 571 and amended Pub. L. 102-354, Sec.

3(b)(2), 5(b)(1), (2), Aug. 26, 1992, 106 Stat. 944, 946; Pub. L.

104-320, Sec. 2, Oct. 19, 1996, 110 Stat. 3870.)

-COD-

CODIFICATION

Section 571 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2256

of Title 7, Agriculture.

-MISC3-

PRIOR PROVISIONS

A prior section 571 was renumbered section 591 of this title.

AMENDMENTS

1996 - Par. (3). Pub. L. 104-320, Sec. 2(1), struck out '', in

lieu of an adjudication as defined in section 551(7) of this

title,'' after ''any procedure that is used'', struck out

''settlement negotiations,'' after ''but not limited to,'' and

substituted ''arbitration, and use of ombuds'' for ''and

arbitration''.

Par. (8). Pub. L. 104-320, Sec. 2(2), substituted ''decision;''

for ''decision,'' at end of subpar. (B), and struck out closing

provisions which read as follows: ''except that such term shall not

include any matter specified under section 2302 or 7121(c) of this

title;''.

1992 - Pub. L. 102-354, Sec. 3(b)(2), renumbered section 581 of

this title as this section.

Par. (3). Pub. L. 102-354, Sec. 5(b)(1), inserted comma after

''including''.

Par. (8). Pub. L. 102-354, Sec. 5(b)(2), amended par. (8)

generally. Prior to amendment, par. (8) read as follows: '' 'issue

in controversy' means an issue which is material to a decision

concerning an administrative program of an agency, and with which

there is disagreement between the agency and persons who would be

substantially affected by the decision but shall not extend to

matters specified under the provisions of sections 2302 and 7121(c)

of title 5;''.

TERMINATION DATE; SAVINGS PROVISION

Section 11 of Pub. L. 101-552, as amended by Pub. L. 104-106,

div. D, title XLIII, Sec. 4321(i)(5), Feb. 10, 1996, 110 Stat.

676, which provided that the authority of agencies to use dispute

resolution proceedings under this Act (see Short Title note below)

was to terminate on Oct. 1, 1995, except with respect to pending

proceedings, was repealed by Pub. L. 104-320, Sec. 9, Oct. 19,

1996, 110 Stat. 3872.

SHORT TITLE OF 1996 AMENDMENT

Section 1 of Pub. L. 104-320 provided that: ''This Act (enacting

sections 570a and 584 of this title, amending this section,

sections 569, 573 to 575, 580, 581, and 583 of this title, section

2304 of Title 10, Armed Forces, section 1491 of Title 28, Crimes

and Criminal Procedure, section 173 of Title 29, Labor, section

3556 of Title 31, Money and Finance, and sections 253 and 605 of

Title 41, Public Contracts, repealing section 582 of this title,

enacting provisions set out as notes under section 563 of this

title, section 1491 of Title 28, and section 3556 of Title 31,

amending provisions set out as notes under this section, and

repealing provisions set out as notes under this section and

section 561 of this title) may be cited as the 'Administrative

Dispute Resolution Act of 1996'.''

SHORT TITLE

Section 1 of Pub. L. 101-552 provided that: ''This Act (enacting

this subchapter, amending section 556 of this title, section 10 of

Title 9, Arbitration, section 2672 of Title 28, Judiciary and

Judicial Procedure, section 173 of Title 29, Labor, section 3711 of

Title 31, Money and Finance, and sections 605 and 607 of Title 41,

Public Contracts, and enacting provisions set out as notes under

this section) may be cited as the 'Administrative Dispute

Resolution Act'.''

CONGRESSIONAL FINDINGS

Section 2 of Pub. L. 101-552 provided that: ''The Congress finds

that -

''(1) administrative procedure, as embodied in chapter 5 of

title 5, United States Code, and other statutes, is intended to

offer a prompt, expert, and inexpensive means of resolving

disputes as an alternative to litigation in the Federal courts;

''(2) administrative proceedings have become increasingly

formal, costly, and lengthy resulting in unnecessary expenditures

of time and in a decreased likelihood of achieving consensual

resolution of disputes;

''(3) alternative means of dispute resolution have been used in

the private sector for many years and, in appropriate

circumstances, have yielded decisions that are faster, less

expensive, and less contentious;

''(4) such alternative means can lead to more creative,

efficient, and sensible outcomes;

''(5) such alternative means may be used advantageously in a

wide variety of administrative programs;

''(6) explicit authorization of the use of well-tested dispute

resolution techniques will eliminate ambiguity of agency

authority under existing law;

''(7) Federal agencies may not only receive the benefit of

techniques that were developed in the private sector, but may

also take the lead in the further development and refinement of

such techniques; and

''(8) the availability of a wide range of dispute resolution

procedures, and an increased understanding of the most effective

use of such procedures, will enhance the operation of the

Government and better serve the public.''

PROMOTION OF ALTERNATIVE MEANS OF DISPUTE RESOLUTION

Section 3 of Pub. L. 101-552, as amended by Pub. L. 104-320, Sec.

4(a), Oct. 19, 1996, 110 Stat. 3871, provided that:

''(a) Promulgation of Agency Policy. - Each agency shall adopt a

policy that addresses the use of alternative means of dispute

resolution and case management. In developing such a policy, each

agency shall -

''(1) consult with the agency designated by, or the interagency

committee designated or established by, the President under

section 573 of title 5, United States Code, to facilitate and

encourage agency use of alternative dispute resolution under

subchapter IV of chapter 5 of such title; and

''(2) examine alternative means of resolving disputes in

connection with -

''(A) formal and informal adjudications;

''(B) rulemakings;

''(C) enforcement actions;

''(D) issuing and revoking licenses or permits;

''(E) contract administration;

''(F) litigation brought by or against the agency; and

''(G) other agency actions.

''(b) Dispute Resolution Specialists. - The head of each agency

shall designate a senior official to be the dispute resolution

specialist of the agency. Such official shall be responsible for

the implementation of -

''(1) the provisions of this Act (see Short Title note above)

and the amendments made by this Act; and

''(2) the agency policy developed under subsection (a).

''(c) Training. - Each agency shall provide for training on a

regular basis for the dispute resolution specialist of the agency

and other employees involved in implementing the policy of the

agency developed under subsection (a). Such training should

encompass the theory and practice of negotiation, mediation,

arbitration, or related techniques. The dispute resolution

specialist shall periodically recommend to the agency head agency

employees who would benefit from similar training.

''(d) Procedures for Grants and Contracts. -

''(1) Each agency shall review each of its standard agreements

for contracts, grants, and other assistance and shall determine

whether to amend any such standard agreements to authorize and

encourage the use of alternative means of dispute resolution.

''(2)(A) Within 1 year after the date of the enactment of this

Act (Nov. 15, 1990), the Federal Acquisition Regulation shall be

amended, as necessary, to carry out this Act (see Short Title

note above) and the amendments made by this Act.

''(B) For purposes of this section, the term 'Federal

Acquisition Regulation' means the single system of

Government-wide procurement regulation referred to in section

6(a) of the Office of Federal Procurement Policy Act (41 U.S.C.

405(a)).''

USE OF NONATTORNEYS

Section 9 of Pub. L. 101-552 provided that:

''(a) Representation of Parties. - Each agency, in developing a

policy on the use of alternative means of dispute resolution under

this Act (see Short Title note above), shall develop a policy with

regard to the representation by persons other than attorneys of

parties in alternative dispute resolution proceedings and shall

identify any of its administrative programs with numerous claims or

disputes before the agency and determine -

''(1) the extent to which individuals are represented or

assisted by attorneys or by persons who are not attorneys; and

''(2) whether the subject areas of the applicable proceedings

or the procedures are so complex or specialized that only

attorneys may adequately provide such representation or

assistance.

''(b) Representation and Assistance by Nonattorneys. - A person

who is not an attorney may provide representation or assistance to

any individual in a claim or dispute with an agency, if -

''(1) such claim or dispute concerns an administrative program

identified under subsection (a);

''(2) such agency determines that the proceeding or procedure

does not necessitate representation or assistance by an attorney

under subsection (a)(2); and

''(3) such person meets any requirement of the agency to

provide representation or assistance in such a claim or dispute.

''(c) Disqualification of Representation or Assistance. - Any

agency that adopts regulations under subchapter IV of chapter 5 of

title 5, United States Code, to permit representation or assistance

by persons who are not attorneys shall review the rules of practice

before such agency to -

''(1) ensure that any rules pertaining to disqualification of

attorneys from practicing before the agency shall also apply, as

appropriate, to other persons who provide representation or

assistance; and

''(2) establish effective agency procedures for enforcing such

rules of practice and for receiving complaints from affected

persons.''

-CROSS-

DEFINITIONS

Section 10 of Pub. L. 101-552, as amended by Pub. L. 102-354,

Sec. 5(b)(6), Aug. 26, 1992, 106 Stat. 946, provided that: ''As

used in this Act (see Short Title note above), the terms 'agency',

'administrative program', and 'alternative means of dispute

resolution' have the meanings given such terms in section 571 of

title 5, United States Code (enacted as section 581 of title 5,

United States Code, by section 4(b) of this Act, and redesignated

as section 571 of such title by section 3(b) of the Administrative

Procedure Technical Amendments Act of 1991 (Pub. L. 102-354)).''

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 6 section 293; title 12

section 4806.

-CITE-

5 USC Sec. 572 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 572. General authority

-STATUTE-

(a) An agency may use a dispute resolution proceeding for the

resolution of an issue in controversy that relates to an

administrative program, if the parties agree to such proceeding.

(b) An agency shall consider not using a dispute resolution

proceeding if -

(1) a definitive or authoritative resolution of the matter is

required for precedential value, and such a proceeding is not

likely to be accepted generally as an authoritative precedent;

(2) the matter involves or may bear upon significant questions

of Government policy that require additional procedures before a

final resolution may be made, and such a proceeding would not

likely serve to develop a recommended policy for the agency;

(3) maintaining established policies is of special importance,

so that variations among individual decisions are not increased

and such a proceeding would not likely reach consistent results

among individual decisions;

(4) the matter significantly affects persons or organizations

who are not parties to the proceeding;

(5) a full public record of the proceeding is important, and a

dispute resolution proceeding cannot provide such a record; and

(6) the agency must maintain continuing jurisdiction over the

matter with authority to alter the disposition of the matter in

the light of changed circumstances, and a dispute resolution

proceeding would interfere with the agency's fulfilling that

requirement.

(c) Alternative means of dispute resolution authorized under this

subchapter are voluntary procedures which supplement rather than

limit other available agency dispute resolution techniques.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2739,

Sec. 582; renumbered Sec. 572, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944.)

-COD-

CODIFICATION

Section 572 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2257

of Title 7, Agriculture.

-MISC3-

PRIOR PROVISIONS

A prior section 572 was renumbered section 592 of this title.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 582 of this title as

this section.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 575 of this title; title 9

section 10; title 41 section 605.

-CITE-

5 USC Sec. 573 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 573. Neutrals

-STATUTE-

(a) A neutral may be a permanent or temporary officer or employee

of the Federal Government or any other individual who is acceptable

to the parties to a dispute resolution proceeding. A neutral shall

have no official, financial, or personal conflict of interest with

respect to the issues in controversy, unless such interest is fully

disclosed in writing to all parties and all parties agree that the

neutral may serve.

(b) A neutral who serves as a conciliator, facilitator, or

mediator serves at the will of the parties.

(c) The President shall designate an agency or designate or

establish an interagency committee to facilitate and encourage

agency use of dispute resolution under this subchapter. Such

agency or interagency committee, in consultation with other

appropriate Federal agencies and professional organizations

experienced in matters concerning dispute resolution, shall -

(1) encourage and facilitate agency use of alternative means of

dispute resolution; and

(2) develop procedures that permit agencies to obtain the

services of neutrals on an expedited basis.

(d) An agency may use the services of one or more employees of

other agencies to serve as neutrals in dispute resolution

proceedings. The agencies may enter into an interagency agreement

that provides for the reimbursement by the user agency or the

parties of the full or partial cost of the services of such an

employee.

(e) Any agency may enter into a contract with any person for

services as a neutral, or for training in connection with

alternative means of dispute resolution. The parties in a dispute

resolution proceeding shall agree on compensation for the neutral

that is fair and reasonable to the Government.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2739,

Sec. 583; renumbered Sec. 573, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944; amended Pub. L. 104-320, Sec. 7(b), Oct.

19, 1996, 110 Stat. 3872.)

-COD-

CODIFICATION

Section 573 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2258

of Title 7, Agriculture.

-MISC3-

PRIOR PROVISIONS

A prior section 573 was renumbered section 593 of this title.

AMENDMENTS

1996 - Subsec. (c). Pub. L. 104-320, Sec. 7(b)(1), added subsec.

(c) and struck out former subsec. (c) which related to power of

Administrative Conference of the United States to establish and

utilize standards for neutrals and to enter into contracts for

services of neutrals.

Subsec. (e). Pub. L. 104-320, Sec. 7(b)(2), struck out ''on a

roster established under subsection (c)(2) or a roster maintained

by other public or private organizations, or individual'' after

''contract with any person''.

1992 - Pub. L. 102-354 renumbered section 583 of this title as

this section.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 577 of this title; title

29 section 173.

-CITE-

5 USC Sec. 574 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 574. Confidentiality

-STATUTE-

(a) Except as provided in subsections (d) and (e), a neutral in a

dispute resolution proceeding shall not voluntarily disclose or

through discovery or compulsory process be required to disclose any

dispute resolution communication or any communication provided in

confidence to the neutral, unless -

(1) all parties to the dispute resolution proceeding and the

neutral consent in writing, and, if the dispute resolution

communication was provided by a nonparty participant, that

participant also consents in writing;

(2) the dispute resolution communication has already been made

public;

(3) the dispute resolution communication is required by statute

to be made public, but a neutral should make such communication

public only if no other person is reasonably available to

disclose the communication; or

(4) a court determines that such testimony or disclosure is

necessary to -

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

(C) prevent harm to the public health or safety,

of sufficient magnitude in the particular case to outweigh the

integrity of dispute resolution proceedings in general by

reducing the confidence of parties in future cases that their

communications will remain confidential.

(b) A party to a dispute resolution proceeding shall not

voluntarily disclose or through discovery or compulsory process be

required to disclose any dispute resolution communication, unless -

(1) the communication was prepared by the party seeking

disclosure;

(2) all parties to the dispute resolution proceeding consent in

writing;

(3) the dispute resolution communication has already been made

public;

(4) the dispute resolution communication is required by statute

to be made public;

(5) a court determines that such testimony or disclosure is

necessary to -

(A) prevent a manifest injustice;

(B) help establish a violation of law; or

(C) prevent harm to the public health and safety,

of sufficient magnitude in the particular case to outweigh the

integrity of dispute resolution proceedings in general by

reducing the confidence of parties in future cases that their

communications will remain confidential;

(6) the dispute resolution communication is relevant to

determining the existence or meaning of an agreement or award

that resulted from the dispute resolution proceeding or to the

enforcement of such an agreement or award; or

(7) except for dispute resolution communications generated by

the neutral, the dispute resolution communication was provided to

or was available to all parties to the dispute resolution

proceeding.

(c) Any dispute resolution communication that is disclosed in

violation of subsection (a) or (b), shall not be admissible in any

proceeding relating to the issues in controversy with respect to

which the communication was made.

(d)(1) The parties may agree to alternative confidential

procedures for disclosures by a neutral. Upon such agreement the

parties shall inform the neutral before the commencement of the

dispute resolution proceeding of any modifications to the

provisions of subsection (a) that will govern the confidentiality

of the dispute resolution proceeding. If the parties do not so

inform the neutral, subsection (a) shall apply.

(2) To qualify for the exemption established under subsection

(j), an alternative confidential procedure under this subsection

may not provide for less disclosure than the confidential

procedures otherwise provided under this section.

(e) If a demand for disclosure, by way of discovery request or

other legal process, is made upon a neutral regarding a dispute

resolution communication, the neutral shall make reasonable efforts

to notify the parties and any affected nonparty participants of the

demand. Any party or affected nonparty participant who receives

such notice and within 15 calendar days does not offer to defend a

refusal of the neutral to disclose the requested information shall

have waived any objection to such disclosure.

(f) Nothing in this section shall prevent the discovery or

admissibility of any evidence that is otherwise discoverable,

merely because the evidence was presented in the course of a

dispute resolution proceeding.

(g) Subsections (a) and (b) shall have no effect on the

information and data that are necessary to document an agreement

reached or order issued pursuant to a dispute resolution

proceeding.

(h) Subsections (a) and (b) shall not prevent the gathering of

information for research or educational purposes, in cooperation

with other agencies, governmental entities, or dispute resolution

programs, so long as the parties and the specific issues in

controversy are not identifiable.

(i) Subsections (a) and (b) shall not prevent use of a dispute

resolution communication to resolve a dispute between the neutral

in a dispute resolution proceeding and a party to or participant in

such proceeding, so long as such dispute resolution communication

is disclosed only to the extent necessary to resolve such dispute.

(j) A dispute resolution communication which is between a neutral

and a party and which may not be disclosed under this section shall

also be exempt from disclosure under section 552(b)(3).

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2740,

Sec. 584; renumbered Sec. 574, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944; amended Pub. L. 104-320, Sec. 3, Oct. 19,

1996, 110 Stat. 3870.)

-COD-

CODIFICATION

Section 574 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2255

of Title 7, Agriculture.

Section 574a of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2226

of Title 7.

-MISC3-

PRIOR PROVISIONS

A prior section 574 was renumbered section 594 of this title.

AMENDMENTS

1996 - Subsecs. (a), (b). Pub. L. 104-320, Sec. 3(a), in

introductory provisions struck out ''any information concerning''

after ''be required to disclose''.

Subsec. (b)(7). Pub. L. 104-320, Sec. 3(b), amended par. (7)

generally. Prior to amendment, par. (7) read as follows: ''the

dispute resolution communication was provided to or was available

to all parties to the dispute resolution proceeding''.

Subsec. (d). Pub. L. 104-320, Sec. 3(c), designated existing

provisions as par. (1) and added par. (2).

Subsec. (j). Pub. L. 104-320, Sec. 3(d), amended subsec. (j)

generally. Prior to amendment, subsec. (j) read as follows: ''This

section shall not be considered a statute specifically exempting

disclosure under section 552(b)(3) of this title.''

1992 - Pub. L. 102-354 renumbered section 584 of this title as

this section.

-CITE-

5 USC Sec. 575 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 575. Authorization of arbitration

-STATUTE-

(a)(1) Arbitration may be used as an alternative means of dispute

resolution whenever all parties consent. Consent may be obtained

either before or after an issue in controversy has arisen. A party

may agree to -

(A) submit only certain issues in controversy to arbitration;

or

(B) arbitration on the condition that the award must be within

a range of possible outcomes.

(2) The arbitration agreement that sets forth the subject matter

submitted to the arbitrator shall be in writing. Each such

arbitration agreement shall specify a maximum award that may be

issued by the arbitrator and may specify other conditions limiting

the range of possible outcomes.

(3) An agency may not require any person to consent to

arbitration as a condition of entering into a contract or obtaining

a benefit.

(b) An officer or employee of an agency shall not offer to use

arbitration for the resolution of issues in controversy unless such

officer or employee -

(1) would otherwise have authority to enter into a settlement

concerning the matter; or

(2) is otherwise specifically authorized by the agency to

consent to the use of arbitration.

(c) Prior to using binding arbitration under this subchapter, the

head of an agency, in consultation with the Attorney General and

after taking into account the factors in section 572(b), shall

issue guidance on the appropriate use of binding arbitration and

when an officer or employee of the agency has authority to settle

an issue in controversy through binding arbitration.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2742,

Sec. 585; renumbered Sec. 575, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944; amended Pub. L. 104-320, Sec. 8(c), Oct.

19, 1996, 110 Stat. 3872.)

-COD-

CODIFICATION

Section 575 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2259

of Title 7, Agriculture.

-MISC3-

PRIOR PROVISIONS

A prior section 575 was renumbered section 595 of this title.

AMENDMENTS

1996 - Subsec. (a)(2). Pub. L. 104-320, Sec. 8(c)(1), (2),

substituted ''The'' for ''Any'' and inserted at end ''Each such

arbitration agreement shall specify a maximum award that may be

issued by the arbitrator and may specify other conditions limiting

the range of possible outcomes.''

Subsec. (b). Pub. L. 104-320, Sec. 8(c)(3), in introductory

provisions substituted ''shall not offer to use arbitration for the

resolution of issues in controversy unless'' for ''may offer to use

arbitration for the resolution of issues in controversy, if'', and

in par. (1) substituted ''would otherwise have authority'' for

''has authority''.

Subsec. (c). Pub. L. 104-320, Sec. 8(c)(4), added subsec. (c).

1992 - Pub. L. 102-354 renumbered section 585 of this title as

this section.

-CITE-

5 USC Sec. 576 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 576. Enforcement of arbitration agreements

-STATUTE-

An agreement to arbitrate a matter to which this subchapter

applies is enforceable pursuant to section 4 of title 9, and no

action brought to enforce such an agreement shall be dismissed nor

shall relief therein be denied on the grounds that it is against

the United States or that the United States is an indispensable

party.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2742,

Sec. 586; renumbered Sec. 576, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944.)

-COD-

CODIFICATION

Section 576 of former Title 5, Executive Departments and

Government Officers and Employees, was transferred to section 2260

of Title 7, Agriculture, and subsequently repealed by Pub. L.

107-171, title X, Sec. 10418(a)(3), May 13, 2002, 116 Stat. 507.

-MISC3-

PRIOR PROVISIONS

A prior section 576 was renumbered section 596 of this title.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 586 of this title as

this section.

-CITE-

5 USC Sec. 577 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 577. Arbitrators

-STATUTE-

(a) The parties to an arbitration proceeding shall be entitled to

participate in the selection of the arbitrator.

(b) The arbitrator shall be a neutral who meets the criteria of

section 573 of this title.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2742,

Sec. 587; renumbered Sec. 577 and amended Pub. L. 102-354, Sec.

3(b)(2), (3), Aug. 26, 1992, 102 Stat. 944, 945.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 3(b)(2), renumbered section 587 of

this title as this section.

Subsec. (b). Pub. L. 102-354, Sec. 3(b)(3), substituted ''section

573'' for ''section 583''.

-CITE-

5 USC Sec. 578 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 578. Authority of the arbitrator

-STATUTE-

An arbitrator to whom a dispute is referred under this subchapter

may -

(1) regulate the course of and conduct arbitral hearings;

(2) administer oaths and affirmations;

(3) compel the attendance of witnesses and production of

evidence at the hearing under the provisions of section 7 of

title 9 only to the extent the agency involved is otherwise

authorized by law to do so; and

(4) make awards.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2742,

Sec. 588; renumbered Sec. 578, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 588 of this title as

this section.

-CITE-

5 USC Sec. 579 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 579. Arbitration proceedings

-STATUTE-

(a) The arbitrator shall set a time and place for the hearing on

the dispute and shall notify the parties not less than 5 days

before the hearing.

(b) Any party wishing a record of the hearing shall -

(1) be responsible for the preparation of such record;

(2) notify the other parties and the arbitrator of the

preparation of such record;

(3) furnish copies to all identified parties and the

arbitrator; and

(4) pay all costs for such record, unless the parties agree

otherwise or the arbitrator determines that the costs should be

apportioned.

(c)(1) The parties to the arbitration are entitled to be heard,

to present evidence material to the controversy, and to

cross-examine witnesses appearing at the hearing.

(2) The arbitrator may, with the consent of the parties, conduct

all or part of the hearing by telephone, television, computer, or

other electronic means, if each party has an opportunity to

participate.

(3) The hearing shall be conducted expeditiously and in an

informal manner.

(4) The arbitrator may receive any oral or documentary evidence,

except that irrelevant, immaterial, unduly repetitious, or

privileged evidence may be excluded by the arbitrator.

(5) The arbitrator shall interpret and apply relevant statutory

and regulatory requirements, legal precedents, and policy

directives.

(d) No interested person shall make or knowingly cause to be made

to the arbitrator an unauthorized ex parte communication relevant

to the merits of the proceeding, unless the parties agree

otherwise. If a communication is made in violation of this

subsection, the arbitrator shall ensure that a memorandum of the

communication is prepared and made a part of the record, and that

an opportunity for rebuttal is allowed. Upon receipt of a

communication made in violation of this subsection, the arbitrator

may, to the extent consistent with the interests of justice and the

policies underlying this subchapter, require the offending party to

show cause why the claim of such party should not be resolved

against such party as a result of the improper conduct.

(e) The arbitrator shall make the award within 30 days after the

close of the hearing, or the date of the filing of any briefs

authorized by the arbitrator, whichever date is later, unless -

(1) the parties agree to some other time limit; or

(2) the agency provides by rule for some other time limit.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2742,

Sec. 589; renumbered Sec. 579, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944.)

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 589 of this title as

this section.

-CITE-

5 USC Sec. 580 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 580. Arbitration awards

-STATUTE-

(a)(1) Unless the agency provides otherwise by rule, the award in

an arbitration proceeding under this subchapter shall include a

brief, informal discussion of the factual and legal basis for the

award, but formal findings of fact or conclusions of law shall not

be required.

(2) The prevailing parties shall file the award with all relevant

agencies, along with proof of service on all parties.

(b) The award in an arbitration proceeding shall become final 30

days after it is served on all parties. Any agency that is a party

to the proceeding may extend this 30-day period for an additional

30-day period by serving a notice of such extension on all other

parties before the end of the first 30-day period.

(c) A final award is binding on the parties to the arbitration

proceeding, and may be enforced pursuant to sections 9 through 13

of title 9. No action brought to enforce such an award shall be

dismissed nor shall relief therein be denied on the grounds that it

is against the United States or that the United States is an

indispensable party.

(d) An award entered under this subchapter in an arbitration

proceeding may not serve as an estoppel in any other proceeding for

any issue that was resolved in the proceeding. Such an award also

may not be used as precedent or otherwise be considered in any

factually unrelated proceeding, whether conducted under this

subchapter, by an agency, or in a court, or in any other

arbitration proceeding.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2743,

Sec. 590; renumbered Sec. 580 and amended Pub. L. 102-354, Sec.

3(b)(2), 5(b)(3), Aug. 26, 1992, 106 Stat. 944, 946; Pub. L.

104-320, Sec. 8(a), Oct. 19, 1996, 110 Stat. 3872.)

-MISC1-

AMENDMENTS

1996 - Subsec. (c). Pub. L. 104-320, Sec. 8(a), redesignated

subsec. (d) as (c) and struck out former subsec. (c) which read as

follows: ''The head of any agency that is a party to an arbitration

proceeding conducted under this subchapter is authorized to

terminate the arbitration proceeding or vacate any award issued

pursuant to the proceeding before the award becomes final by

serving on all other parties a written notice to that effect, in

which case the award shall be null and void. Notice shall be

provided to all parties to the arbitration proceeding of any

request by a party, nonparty participant or other person that the

agency head terminate the arbitration proceeding or vacate the

award. An employee or agent engaged in the performance of

investigative or prosecuting functions for an agency may not, in

that or a factually related case, advise in a decision under this

subsection to terminate an arbitration proceeding or to vacate an

arbitral award, except as witness or counsel in public

proceedings.''

Subsecs. (d), (e). Pub. L. 104-320, Sec. 8(a)(2), redesignated

subsec. (e) as (d). Former subsec. (d) redesignated (c).

Subsecs. (f), (g). Pub. L. 104-320, Sec. 8(a)(1), struck out

subsecs. (f) and (g) which read as follows:

''(f) An arbitral award that is vacated under subsection (c)

shall not be admissible in any proceeding relating to the issues in

controversy with respect to which the award was made.

''(g) If an agency head vacates an award under subsection (c), a

party to the arbitration (other than the United States) may within

30 days of such action petition the agency head for an award of

fees and other expenses (as defined in section 504(b)(1)(A) of this

title) incurred in connection with the arbitration proceeding. The

agency head shall award the petitioning party those fees and

expenses that would not have been incurred in the absence of such

arbitration proceeding, unless the agency head or his or her

designee finds that special circumstances make such an award

unjust. The procedures for reviewing applications for awards

shall, where appropriate, be consistent with those set forth in

subsection (a)(2) and (3) of section 504 of this title. Such fees

and expenses shall be paid from the funds of the agency that

vacated the award.''

1992 - Pub. L. 102-354, Sec. 3(b)(2), renumbered section 590 of

this title as this section.

Subsec. (g). Pub. L. 102-354, Sec. 5(b)(3), substituted ''fees

and other expenses'' for ''attorney fees and expenses''.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in title 9 section 10.

-CITE-

5 USC Sec. 581 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 581. Judicial Review (FOOTNOTE 1)

-STATUTE-

(FOOTNOTE 1) So in original. Probably should not be

capitalized.

(a) Notwithstanding any other provision of law, any person

adversely affected or aggrieved by an award made in an arbitration

proceeding conducted under this subchapter may bring an action for

review of such award only pursuant to the provisions of sections 9

through 13 of title 9.

(b) A decision by an agency to use or not to use a dispute

resolution proceeding under this subchapter shall be committed to

the discretion of the agency and shall not be subject to judicial

review, except that arbitration shall be subject to judicial review

under section 10(b) (FOOTNOTE 2) of title 9.

(FOOTNOTE 2) See References in Text note below.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2744,

Sec. 591; renumbered Sec. 581 and amended Pub. L. 102-354, Sec.

3(b)(2), (4), Aug. 26, 1992, 106 Stat. 944, 945; Pub. L. 104-320,

Sec. 8(b), Oct. 19, 1996, 110 Stat. 3872.)

-REFTEXT-

REFERENCES IN TEXT

Section 10(b) of title 9, referred to in subsec. (b), was

redesignated section 10(c) of title 9 by Pub. L. 107-169, Sec.

1(4), May 7, 2002, 116 Stat. 132.

-MISC2-

PRIOR PROVISIONS

A prior section 581 was renumbered section 571 of this title.

Another prior section 581 was renumbered section 561 of this

title.

AMENDMENTS

1996 - Subsec. (b). Pub. L. 104-320, which directed that section

581(d) of this title be amended by striking ''(1)'' after ''(b)''

and by striking par. (2), was executed to subsec. (b) of this

section to reflect the probable intent of Congress. Prior to

amendment, par. (2) read as follows: ''A decision by the head of an

agency under section 580 to terminate an arbitration proceeding or

vacate an arbitral award shall be committed to the discretion of

the agency and shall not be subject to judicial review.''

1992 - Pub. L. 102-354, Sec. 3(b)(2), renumbered section 591 of

this title as this section.

Subsec. (b)(2). Pub. L. 102-354, Sec. 3(b)(4), substituted

''section 580'' for ''section 590''.

-CITE-

5 USC Sec. 582 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

(Sec. 582. Repealed. Pub. L. 104-320, Sec. 4(b)(1), Oct. 19, 1996,

110 Stat. 3871)

-MISC1-

Section, added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104

Stat. 2744, Sec. 592; renumbered Sec. 582, Pub. L. 102-354, Sec.

3(b)(2), Aug. 26, 1992, 106 Stat. 944, related to compilation of

data on use of alternative means of dispute resolution in

conducting agency proceedings.

-CITE-

5 USC Sec. 583 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 583. Support services

-STATUTE-

For the purposes of this subchapter, an agency may use (with or

without reimbursement) the services and facilities of other Federal

agencies, State, local, and tribal governments, public and private

organizations and agencies, and individuals, with the consent of

such agencies, organizations, and individuals. An agency may

accept voluntary and uncompensated services for purposes of this

subchapter without regard to the provisions of section 1342 of

title 31.

-SOURCE-

(Added Pub. L. 101-552, Sec. 4(b), Nov. 15, 1990, 104 Stat. 2745,

Sec. 593; renumbered Sec. 583, Pub. L. 102-354, Sec. 3(b)(2), Aug.

26, 1992, 106 Stat. 944; amended Pub. L. 104-320, Sec. 5, Oct. 19,

1996, 110 Stat. 3871.)

-MISC1-

PRIOR PROVISIONS

Prior sections 583 to 590 were renumbered sections 573 to 580 of

this title, respectively.

Other prior sections 583 to 590 were renumbered sections 563 to

570 of this title, respectively.

AMENDMENTS

1996 - Pub. L. 104-320 inserted ''State, local, and tribal

governments,'' after ''other Federal agencies,''.

1992 - Pub. L. 102-354 renumbered section 593 of this title as

this section.

-CITE-

5 USC Sec. 584 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER IV - ALTERNATIVE MEANS OF DISPUTE RESOLUTION IN THE

ADMINISTRATIVE PROCESS

-HEAD-

Sec. 584. Authorization of appropriations

-STATUTE-

There are authorized to be appropriated such sums as may be

necessary to carry out the purposes of this subchapter.

-SOURCE-

(Added Pub. L. 104-320, Sec. 10(a), Oct. 19, 1996, 110 Stat. 3873.)

-CITE-

5 USC SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE

UNITED STATES 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

.

-HEAD-

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-MISC1-

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 2(1), Aug. 26, 1992, 106 Stat. 944,

redesignated subchapter III of this chapter as this subchapter.

-TRANS-

TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

Pub. L. 104-52, title IV, Nov. 19, 1995, 109 Stat. 480, provided:

''For necessary expenses of the Administrative Conference of the

United States, established under subchapter V of chapter 5 of title

5, United States Code, $600,000: Provided, That these funds shall

only be available for the purposes of the prompt and orderly

termination of the Administrative Conference of the United States

by February 1, 1996.''

-CITE-

5 USC Sec. 591 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 591. Purpose

-STATUTE-

It is the purpose of this subchapter to provide suitable

arrangements through which Federal agencies, assisted by outside

experts, may cooperatively study mutual problems, exchange

information, and develop recommendations for action by proper

authorities to the end that private rights may be fully protected

and regulatory activities and other Federal responsibilities may be

carried out expeditiously in the public interest.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 388, Sec. 571; renumbered

Sec. 591, Pub. L. 102-354, Sec. 2(2), Aug. 26, 1992, 106 Stat.

944.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1045(e). Aug. 30, 1964, Pub.

L. 88-499, Sec.

2(e), 78 Stat. 615.

-------------------------------

The words ''this subchapter'' are substituted for ''this Act'' to

reflect the codification of the Administrative Conference Act in

this subchapter.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

PRIOR PROVISIONS

A prior section 591 was renumbered section 581 of this title.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 571 of this title as

this section.

-CITE-

5 USC Sec. 592 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 592. Definitions

-STATUTE-

For the purpose of this subchapter -

(1) ''administrative program'' includes a Federal function

which involves protection of the public interest and the

determination of rights, privileges, and obligations of private

persons through rule making, adjudication, licensing, or

investigation, as those terms are used in subchapter II of this

chapter, except that it does not include a military or foreign

affairs function of the United States;

(2) ''administrative agency'' means an authority as defined by

section 551(1) of this title; and

(3) ''administrative procedure'' means procedure used in

carrying out an administrative program and is to be broadly

construed to include any aspect of agency organization,

procedure, or management which may affect the equitable

consideration of public and private interests, the fairness of

agency decisions, the speed of agency action, and the

relationship of operating methods to later judicial review, but

does not include the scope of agency responsibility as

established by law or matters of substantive policy committed by

law to agency discretion.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 388, Sec. 572; renumbered

Sec. 592, Pub. L. 102-354, Sec. 2(2), Aug. 26, 1992, 106 Stat.

944.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1045a. Aug. 30, 1964, Pub.

L. 88-499, Sec. 3,

78 Stat. 615.

-------------------------------

In paragraph (1), the words ''subchapter II of this chapter'' are

substituted for ''the Administrative Procedure Act (5 U.S.C.

1001-1011)'' to reflect the codification of the Act in this title.

The word ''naval'' is omitted as included in ''military''.

In paragraph (2), the words ''section 551(1) of this title'' are

substituted for ''section 2(a) of the Administrative Procedure Act

(5 U.S.C. 1001(a))''.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

PRIOR PROVISIONS

A prior section 592 was renumbered section 582 of this title and

was subsequently repealed.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 572 of this title as

this section.

-CITE-

5 USC Sec. 593 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 593. Administrative Conference of the United States

-STATUTE-

(a) The Administrative Conference of the United States consists

of not more than 101 nor less than 75 members appointed as set

forth in subsection (b) of this section.

(b) The Conference is composed of -

(1) a full-time Chairman appointed for a 5-year term by the

President, by and with the advice and consent of the Senate. The

Chairman is entitled to pay at the highest rate established by

statute for the chairman of an independent regulatory board or

commission, and may continue to serve until his successor is

appointed and has qualified;

(2) the chairman of each independent regulatory board or

commission or an individual designated by the board or

commission;

(3) the head of each Executive department or other

administrative agency which is designated by the President, or an

individual designated by the head of the department or agency;

(4) when authorized by the Council referred to in section

595(b) of this title, one or more appointees from a board,

commission, department, or agency referred to in this subsection,

designated by the head thereof with, in the case of a board or

commission, the approval of the board or commission;

(5) individuals appointed by the President to membership on the

Council who are not otherwise members of the Conference; and

(6) not more than 40 other members appointed by the Chairman,

with the approval of the Council, for terms of 2 years, except

that the number of members appointed by the Chairman may at no

time be less than one-third nor more than two-fifths of the total

number of members. The Chairman shall select the members in a

manner which will provide broad representation of the views of

private citizens and utilize diverse experience. The members

shall be members of the practicing bar, scholars in the field of

administrative law or government, or others specially informed by

knowledge and experience with respect to Federal administrative

procedure.

(c) Members of the Conference, except the Chairman, are not

entitled to pay for service. Members appointed from outside the

Federal Government are entitled to travel expenses, including per

diem instead of subsistence, as authorized by section 5703 of this

title for individuals serving without pay.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 389, Sec. 573; Pub. L.

99-470, Sec. 1, Oct. 14, 1986, 100 Stat. 1198; renumbered Sec. 593

and amended Pub. L. 102-354, Sec. 2(2), (3), Aug. 26, 1992, 106

Stat. 944.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1045b. Aug. 30, 1964, Pub.

L. 88-499, Sec. 4,

78 Stat. 616.

-------------------------------

In subsection (a), the words ''There is hereby established'' are

omitted as executed. The words ''hereinafter referred to as the

'Conference' '' are omitted as unnecessary as the title

''Administrative Conference of the United States'' is fully set out

the first time it is used in each section of this chapter.

In subsection (b)(4), the words ''referred to in section 575(b)

of this title'' are inserted for clarity.

In subsection (c), the words ''by section 5703 of this title''

are substituted for ''by law (5 U.S.C. 73b-2)'' to reflect the

codification of that section in title 5.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

PRIOR PROVISIONS

A prior section 593 was renumbered section 583 of this title.

AMENDMENTS

1992 - Pub. L. 102-354, Sec. 2(2), renumbered section 573 of this

title as this section.

Subsec. (b)(4). Pub. L. 102-354, Sec. 2(3), substituted ''section

595(b)'' for ''section 575(b)''.

1986 - Subsec. (a). Pub. L. 99-470, Sec. 1(a)(1), substituted

''101'' for ''91''.

Subsec. (b)(6). Pub. L. 99-470, Sec. 1(a)(2), substituted ''40''

for ''36''.

-TRANS-

TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

For termination of Administrative Conference of United States,

see note set out preceding section 591 of this title.

-MISC5-

DEVELOPMENT OF ADMINISTRATIVE CONFERENCE

The Administrative Conference of the United States, established

as a permanent body by the Administrative Conference Act, Pub. L.

88-499, Aug. 30, 1964, 78 Stat. 615, was preceded by two temporary

Conferences. The first was called by President Eisenhower in 1953

and adopted a final report which was transmitted to the President

who acknowledged receipt of it on March 3, 1955. The second was

established by President Kennedy by Executive Order No. 10934, Apr.

14, 1961, 26 F.R. 3233, which, by its terms, called for a final

report to the President by December 31, 1962. The final report

recommended a continuing Conference consisting of both government

personnel and outside experts.

-CITE-

5 USC Sec. 594 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 594. Powers and duties of the Conference

-STATUTE-

To carry out the purpose of this subchapter, the Administrative

Conference of the United States may -

(1) study the efficiency, adequacy, and fairness of the

administrative procedure used by administrative agencies in

carrying out administrative programs, and make recommendations to

administrative agencies, collectively or individually, and to the

President, Congress, or the Judicial Conference of the United

States, in connection therewith, as it considers appropriate;

(2) arrange for interchange among administrative agencies of

information potentially useful in improving administrative

procedure;

(3) collect information and statistics from administrative

agencies and publish such reports as it considers useful for

evaluating and improving administrative procedure;

(4) enter into arrangements with any administrative agency or

major organizational unit within an administrative agency

pursuant to which the Conference performs any of the functions

described in this section; and

(5) provide assistance in response to requests relating to the

improvement of administrative procedure in foreign countries,

subject to the concurrence of the Secretary of State, the

Administrator of the Agency for International Development, or the

Director of the United States Information Agency, as appropriate,

except that -

(A) such assistance shall be limited to the analysis of

issues relating to administrative procedure, the provision of

training of foreign officials in administrative procedure, and

the design or improvement of administrative procedure, where

the expertise of members of the Conference is indicated; and

(B) such assistance may only be undertaken on a fully

reimbursable basis, including all direct and indirect

administrative costs.

Payment for services provided by the Conference pursuant to

paragraph (4) shall be credited to the operating account for the

Conference and shall remain available until expended.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 390, Sec. 574; Pub. L.

101-422, Sec. 2, Oct. 12, 1990, 104 Stat. 910; renumbered Sec. 594,

Pub. L. 102-354, Sec. 2(2), Aug. 26, 1992, 106 Stat. 944; Pub. L.

102-403, Oct. 9, 1992, 106 Stat. 1968.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

---------------------------------------------------------------------

5 U.S.C. 1045c. Aug. 30, 1964, Pub.

L. 88-499, Sec. 5,

78 Stat. 616.

-------------------------------

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 574 of this title as

this section.

Par. (4). Pub. L. 102-403 amended par. (4) generally. Prior to

amendment, par. (4) read as follows: ''enter into arrangements with

any administrative agency or major organizational unit within an

administrative agency pursuant to which the Conference performs any

of the functions described in paragraphs (1), (2), and (3).''

Par. (5). Pub. L. 102-403 which directed addition of par. (5) at

end of section, was executed by adding par. (5) after par. (4) and

before concluding provisions, to reflect the probable intent of

Congress.

1990 - Pub. L. 101-422 added par. (4) and concluding provisions.

-TRANS-

TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

For termination of Administrative Conference of United States,

see note set out preceding section 591 of this title.

TRANSFER OF FUNCTIONS

United States Information Agency (other than Broadcasting Board

of Governors and International Broadcasting Bureau) abolished and

functions transferred to Secretary of State, see sections 6531 and

6532 of Title 22, Foreign Relations and Intercourse.

-CITE-

5 USC Sec. 595 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 595. Organization of the Conference

-STATUTE-

(a) The membership of the Administrative Conference of the United

States meeting in plenary session constitutes the Assembly of the

Conference. The Assembly has ultimate authority over all activities

of the Conference. Specifically, it has the power to -

(1) adopt such recommendations as it considers appropriate for

improving administrative procedure. A member who disagrees with

a recommendation adopted by the Assembly is entitled to enter a

dissenting opinion and an alternate proposal in the record of the

Conference proceedings, and the opinion and proposal so entered

shall accompany the Conference recommendation in a publication or

distribution thereof; and

(2) adopt bylaws and regulations not inconsistent with this

subchapter for carrying out the functions of the Conference,

including the creation of such committees as it considers

necessary for the conduct of studies and the development of

recommendations for consideration by the Assembly.

(b) The Conference includes a Council composed of the Chairman of

the Conference, who is Chairman of the Council, and 10 other

members appointed by the President, of whom not more than one-half

shall be employees of Federal regulatory agencies or Executive

departments. The President may designate a member of the Council

as Vice Chairman. During the absence or incapacity of the Chairman,

or when that office is vacant, the Vice Chairman shall serve as

Chairman. The term of each member, except the Chairman, is 3

years. When the term of a member ends, he may continue to serve

until a successor is appointed. However, the service of any member

ends when a change in his employment status would make him

ineligible for Council membership under the conditions of his

original appointment. The Council has the power to -

(1) determine the time and place of plenary sessions of the

Conference and the agenda for the sessions. The Council shall

call at least one plenary session each year;

(2) propose bylaws and regulations, including rules of

procedure and committee organization, for adoption by the

Assembly;

(3) make recommendations to the Conference or its committees on

a subject germane to the purpose of the Conference;

(4) receive and consider reports and recommendations of

committees of the Conference and send them to members of the

Conference with the views and recommendations of the Council;

(5) designate a member of the Council to preside at meetings of

the Council in the absence or incapacity of the Chairman and Vice

Chairman;

(6) designate such additional officers of the Conference as it

considers desirable;

(7) approve or revise the budgetary proposals of the Chairman;

and

(8) exercise such other powers as may be delegated to it by the

Assembly.

(c) The Chairman is the chief executive of the Conference. In

that capacity he has the power to -

(1) make inquiries into matters he considers important for

Conference consideration, including matters proposed by

individuals inside or outside the Federal Government;

(2) be the official spokesman for the Conference in relations

with the several branches and agencies of the Federal Government

and with interested organizations and individuals outside the

Government, including responsibility for encouraging Federal

agencies to carry out the recommendations of the Conference;

(3) request agency heads to provide information needed by the

Conference, which information shall be supplied to the extent

permitted by law;

(4) recommend to the Council appropriate subjects for action by

the Conference;

(5) appoint, with the approval of the Council, members of

committees authorized by the bylaws and regulations of the

Conference;

(6) prepare, for approval of the Council, estimates of the

budgetary requirements of the Conference;

(7) appoint and fix the pay of employees, define their duties

and responsibilities, and direct and supervise their activities;

(8) rent office space in the District of Columbia;

(9) provide necessary services for the Assembly, the Council,

and the committees of the Conference;

(10) organize and direct studies ordered by the Assembly or the

Council, to contract for the performance of such studies with any

public or private persons, firm, association, corporation, or

institution under title III of the Federal Property and

Administrative Services Act of 1949, as amended (41 U.S.C.

251-260), and to use from time to time, as appropriate, experts

and consultants who may be employed in accordance with section

3109 of this title at rates not in excess of the maximum rate of

pay for grade GS-15 as provided in section 5332 of this title;

(11) utilize, with their consent, the services and facilities

of Federal agencies and of State and private agencies and

instrumentalities with or without reimbursement;

(12) accept, hold, administer, and utilize gifts, devises, and

bequests of property, both real and personal, for the purpose of

aiding and facilitating the work of the Conference. Gifts and

bequests of money and proceeds from sales of other property

received as gifts, devises, or bequests shall be deposited in the

Treasury and shall be disbursed upon the order of the Chairman.

Property accepted pursuant to this section, and the proceeds

thereof, shall be used as nearly as possible in accordance with

the terms of the gifts, devises, or bequests. For purposes of

Federal income, estate, or gift taxes, property accepted under

this section shall be considered as a gift, devise, or bequest to

the United States;

(13) accept voluntary and uncompensated services,

notwithstanding the provisions of section 1342 of title 31;

(14) on request of the head of an agency, furnish assistance

and advice on matters of administrative procedure;

(15) exercise such additional authority as the Council or

Assembly delegates to him; and

(16) request any administrative agency to notify the Chairman

of its intent to enter into any contract with any person outside

the agency to study the efficiency, adequacy, or fairness of an

agency proceeding (as defined in section 551(12) of this title).

The Chairman shall preside at meetings of the Council and at each

plenary session of the Conference, to which he shall make a full

report concerning the affairs of the Conference since the last

preceding plenary session. The Chairman, on behalf of the

Conference, shall transmit to the President and Congress an annual

report and such interim reports as he considers desirable.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 390, Sec. 575; Pub. L.

92-526, Sec. 1, Oct. 21, 1972, 86 Stat. 1048; Pub. L. 97-258, Sec.

3(a)(1), Sept. 13, 1982, 96 Stat. 1062; Pub. L. 101-422, Sec. 3,

Oct. 12, 1990, 104 Stat. 910; renumbered Sec. 595, Pub. L. 102-354,

Sec. 2(2), Aug. 26, 1992, 106 Stat. 944.)

-MISC1-

Historical and Revision Notes

---------------------------------------------------------------------

Derivation U.S. Code Revised Statutes and

Statutes at Large

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5 U.S.C. 1045d. Aug. 30, 1964, Pub.

L. 88-499, Sec. 6,

78 Stat. 617.

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In subsection (b), the words ''except that the Council members

initially appointed shall serve for one, two, or three years, as

designated by the President'' are omitted as executed, existing

rights being preserved by technical section 8.

In subsection (b)(1), the words ''the sessions'' are substituted

for ''such meetings'' for clarity as elsewhere the word

''sessions'' refers to sessions of the Conference and ''meetings''

refers to meetings of the Council.

In subsection (c)(7), the words ''subject to the civil service

and classification laws'' are omitted as unnecessary inasmuch as

appointments in the executive branch are made subject to the civil

service laws and pay is fixed under classification laws unless

specifically excepted. The words ''and fix the pay of'' are added

for clarity.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

-REFTEXT-

REFERENCES IN TEXT

The Federal Property and Administrative Services Act of 1949,

referred to in subsec. (c)(10), is act June 30, 1949, ch. 288, 63

Stat. 377, as amended. Title III of the Act is classified

generally to subchapter IV (Sec. 251 et seq.) of chapter 4 of Title

41, Public Contracts. For complete classification of this Act to

the Code, see Tables.

-MISC2-

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 575 of this title as

this section.

1990 - Subsec. (c)(16). Pub. L. 101-422 added par. (16).

1982 - Subsec. (c)(13). Pub. L. 97-258 substituted ''section 1342

of title 31'' for ''section 3679(b) of the Revised Statutes (31

U.S.C. 665(b))''.

1972 - Subsec. (c)(10). Pub. L. 92-526, Sec. 1(a), inserted

provisions authorizing contracts for the performance of such

studies with any public or private persons, etc., under title III

of the Federal Property and Administrative Services Act of 1949, as

amended, and substituted provisions authorizing the payment of

experts and consultants in accordance with rates not in excess of

the maximum rate of pay for grade GS-15 as provided in section 5332

of this title, for provisions authorizing the payment of such

individuals at rates not in excess of $100 a day.

Subsec. (c)(11) to (15). Pub. L. 92-526, Sec. 1(b), added pars.

(11) to (13) and redesignated former pars. (11) and (12) as (14)

and (15), respectively.

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TERMINATION OF ADMINISTRATIVE CONFERENCE OF UNITED STATES

For termination of Administrative Conference of United States,

see note set out preceding section 591 of this title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 593 of this title.

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5 USC Sec. 596 01/06/03

-EXPCITE-

TITLE 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

PART I - THE AGENCIES GENERALLY

CHAPTER 5 - ADMINISTRATIVE PROCEDURE

SUBCHAPTER V - ADMINISTRATIVE CONFERENCE OF THE UNITED STATES

-HEAD-

Sec. 596. Authorization of appropriations

-STATUTE-

There are authorized to be appropriated to carry out the purposes

of this subchapter not more than $2,000,000 for fiscal year 1990,

$2,100,000 for fiscal year 1991, $2,200,000 for fiscal year 1992,

$2,300,000 for fiscal year 1993, and $2,400,000 for fiscal year

1994. Of any amounts appropriated under this section, not more than

$1,500 may be made available in each fiscal year for official

representation and entertainment expenses for foreign dignitaries.

-SOURCE-

(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 391, Sec. 576; Pub. L.

91-164, Dec. 24, 1969, 83 Stat. 446; Pub. L. 92-526, Sec. 2, Oct.

21, 1972, 86 Stat. 1048; Pub. L. 95-293, Sec. 1(a), June 13, 1978,

92 Stat. 317; Pub. L. 97-330, Oct. 15, 1982, 96 Stat. 1618; Pub. L.

99-470, Sec. 2(a), Oct. 14, 1986, 100 Stat. 1198; Pub. L. 101-422,

Sec. 1, Oct. 12, 1990, 104 Stat. 910; renumbered Sec. 596, Pub. L.

102-354, Sec. 2(2), Aug. 26, 1992, 106 Stat. 944.)

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Historical and Revision Notes

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Derivation U.S. Code Revised Statutes and

Statutes at Large

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5 U.S.C. 1045e. Aug. 30, 1964, Pub.

L. 88-499, Sec. 7,

78 Stat. 618.

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The word ''hereby'' is omitted as unnecessary.

Standard changes are made to conform with the definitions

applicable and the style of this title as outlined in the preface

to the report.

AMENDMENTS

1992 - Pub. L. 102-354 renumbered section 576 of this title as

this section.

1990 - Pub. L. 101-422 amended section generally. Prior to

amendment, section read as follows: ''There are authorized to be

appropriated to carry out the purposes of this subchapter not more

than $1,600,000 for fiscal year 1986 and not more than $2,000,000

for each fiscal year thereafter up to and including fiscal year

1990. Of any amounts appropriated under this section, not more than

$1,000 may be made available in each fiscal year for official

reception and entertainment expenses for foreign dignitaries.''

1986 - Pub. L. 99-470 substituted ''Authorization of

appropriations'' for ''Appropriations'' in section catchline and

amended text generally. Prior to amendment, text read as follows:

''There are authorized to be appropriated to carry out the purposes

of this subchapter sums not to exceed $2,300,000 for the fiscal

year ending September 30, 1982, and not to exceed $2,300,000 for

each fiscal year thereafter up to and including the fiscal year

ending September 30, 1986.''

1982 - Pub. L. 97-330 substituted provisions authorizing

appropriations of not to exceed $2,300,000 for fiscal year ending

Sept. 30, 1982, and not to exceed $2,300,000 for each fiscal year

thereafter up to and including fiscal year ending Sept. 30, 1986,

for provisions that had authorized appropriations of not to exceed

$1,700,000 for fiscal year ending Sept. 30, 1979, $2,000,000 for

fiscal year ending Sept. 30, 1980, $2,300,000 for fiscal year

ending Sept. 30, 1981, and $2,300,000 for fiscal year ending Sept.

30, 1982.

1978 - Pub. L. 95-293 substituted provisions authorizing

appropriations for fiscal years ending Sept. 30, 1979, Sept. 30,

1980, Sept. 30, 1981, and Sept. 30, 1982, of $1,700,000,

$2,000,000, $2,300,000, and $2,300,000, respectively, for

provisions authorizing appropriations for fiscal years ending June

30, 1974, June 30, 1975, June 30, 1976, June 30, 1977, and June 30,

1978, of $760,000, $805,000, $850,000, $900,000, and $950,000,

respectively, and provisions authorizing for each fiscal year

thereafter such sums as may be necessary.

1972 - Pub. L. 92-526 substituted provisions authorizing to be

appropriated necessary sums not in excess of $760,000 for fiscal

year ending June 30, 1974, $805,000 for fiscal year ending June 30,

1975, $850,000 for fiscal year ending June 30, 1976, $900,000 for

fiscal year ending June 30, 1977, and $950,000 for fiscal year

ending June 30, 1978, and each fiscal year thereafter, for

provisions authorizing to be appropriated necessary sums, not in

excess of $450,000 per annum.

1969 - Pub. L. 91-164 substituted ''$450,000 per annum'' for

''$250,000''.

EFFECTIVE DATE OF 1978 AMENDMENT

Section 1(b) of Pub. L. 95-293 provided that: ''The amendment

made by subsection (a) (amending this section) shall take effect

October 1, 1977.''

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