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5 U.S.C. § 573 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 573. Neutrals
(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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2739, § 583; renumbered § 573, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944; amended Pub. L. 104–320, § 7(b), Oct. 19, 1996, 110 Stat. 3872.)
heading: Codification
text: Section 573 of former Title 5, Executive Departments and Government Officers and Employees, was transferred to section 2258 of Title 7, Agriculture.
heading: Prior Provisions
text: A prior section 573 was renumbered section 593 of this title.
heading: Amendments
text: 1996—Subsec. (c). Pub. L. 104–320, § 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, § 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.
5 U.S.C. § 575 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 575. Authorization of arbitration
(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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2742, § 585; renumbered § 575, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944; amended Pub. L. 104–320, § 8(c), Oct. 19, 1996, 110 Stat. 3872.)
heading: Codification
text: Section 575 of former Title 5, Executive Departments and Government Officers and Employees, was transferred to section 2259 of Title 7, Agriculture.
heading: Prior Provisions
text: A prior section 575 was renumbered section 595 of this title.
heading: Amendments
text: 1996—Subsec. (a)(2). Pub. L. 104–320, § 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, § 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, § 8(c)(4), added subsec. (c).
1992—Pub. L. 102–354 renumbered section 585 of this title as this section.
5 U.S.C. § 576 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 576. Enforcement of arbitration agreements
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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2742, § 586; renumbered § 576, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944.)
heading: Codification
text: 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, § 10418(a)(3), May 13, 2002, 116 Stat. 507.
heading: Prior Provisions
text: A prior section 576 was renumbered section 596 of this title.
heading: Amendments
text: 1992—Pub. L. 102–354 renumbered section 586 of this title as this section.
5 U.S.C. § 577 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 577. Arbitrators
(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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2742, § 587; renumbered § 577 and amended Pub. L. 102–354, § 3(b)(2), (3), Aug. 26, 1992, 102 Stat. 944, 945.)
heading: Amendments
text: 1992—Pub. L. 102–354, § 3(b)(2), renumbered section 587 of this title as this section.
Subsec. (b). Pub. L. 102–354, § 3(b)(3), substituted “section 573” for “section 583”.
5 U.S.C. § 578 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 578. Authority of the arbitrator
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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2742, § 588; renumbered § 578, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944.)
heading: Amendments
text: 1992—Pub. L. 102–354 renumbered section 588 of this title as this section.
5 U.S.C. § 579 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 579. Arbitration proceedings
(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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2742, § 589; renumbered § 579, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944.)
heading: Amendments
text: 1992—Pub. L. 102–354 renumbered section 589 of this title as this section.
5 U.S.C. § 581 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 581. Judicial Review 1
(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) 2 of title 9.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2744, § 591; renumbered § 581 and amended Pub. L. 102–354, § 3(b)(2), (4), Aug. 26, 1992, 106 Stat. 944, 945; Pub. L. 104–320, § 8(b), Oct. 19, 1996, 110 Stat. 3872.)
heading: References in Text
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, § 1(4), May 7, 2002, 116 Stat. 132.
heading: Prior Provisions
text: A prior section 581 was renumbered section 571 of this title.
Another prior section 581 was renumbered section 561 of this title.
heading: Amendments
text: 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, § 3(b)(2), renumbered section 591 of this title as this section.
Subsec. (b)(2). Pub. L. 102–354, § 3(b)(4), substituted “section 580” for “section 590”.
5 U.S.C. § 582 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
[§ 582. Repealed. Pub. L. 104–320, § 4(b)(1), Oct. 19, 1996, 110 Stat. 3871]
text: Section, added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2744, § 592; renumbered § 582, Pub. L. 102–354, § 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.
5 U.S.C. § 583 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 583. Support services
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.
(Added Pub. L. 101–552, § 4(b), Nov. 15, 1990, 104 Stat. 2745, § 593; renumbered § 583, Pub. L. 102–354, § 3(b)(2), Aug. 26, 1992, 106 Stat. 944; amended Pub. L. 104–320, § 5, Oct. 19, 1996, 110 Stat. 3871.)
heading: Prior Provisions
text: 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.
heading: Amendments
text: 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.
5 U.S.C. § 591 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 591. Purposes
The purposes of this subchapter are—
(1) 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;
(2) to promote more effective public participation and efficiency in the rulemaking process;
(3) to reduce unnecessary litigation in the regulatory process;
(4) to improve the use of science in the regulatory process; and
(5) to improve the effectiveness of laws applicable to the regulatory process.
(Pub. L. 89–554, Sept. 6, 1966, 80 Stat. 388, § 571; renumbered § 591, Pub. L. 102–354, § 2(2), Aug. 26, 1992, 106 Stat. 944; Pub. L. 108–401, § 2(a), Oct. 30, 2004, 118 Stat. 2255.)
text: 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, § 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.
heading: Prior Provisions
text: A prior section 591 was renumbered section 581 of this title.
heading: Amendments
text: 2004—Pub. L. 108–401 amended section catchline and text generally. Prior to amendment, text read as follows: “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.”
1992—Pub. L. 102–354 renumbered section 571 of this title as this section.
5 U.S.C. § 592 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 592. Definitions
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.
(Pub. L. 89–554, Sept. 6, 1966, 80 Stat. 388, § 572; renumbered § 592, Pub. L. 102–354, § 2(2), Aug. 26, 1992, 106 Stat. 944.)
text: 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, § 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.
heading: Prior Provisions
text: A prior section 592 was renumbered section 582 of this title and was subsequently repealed.
heading: Amendments
text: 1992—Pub. L. 102–354 renumbered section 572 of this title as this section.
5 U.S.C. § 602 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 602. Regulatory agenda
(a) During the months of October and April of each year, each agency shall publish in the Federal Register a regulatory flexibility agenda which shall contain—
(1) a brief description of the subject area of any rule which the agency expects to propose or promulgate which is likely to have a significant economic impact on a substantial number of small entities;
(2) a summary of the nature of any such rule under consideration for each subject area listed in the agenda pursuant to paragraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any rule for which the agency has issued a general notice of proposed rulemaking,1 and
(3) the name and telephone number of an agency official knowledgeable concerning the items listed in paragraph (1).
(b) Each regulatory flexibility agenda shall be transmitted to the Chief Counsel for Advocacy of the Small Business Administration for comment, if any.
(c) Each agency shall endeavor to provide notice of each regulatory flexibility agenda to small entities or their representatives through direct notification or publication of the agenda in publications likely to be obtained by such small entities and shall invite comments upon each subject area on the agenda.
(d) Nothing in this section precludes an agency from considering or acting on any matter not included in a regulatory flexibility agenda, or requires an agency to consider or act on any matter listed in such agenda.
(Added Pub. L. 96–354, § 3(a), Sept. 19, 1980, 94 Stat. 1166.)
5 U.S.C. § 605 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 605. Avoidance of duplicative or unnecessary analyses
(a) Any Federal agency may perform the analyses required by sections 602, 603, and 604 of this title in conjunction with or as a part of any other agenda or analysis required by any other law if such other analysis satisfies the provisions of such sections.
(b) Sections 603 and 604 of this title shall not apply to any proposed or final rule if the head of the agency certifies that the rule will not, if promulgated, have a significant economic impact on a substantial number of small entities. If the head of the agency makes a certification under the preceding sentence, the agency shall publish such certification in the Federal Register at the time of publication of general notice of proposed rulemaking for the rule or at the time of publication of the final rule, along with a statement providing the factual basis for such certification. The agency shall provide such certification and statement to the Chief Counsel for Advocacy of the Small Business Administration.
(c) In order to avoid duplicative action, an agency may consider a series of closely related rules as one rule for the purposes of sections 602, 603, 604 and 610 of this title.
(Added Pub. L. 96–354, § 3(a), Sept. 19, 1980, 94 Stat. 1167; amended Pub. L. 104–121, title II, § 243(a), Mar. 29, 1996, 110 Stat. 866.)
heading: Amendments
text: 1996—Subsec. (b). Pub. L. 104–121 amended subsec. (b) generally. Prior to amendment, subsec. (b) read as follows: “Sections 603 and 604 of this title shall not apply to any proposed or final rule if the head of the agency certifies that the rule will not, if promulgated, have a significant economic impact on a substantial number of small entities. If the head of the agency makes a certification under the preceding sentence, the agency shall publish such certification in the Federal Register, at the time of publication of general notice of proposed rulemaking for the rule or at the time of publication of the final rule, along with a succinct statement explaining the reasons for such certification, and provide such certification and statement to the Chief Counsel for Advocacy of the Small Business Administration.”
heading: Effective Date of 1996 Amendment
text: Amendment by Pub. L. 104–121 effective on expiration of 90 days after Mar. 29, 1996, but inapplicable to interpretative rules for which a notice of proposed rulemaking was published prior to Mar. 29, 1996, see section 245 of Pub. L. 104–121, set out as a note under section 601 of this title.
5 U.S.C. § 607 (GOVERNMENT ORGANIZATION AND EMPLOYEES)
§ 607. Preparation of analyses
In complying with the provisions of sections 603 and 604 of this title, an agency may provide either a quantifiable or numerical description of the effects of a proposed rule or alternatives to the proposed rule, or more general descriptive statements if quantification is not practicable or reliable.
(Added Pub. L. 96–354, § 3(a), Sept. 19, 1980, 94 Stat. 1168.)