---
kind: "range"
citation: "5 U.S.C. §§ 553–557"
title: "5"
from: "553"
to: "557"
count: 5
release: "119-102"
url: "https://uscodex.org/usc/5/553..557"
---

# §553. Rule making

- (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](/usc/5/551.md?p=1) management or personnel or to public property, loans, grants, benefits, or contracts.
- (b) General notice of proposed [rule making](/usc/5/551.md?p=5) shall be published in the Federal Register, unless [persons](/usc/5/551.md?p=2) 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](/usc/5/551.md?p=5) proceedings;
  - (2) reference to the legal [authority](/usc/5/7103.md?p=a-6) under which the rule is proposed;
  - (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved; and
  - (4) the Internet address of a summary of not more than 100 words in length of the proposed rule, in plain language, that shall be posted on the Internet website under section 206(d) of the E-Government Act of 2002 ([44 U.S.C. 3501](/usc/44/3501.md) note) (commonly known as regulations.gov).

  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](/usc/5/551.md?p=1) organization, procedure, or practice; or
  - (B) when the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) shall give interested [persons](/usc/5/551.md?p=2) an opportunity to participate in the [rule making](/usc/5/551.md?p=5) through submission of written data, views, or arguments with or without opportunity for oral presentation. After consideration of the relevant matter presented, the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) hearing, sections [556](/usc/5/556.md) and [557](/usc/5/557.md) of this title apply instead of this subsection.
- (d) The required publication or [service](/usc/5/8331.md?p=12) 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](/usc/5/551.md?p=1) for good cause found and published with the rule.
- (e) Each [agency](/usc/5/551.md?p=1) shall give an interested [person](/usc/5/551.md?p=2) the right to petition for the issuance, amendment, or repeal of a rule.

# §554. Adjudications

- (a) This section applies, according to the provisions thereof, in every case of [adjudication](/usc/5/551.md?p=7) required by statute to be determined on the record after opportunity for an [agency](/usc/5/551.md?p=1) 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](/usc/5/5361.md?p=1), except a[^1] administrative law judge appointed under [section 3105 of this title](/usc/5/3105.md);
  - (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](/usc/5/551.md?p=1) is acting as an agent for a court; or
  - (6) the certification of worker representatives.
- (b) [Persons](/usc/5/551.md?p=2) entitled to notice of an [agency](/usc/5/551.md?p=1) hearing shall be timely informed of—
  - (1) the time, place, and nature of the hearing;
  - (2) the legal [authority](/usc/5/7103.md?p=a-6) and jurisdiction under which the hearing is to be held; and
  - (3) the matters of fact and law asserted.

  When private [persons](/usc/5/551.md?p=2) are the moving [parties](/usc/5/551.md?p=3), other [parties](/usc/5/551.md?p=3) to the proceeding shall give prompt notice of issues controverted in fact or law; and in other instances [agencies](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=3) or their representatives.

- (c) The [agency](/usc/5/551.md?p=1) shall give all interested [parties](/usc/5/551.md?p=3) 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](/usc/5/551.md?p=3) are unable so to determine a controversy by consent, hearing and decision on notice and in accordance with sections [556](/usc/5/556.md) and [557](/usc/5/557.md) of this title.
- (d) The [employee](/usc/5/5361.md?p=1) who presides at the reception of evidence pursuant to [section 556 of this title](/usc/5/556.md) shall make the recommended decision or initial decision required by [section 557 of this title](/usc/5/557.md), unless he becomes unavailable to the [agency](/usc/5/551.md?p=1). Except to the extent required for the disposition of ex parte matters as authorized by law, such an [employee](/usc/5/5361.md?p=1) may not—
  - (1) consult a [person](/usc/5/551.md?p=2) or [party](/usc/5/551.md?p=3) on a fact in issue, unless on notice and opportunity for all [parties](/usc/5/551.md?p=3) to participate; or
  - (2) be responsible to or subject to the supervision or direction of an [employee](/usc/5/5361.md?p=1) or agent engaged in the performance of investigative or prosecuting functions for an [agency](/usc/5/551.md?p=1).

  An [employee](/usc/5/5361.md?p=1) or agent engaged in the performance of investigative or prosecuting functions for an [agency](/usc/5/551.md?p=1) in a case may not, in that or a factually related case, participate or advise in the decision, recommended decision, or [agency](/usc/5/551.md?p=1) review pursuant to [section 557 of this title](/usc/5/557.md), except as witness or counsel in public proceedings. This subsection does not apply—

  - (A) in determining applications for initial [licenses](/usc/5/551.md?p=8);
  - (B) to proceedings involving the validity or application of rates, facilities, or practices of public utilities or carriers; or
  - (C) to the [agency](/usc/5/551.md?p=1) or a [member](/usc/5/5531.md?p=1) or [members](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1).
- (e) The [agency](/usc/5/551.md?p=1), with like effect as in the case of other [orders](/usc/5/551.md?p=6), and in its sound discretion, may issue a declaratory [order](/usc/5/551.md?p=6) to terminate a controversy or remove uncertainty.

# §555. Ancillary matters

- (a) This section applies, according to the provisions thereof, except as otherwise provided by this subchapter.
- (b) A [person](/usc/5/551.md?p=2) compelled to appear in [person](/usc/5/551.md?p=2) before an [agency](/usc/5/551.md?p=1) or representative thereof is entitled to be accompanied, represented, and advised by counsel or, if permitted by the [agency](/usc/5/551.md?p=1), by other qualified representative. A [party](/usc/5/551.md?p=3) is entitled to appear in [person](/usc/5/551.md?p=2) or by or with counsel or other duly qualified representative in an [agency](/usc/5/551.md?p=1) proceeding. So far as the orderly conduct of public business permits, an interested [person](/usc/5/551.md?p=2) may appear before an [agency](/usc/5/551.md?p=1) or its responsible [employees](/usc/5/5361.md?p=1) 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](/usc/5/551.md?p=1) function. With due regard for the convenience and necessity of the [parties](/usc/5/551.md?p=3) or their representatives and within a reasonable time, each [agency](/usc/5/551.md?p=1) shall proceed to conclude a matter presented to it. This subsection does not grant or deny a [person](/usc/5/551.md?p=2) who is not a lawyer the right to appear for or represent others before an [agency](/usc/5/551.md?p=1) or in an [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=2) 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](/usc/5/551.md?p=1) subpenas authorized by law shall be issued to a [party](/usc/5/551.md?p=3) 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](/usc/5/551.md?p=6) 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](/usc/5/551.md?p=2) made in connection with any [agency](/usc/5/551.md?p=1) 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.

# §556. Hearings; presiding employees; powers and duties; burden of proof; evidence; record as basis of decision

- (a) This section applies, according to the provisions thereof, to hearings required by section [553](/usc/5/553.md) or [554](/usc/5/554.md) of this title to be conducted in accordance with this section.
- (b) There shall preside at the taking of evidence—
  - (1) the [agency](/usc/5/551.md?p=1);
  - (2) one or more [members](/usc/5/5531.md?p=1) of the body which comprises the [agency](/usc/5/551.md?p=1); or
  - (3) one or more administrative law judges appointed under [section 3105 of this title](/usc/5/3105.md).

  This subchapter does not supersede the conduct of specified classes of proceedings, in whole or in part, by or before [boards](/usc/5/8401.md?p=5) or other [employees](/usc/5/5361.md?p=1) specially provided for by or designated under statute. The functions of presiding [employees](/usc/5/5361.md?p=1) and of [employees](/usc/5/5361.md?p=1) participating in decisions in accordance with [section 557 of this title](/usc/5/557.md) shall be conducted in an impartial manner. A presiding or participating [employee](/usc/5/5361.md?p=1) 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](/usc/5/5361.md?p=1), the [agency](/usc/5/551.md?p=1) shall determine the matter as a part of the record and decision in the case.

- (c) Subject to published rules of the [agency](/usc/5/551.md?p=1) and within its powers, [employees](/usc/5/5361.md?p=1) 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](/usc/5/551.md?p=3) or by the use of alternative means of dispute resolution as provided in subchapter IV of this chapter;
  - (7) inform the [parties](/usc/5/551.md?p=3) 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)](#c-6) of at least one representative of each [party](/usc/5/551.md?p=3) who has [authority](/usc/5/7103.md?p=a-6) 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](/usc/5/557.md); and
  - (11) take other action authorized by [agency](/usc/5/551.md?p=1) rule consistent with this subchapter.
- (d) Except as otherwise provided by statute, the proponent of a rule or [order](/usc/5/551.md?p=6) has the burden of proof. Any oral or documentary evidence may be received, but the [agency](/usc/5/551.md?p=1) as a matter of policy shall provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence. A [sanction](/usc/5/551.md?p=10) may not be imposed or rule or [order](/usc/5/551.md?p=6) issued except on consideration of the whole record or those parts thereof cited by a [party](/usc/5/551.md?p=3) and supported by and in accordance with the reliable, probative, and substantial evidence. The [agency](/usc/5/551.md?p=1) may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the [agency](/usc/5/551.md?p=1), consider a violation of [section 557(d) of this title](/usc/5/557.md?p=d) sufficient grounds for a decision adverse to a [party](/usc/5/551.md?p=3) who has knowingly committed such violation or knowingly caused such violation to occur. A [party](/usc/5/551.md?p=3) 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](/usc/5/551.md?p=5) or determining claims for money or benefits or applications for initial [licenses](/usc/5/551.md?p=8) an [agency](/usc/5/551.md?p=1) may, when a [party](/usc/5/551.md?p=3) 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](/usc/5/557.md) and, on payment of lawfully prescribed costs, shall be made available to the [parties](/usc/5/551.md?p=3). When an [agency](/usc/5/551.md?p=1) decision rests on official notice of a material fact not appearing in the evidence in the record, a [party](/usc/5/551.md?p=3) is entitled, on timely request, to an opportunity to show the contrary.

# §557. Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record

- (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](/usc/5/556.md).
- (b) When the [agency](/usc/5/551.md?p=1) did not preside at the reception of the evidence, the presiding [employee](/usc/5/5361.md?p=1) or, in cases not subject to [section 554(d) of this title](/usc/5/554.md?p=d), an [employee](/usc/5/5361.md?p=1) qualified to preside at hearings pursuant to [section 556 of this title](/usc/5/556.md), shall initially decide the case unless the [agency](/usc/5/551.md?p=1) requires, either in specific cases or by general rule, the entire record to be certified to it for decision. When the presiding [employee](/usc/5/5361.md?p=1) makes an initial decision, that decision then becomes the decision of the [agency](/usc/5/551.md?p=1) without further proceedings unless there is an appeal to, or review on motion of, the [agency](/usc/5/551.md?p=1) within time provided by rule. On appeal from or review of the initial decision, the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) makes the decision without having presided at the reception of the evidence, the presiding [employee](/usc/5/5361.md?p=1) or an [employee](/usc/5/5361.md?p=1) qualified to preside at hearings pursuant to [section 556 of this title](/usc/5/556.md) shall first recommend a decision, except that in [rule making](/usc/5/551.md?p=5) or determining applications for initial [licenses](/usc/5/551.md?p=8)—
  - (1) instead thereof the [agency](/usc/5/551.md?p=1) may issue a tentative decision or one of its responsible [employees](/usc/5/5361.md?p=1) may recommend a decision; or
  - (2) this procedure may be omitted in a case in which the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=1) review of the decision of subordinate [employees](/usc/5/5361.md?p=1), the [parties](/usc/5/551.md?p=3) are entitled to a reasonable opportunity to submit for the consideration of the [employees](/usc/5/5361.md?p=1) participating in the decisions—
  - (1) proposed findings and conclusions; or
  - (2) exceptions to the decisions or recommended decisions of subordinate [employees](/usc/5/5361.md?p=1) or to tentative [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=6), [sanction](/usc/5/551.md?p=10), [relief](/usc/5/551.md?p=11), or denial thereof.
- (d)
  - (1) In any [agency](/usc/5/551.md?p=1) proceeding which is subject to [subsection (a)](#a) of this section, except to the extent required for the disposition of ex parte matters as authorized by law—
    - (A) no interested [person](/usc/5/551.md?p=2) outside the [agency](/usc/5/551.md?p=1) shall make or knowingly cause to be made to any [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) who is or may reasonably be expected to be involved in the decisional process of the proceeding, an [ex parte communication](/usc/5/551.md?p=14) relevant to the merits of the proceeding;
    - (B) no [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) 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](/usc/5/551.md?p=2) outside the [agency](/usc/5/551.md?p=1) an [ex parte communication](/usc/5/551.md?p=14) relevant to the merits of the proceeding;
    - (C) a [member](/usc/5/5531.md?p=1) of the body comprising the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) 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](/usc/5/551.md?p=3) in violation of this subsection, the [agency](/usc/5/551.md?p=1), administrative law judge, or other [employee](/usc/5/5361.md?p=1) presiding at the hearing may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the [party](/usc/5/551.md?p=3) to show cause why his claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on [account](/usc/5/8401.md?p=1) of such violation; and
    - (E) the prohibitions of this subsection shall apply beginning at such time as the [agency](/usc/5/551.md?p=1) 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](/usc/5/551.md?p=2) 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](/usc/5/7103.md?p=a-6) to withhold information from Congress.