Principles of Administrative Law and the Regulatory Process

Principles of Administrative Law and the Regulatory Process National Certified Investigator & Inspector Training Basic Program Instructor Name Agency

Session Introduction

Learning Objectives § Upon completion of the session, you will be able to: § Understand that the general classification of administrative law is civil, not criminal § Understand the foundations for administrative law procedure § Identify the role of a board in the regulatory process and the powers that are exercised by boards

Learning Objectives § Upon completion of the session, you will be able to: § Define the differences between: § A Law and a Statute § A Regulation and a Rule § A Guidance Document and a Policy § List the three types of administrative agencies § Identify the area most often challenged in administrative hearings

Learning Objectives § Upon completion of the session, you will be able to: § Define the four general methods used by administrative agencies to adjudicate regulatory cases § List the criteria courts use to ensure an administrative action was legal when a challenge or appeal is made

Session Map Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Sources and Functions of Administrative Law

Sources & Functions of Administrative Law Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases Administrative Law is a branch of statutes, rules, policies, and court decisions that tell us how government agencies can and do operate

Sources & Functions of Administrative Law Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Procedural vs. Substantive Authority § Differences from Civil and Criminal Law Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Sources & Functions of Administrative Law Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Functions § Sets forth the powers that may be exercised by administrative agencies § Lays down the principles governing the exercise of those powers § Provides legal remedies to those aggrieved by administrative action Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Purpose of Administrative Agencies

Purpose of Administrative Agencies Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Set and maintain standards § Carry out functions of government on a day-today basis § Control entry into a profession § Inspect and regulate facilities § Dispense grants, subsidies or other incentives Limits on Administrative Agencies Adjudication of Administrative Cases

Purpose of Administrative Agencies Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Other reasons for Administrative Agencies § Population increase § Expansion of government responsibility § Need for flexibility § Development of expertise in dealing with particular issues § Legislative inability § Judicial inability Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

The Regulatory Process

The Regulatory Process - Definitions Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases Law (Statute): A written provision passed by a legislative body.

The Regulatory Process - Definitions Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases Regulation (Rule): A provision of general application promulgated or adopted by the agency applicable basic laws. A regulation has the force of law, affecting the rights or conduct of individuals and businesses.

The Regulatory Process - Definitions Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Guidance Document § Policy Memoranda or Documents Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Statutory Authority Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases An administrative agency is a creature of statute and is only entitled to act within the jurisdiction created by legislation and in a manner the statute that created it prescribed

Statutory Authority Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Powers of Administrative Agencies § Legislative Power § Executive Power § Judicial Power Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

The Regulatory Process Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Sample Legislative Regulation: Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases The board shall promulgate regulations necessary to assure continued competency, to prevent deceptive or misleading practices by practitioners and to effectively administer the regulatory system administered by the regulatory board.

The Regulatory Process Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Sample Judicial Regulation: Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases The board may, in considering the totality of the circumstances, fine any licensee, certificate holder, or permit holder, and to suspend or revoke or refuse to renew or reinstate any license.

Administrative Agencies, Boards, & Colleges

Regulatory Entities Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Terminology: § Department § Board § Council § College § Division § Subject matter within regulatory authority will differ from jurisdiction to jurisdiction Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Board Composition Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Varies greatly from jurisdiction to jurisdiction § Often includes both professionals and public or “consumer” members Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Types of Agencies Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Autonomous Boards § Centralized Agencies § Semi-Autonomous Agencies/Boards Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Limits on Administrative Agencies

Four Limits on Administrative Agencies Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases Legislative Executive APA General Controls

Principles of Administrative Law Legislative Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Initial grant of authority § Report and Wait procedure § Revoke or narrow authority granted through legislation § Sunset law § Interim oversight § Authorization for appropriations § Annual/biennial report Limits on Administrative Agencies Adjudication of Administrative Cases Legislative Executive APA General Controls

Principles of Administrative Law Executive Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Derived from the executive office of government § Executive orders or formal directive § Power to appoint people to positions within the agency § Modification of organizational structure § Oversight of rule-making proceedings § Power to control litigation affecting agencies Limits on Administrative Agencies Adjudication of Administrative Cases Legislative Executive APA General Controls

Administrative Procedures Act Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Public Access Legislative Executive Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases § Agency laws, regulations and policies § Agency meetings § Agency records APA General Controls § Agency Rulemaking Procedure § Agency Adjudication Procedure § Notice § Hearing § Judicial Review

General Controls on Administrative Agencies Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Open meeting laws § Freedom of Information Act (FOIA) § Ombudsman § Prosecutorial Discretion § Agency Discretion Limits on Administrative Agencies Adjudication of Administrative Cases Legislative Executive APA General Controls

Adjudication of Administrative Cases

Consent Orders Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Consent Orders/Negotiated Settlements § Admission of violation § Wavier of right to hearing § Agreed imposition of sanction/penalty Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Summary Suspensions Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Summary Suspension § Allowed by statute or regulation § Showing a degree of harm to the public § Requires due process Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Informal Hearings Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Alternative Dispute Resolution/Mediation § Arbitration Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Formal Hearings Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § The nature of the proceedings Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases § Generally considered civil, but with specific rules § Not criminal § Rules of evidence do not apply, but are usually followed § Hearsay evidence is allowed but given limited weight

Formal Hearings Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process § Basic requirements of the proceeding: § Notice § Discovery § Present/Contest Evidence § Written Decision § Appeal Rights Administrative Agencies, Boards, and Colleges Limits on Administrative Agencies Adjudication of Administrative Cases

Issues Related to Adjudication Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Interagency Agreements § Referral of cases for criminal action or unlicensed activity Limits on Administrative Agencies Adjudication of Administrative Cases

Final Agency Decision Principles of Administrative Law Sources and Functions of Administrative Law Purpose of Administrative Agencies The Regulatory Process Administrative Agencies, Boards, and Colleges § Final Order § Appeal § Judicial Review- court must assure the agency has: Limits on Administrative Agencies Adjudication of Administrative Cases § Acted Constitutionally § Acted within the scope of its authority § Used correct constitutional or statutory procedures § Reached a decision supported by facts § Instituted a justified penalty

Session Review

Knowledge Check Consent orders include all of the following components except: A. B. C. D. Admission of violation Statement of assurance Waiver of right to hearing Agreed imposition of sanction

Knowledge Check The purpose of an administrative agency is to: A. Determine criminal sanctions for violation of standards B. Accredit hospitals and clinics C. Promote professional interests D. Set the standards for the profession

Knowledge Check Administrative agencies are subject to controls from which of the following? A. The three branches of government B. Professional and trade associations C. Public interest groups

Learning Objectives Review You should now be able to: § Understand that the general classification of administrative law is civil, not criminal § Understand the foundations for administrative law procedure § Identify the role of a board in the regulatory process and the powers that are exercised by boards

Learning Objectives Review You should now be able to: § Define the differences between: § A Law and a Statute § A Regulation and a Rule § A Guidance Document and a Policy § List the three types of administrative agencies § Identify the area most often challenged in administrative hearings

Learning Objectives Review You should now be able to: § Define the four general methods used by administrative agencies to adjudicate regulatory cases § List the criteria courts use to ensure an administrative action was legal when a challenge or appeal is made

Questions

Session Evaluation

In general, this instructor: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent

The style of delivery: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent

The content: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent

The amount of material covered: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent

The usefulness of this session: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent