
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 2002]
[CITE: 5USC571]

 
             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
 
Sec. 571. Definitions

    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.

(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, 
Secs. 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.)

                          Codification

    Section 571 of former Title 5, Executive Departments and Government 
Officers and Employees, was transferred to section 2256 of Title 7, 
Agriculture.


                            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.''


                               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]).''

                  Section Referred to in Other Sections

    This section is referred to in title 12 section 4806.
