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SUMMARY OF KEY CONCEPTS Section 1. The Nature of Administrative Law Administrative law touches the lives of ordinary people more frequently, and in more ways, than does any other part of the legal system. Administrative law involves Social Security checks, drivers’ li- censes, property tax assessments, and public school policies. Businesses, also, are constantly affected by administrative law, from rule-making by federal agencies (e.g, the Federal Trade Commission and In- ternal Revenue Service) to the administration of lo- cal zoning ordinances and building codes. Generally speaking, administrative law is made by the executive branch of government, both state and federal. Under state authority, counties, cities, and townships also create administrative law. Ad- ministrative law is comprised of executive orders, agency-created regulations, and the body of exec- utive agency decisions and orders that interpret and apply those regulations. Most administrative agency orders and decisions are based upon spe- cific policies that implement statutory law. Some statutes establish the specific “rule” and place en- forcement in the hands of an administrative agency, rather than a court of law. Basically, ad- ministrative agencies exist to carry out the policy found in statutory law. Implementing the statute often requires the exercise of substantial judgment and discretion. In addition to the executive branch agencies under the President’s direct control, Congress and some states have created a number of independent regulatory agencies. Usually, these agencies are administered by officials appointed by the Presi- dent or a state governor. But once appointed, those officials are not under the control of the chief executive. Instead, they operate independently un- der statutory authority, and only the courts may intervene if they fail to adhere to the law. Examples of independent regulatory agencies include the Federal Communications Commission, the Federal Trade Commission, and the public utility commis- sions that exist in many of the state governments. The commissioners of such agencies often serve long, overlapping terms—seven- to twelve-year terms are not unusual—so that no one President or state governor can dominate their policies. Independent agencies exercise, in a limited way, all three forms of government authority: leg- islative, executive, and judicial. They have the greatest authority in the executive function, in which they are similar to most executive branch agencies. They exercise only “quasi-legislative” and “quasi-judicial” authority, because their rule- making authority is always subordinate to prior and subsequent legislation, and their judicial pow- ers are far less than those of a court of law. ADMINISTRATIVE LAW 5 CHAPTER

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SUMMARY OF KEY CONCEPTS

Section 1. The Nature ofAdministrative LawAdministrative law touches the lives of ordinarypeople more frequently, and in more ways, than doesany other part of the legal system. Administrativelaw involves Social Security checks, drivers’ li-censes, property tax assessments, and public schoolpolicies. Businesses, also, are constantly affected byadministrative law, from rule-making by federalagencies (e.g, the Federal Trade Commission and In-ternal Revenue Service) to the administration of lo-cal zoning ordinances and building codes.

Generally speaking, administrative law is madeby the executive branch of government, both stateand federal. Under state authority, counties, cities,and townships also create administrative law. Ad-ministrative law is comprised of executive orders,agency-created regulations, and the body of exec-utive agency decisions and orders that interpretand apply those regulations. Most administrativeagency orders and decisions are based upon spe-cific policies that implement statutory law. Somestatutes establish the specific “rule” and place en-forcement in the hands of an administrativeagency, rather than a court of law. Basically, ad-ministrative agencies exist to carry out the policyfound in statutory law. Implementing the statute

often requires the exercise of substantial judgmentand discretion.

In addition to the executive branch agenciesunder the President’s direct control, Congress andsome states have created a number of independentregulatory agencies. Usually, these agencies areadministered by officials appointed by the Presi-dent or a state governor. But once appointed,those officials are not under the control of the chiefexecutive. Instead, they operate independently un-der statutory authority, and only the courts mayintervene if they fail to adhere to the law. Examplesof independent regulatory agencies include theFederal Communications Commission, the FederalTrade Commission, and the public utility commis-sions that exist in many of the state governments.The commissioners of such agencies often servelong, overlapping terms—seven- to twelve-yearterms are not unusual—so that no one President orstate governor can dominate their policies.

Independent agencies exercise, in a limitedway, all three forms of government authority: leg-islative, executive, and judicial. They have thegreatest authority in the executive function, inwhich they are similar to most executive branchagencies. They exercise only “quasi-legislative”and “quasi-judicial” authority, because their rule-making authority is always subordinate to priorand subsequent legislation, and their judicial pow-ers are far less than those of a court of law.

ADMINISTRATIVE LAW

5 C H A P T E R

One purpose of federal agency rule-making is torelieve Congress and the President of the enormouscomplexity involved in such fields as commercialaviation, prescription medications, nuclear powergeneration, genetically altered crops, and electroniccommunications. Presumably, the agencies that ad-minister a statute or an executive function will havegreater expertise in that area, resulting in more ef-fective rules. Also, the agencies are believed to berelatively free of partisan politics when makingrules and fine-tuning government policy.

In administrative law, the interpretations andapplication of a statute or an executive order aregiven official status as legal authority. In effect,agency regulations, decisions, and orders becomelegal extensions of the statute or executive orderupon which they are based. Because the policiesand regulations are published, they diminish theopportunity for bureaucrats to inject their individ-ual bias into administration of the law.

Federal administrative agencies establish poli-cies to further the objectives of the statutes theyimplement. These policies are made through therule-making process, under the provisions of theAdministrative Procedures Act, 5 U.S.C. § § 551–559and 701–706. That act does not use the term “regu-lation,” but instead speaks of “rules.” However,“regulation” is a term often used conversationallyby practitioners of administrative law.

Some rules, especially those which are made toapply to a particular case, will be published in thedaily Federal Register, but are never codified in theCode of Federal Regulations (CFR). When an attor-ney speaks of a “regulation,” she usually means onethat appears in the CFR. Most states codify their ad-ministrative regulations in a similar publication.

Every administrative rule, decision, and ordermust be based upon a higher legal authority. TheAdministrative Procedures Act governs the rule-making process—it does not grant rule-making au-thority. The higher authority is found in the consti-tution or statutes of the state or federal government.Federal administrative agencies must have a validgrant of authority from Congress or the President ifthey are to create administrative law. This is a dele-gation of executive or legislative authority. Withoutthat delegation, an agency has no legal basis uponwhich to make and enforce substantive rules (as op-posed to procedural rules) affecting the materialrights of individuals or businesses. The same princi-ple applies in state governments.

Typically, Congress or the state legislature en-acts an enabling statute that establishes basic pol-icy and authorizes the agency to make implement-ing rules consistent with that basic policy. The

same enabling statute often authorizes the agencyto issue decisions and orders, and provides penal-ties for violation of the administrative regulations.Penalties can be civil, criminal, or both. However,only a court of law may impose criminal penalties.

Administrative rules and decisions are chal-lenged on three general grounds:

• that the agency has exceeded its authority;

• that even the grantor (e.g., the President orCongress) lacked the authority which itostensibly delegated to the agency; or,

• that the very act of delegating the authoritywas unconstitutional.

The latter objection usually argues that Congresshas attempted to delegate an authority that it pos-sesses, but cannot properly delegate. Anything thatwould be unconstitutional if done by the Presidentor Congress cannot be legitimized by authorizing anadministrative agency to do the same thing. Also, anadministrative agency may not receive a “blankcheck” for rule-making authority; there must besome recognizable boundary between the authoritygranted and the authority withheld.

The Administrative Procedures Act defines an“order” as a final disposition of a matter other thana rule. Generally, federal rules are published in theCode of Federal Regulations and have applicationto the public at large, or to an entire industry. Incontrast, an “order” does not become a regulationwith general application. However, like any deci-sion in the common law it might serve as a prece-dent and impact the activities of others. The Ad-ministrative Procedures Act defines “adjudication”as the process of arriving at an order, while “rule-making” is the process resulting in agency rules.

Administrative agencies may require individualsand businesses to maintain certain types of records.They also may require that reports (e.g., tax returnsor statistical data) be prepared and submitted to theagency. If given that authority by statute, an agencymay subpoena the records of an individual or busi-ness. Subpoenas are used during pre-hearing inves-tigation to determine whether an agency should in-voke its rule-making or adjudication powers. TheSupreme Court has repeatedly upheld very broadsubpoena powers for federal agencies.

Section 2. Access to PublicRecordsYears ago, many federal and state agenciesclaimed that their records were confidential, andwould release them only upon court order. In

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recent decades, however, the federal and stategovernments have enacted various “publicrecords acts” which open agency files to public in-spection. Of course, those acts also provide for theconfidentiality of certain types of records: individ-ual medical records and personnel files, for exam-ple. The federal Freedom of Information Act (FOIA)exemplifies these statutes, and was enacted as anamendment to the Administrative Procedures Act.

The FOIA creates a statutory presumption thatagency records are public and not confidential. Theburden falls upon the agency to demonstrate that apublic record falls under one of the exempt cate-gories in the statute. Even exempted documentsmay be obtained by subpoena. The FOIA estab-lishes procedures for requesting public docu-ments, and sets timelines for the agency’s responseto a request. Ultimately, the requesting party canseek an order from the U.S. District Court if anagency denies a request. Privacy concerns aboutthe FOIA led to passage of the Federal Privacy Act,which placed a check against the operation of theFOIA as it applies to information about individuals.

Section 3. AdjudicatingAdministrative Law DisputesAdjudication takes many forms, and includes thejudgments and decrees of federal and state courts.In administrative law, it usually occurs in a hearingbefore an agency hearing officer—often known asan administrative law judge. Although similar tocourt proceedings, the hearing is less formal. Fed-eral agency employees involved in the investiga-tion or prosecution of a case may not participateor advise during the adjudication of that matter.State laws do not always require this separation.

Due process rights requiring fair and reason-able procedures apply to agency adjudication pro-ceedings, just as they do to court proceedings. TheFifth Amendment to the U.S. Constitution requiresthe federal government to honor due process, andthe Fourteenth Amendment imposes the same ob-ligation upon the state governments. Due processrights are more extensive when someone’s sub-stantial property interest (e.g., his livelihood) is af-fected. When reviewing administrative actions forreasonable due process, the courts consider:

• the importance of the property interestaffected;

• the risk of mistake in the agency’sprocedures; and,

• the burden on the agency of implementingmore protective procedures.

Informal administrative hearings often do notproduce any written record other than the result.In more formal hearings, there will be a record ofdocuments submitted for consideration, and pos-sibly of oral testimony. In the most formal of hear-ings, a stenographic reporter will prepare verba-tim transcripts of all testimony and oral argument.Formal hearings are usually heard by an adminis-trative law judge who is an employee of the agency.In the federal government, the administrative lawjudge is shielded from personnel actions thatmight compromise his independence. The admin-istrative law judge has the power of subpoena, andcontrols the hearing much like a judge might do incourt. His findings can be appealed and over-turned within the agency. In almost every instance,the final adjudication is subject to court review.

In 1976, Congress enacted the Government inSunshine Act. This amendment to the Administra-tive Procedures Act requires most deliberative fed-eral bodies to open their meetings to the public.There are exemptions from that requirement, sim-ilar to those for the FOIA. Most states have similarsunshine statutes, many with similar exceptions.

Although only a court may find one guilty of acrime, an administrative agency can find someoneguilty of a civil offense. Any civil penalty imposedby an administrative agency must be authorizedby statute if it would affect a substantial interest orright of the person being penalized. The most com-mon penalties are monetary fines. Some agenciesare authorized to issue injunction-like orders, usu-ally called “cease and desist” orders.

Most enabling statutes that authorize rule-making and adjudication also provide for judicialreview. The general rule is that administrative lawis subject to judicial review under the same cir-cumstances as any other government action,whether executive, legislative, or judicial. The fed-eral courts generally presume that all administra-tive actions are subject to judicial review. Just asappellate courts try to find a basis for affirming theactions of lower courts, there is an initial pre-sumption that administrative law actions are valid.

One obstacle to judicial review can be an ex-plicit statutory preclusion (relatively rare), or apreclusion by the fact that Congress has “commit-ted” an issue to the sound discretion of a particu-lar agency. The courts sometimes find the latterpreclusion where Congress has entrusted an ex-ceedingly complex decision to a qualifiedagency—the courts lacking any comparable ex-pertise to review the agency’s decision. Bothpreclusions are based on the U.S. Constitution,which grants appellate jurisdiction to the Supreme

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Court “with such Exceptions, and under such Regu-lations as the Congress shall make.” (Article III, Sec-tion 2.) Other obstacles to judicial review includelack of standing, ripeness, or exhaustion of admin-istrative remedies. As a practical matter, fewagency actions are struck down by the courts.

Legal assistants participate in administrativelaw in a variety of ways:

• representing clients before governmentagencies that permit non-attorneys to assumethat role;

• reviewing each day’s issue of the FederalRegister;

• preparing written materials about a proposedagency rule; and,

• obtaining public records under the FOIA andsimilar state statutes.

In addition, administrative adjudication hearingsprovide an opportunity for legal assistants to sup-port their supervising attorney’s practice. Thisrole is similar to a legal assistant’s civil litigationpractice.

The Administrative Procedures Act explicitlyrecognizes an agency’s authority to permit non-attorneys to represent persons appearing beforethat agency. That recognition appears in the act’sprovision guaranteeing representation “by coun-sel, or, if permitted by the agency, by other quali-fied representative.” (Section 555(b).) The ques-tion of qualification is determined by the agencyitself. Subsection 555(b) states: “This subsectiondoes not grant or deny a person who is not alawyer the right to appear for or represent othersbefore an agency or in an agency proceeding.”

Some law firms specializing in administrativelaw assign paralegals to appear on behalf ofclients, where that is permitted by the agency’srules. Naturally, this is most often done for proce-dural matters and in less complex cases. But thetypical paralegal in an administrative law practicewill have responsibilities and assignments that aresimilar to those of a litigation paralegal.

While similar to court proceedings, adminis-trative adjudication is also quite different. Wit-nesses will be under oath, but the rules of evidencewill not be strictly enforced. The parties will beable to learn something of each other’s case priorto the hearing, but not nearly as much as theywould in pretrial discovery. Most adjudicatoryhearings are initiated by the agency itself. Theagency, or the other party initiating the hearing,must serve all parties involved with a notice of thehearing.

The administrative law judge (ALJ) will rule onthe admissibility of documents and testimony, butdoes not often exclude either. Instead, he may givethem little weight in reaching his decision. The ALJwill participate more actively in questioning a wit-ness than will most judges in court proceedings.The opposing parties will file post-hearing briefsabout the evidence and the law. Oral closing argu-ments are unusual. The ALJ will take the matter un-der consideration, and later issue his “initial or-der,” which has the nature of a tentative ruling. Ifneither party objects, this order becomes final. Ifan objection is filed, the ALJ will consider it beforeissuing his final order.

REVIEW QUESTIONS

1. Generally speaking, administrative law ismade by the __________ branch ofgovernment, state or federal.

2. The basic function of an administrativeagency is to carry out the existing __________of statutory law.

3. Congress and some states have created__________ regulatory agencies, which are notunder the direct control of the President orstate governor.

4. These agencies exercise executive, quasi-__________, and quasi-__________ powers.

5. Administrative agency policies are madethrough the __________-making process.

6. Rules which apply to a particular case, butnot to the general public, often are publishedin the __________.

7. Rules which apply to the general public, or anentire industry, are published in the__________.

8. The President makes administrative law byissuing executive __________ based uponpowers granted in the Constitution ordelegated by an Act of Congress.

9. Federal agencies must have a valid grant ofauthority from either the __________ or the__________, if they are to createadministrative law.

10. Congress or a state legislature may enact an__________ statute that sets forth basicpolicy, sets parameters for administrativerule-making, and provides for civil and/orcriminal penalties for violations of agencyrules.

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11. Administrative regulations, decisions, andorders are challenged on three generalgrounds:

1)________________________________________

2)________________________________________

3)________________________________________

12. The argument that a delegation of authorityerodes the independence and authority of thelegislative branch is based upon the__________ of Powers doctrine.

13. Anything that would be __________ if done bythe governor or state legislature cannot belegitimized by authorizing an administrativeagency to do the same thing.

14. The most common challenge toadministrative law is that the agency hasexceeded the ___________.

15. Under the Administrative Procedures Act, theadjudication of a particular case might resultin either a(n) __________ or a(n) __________.

16. Because information is so vital to regulation,businesses can be required to keep andsubmit business __________ to the agenciesthat regulate them.

17. An agency must have __________ authority toissue a subpoena.

18. If a federal agency claims an exemption underthe Freedom of Information Act, it carries theburden of __________ in a court review of thatclaim.

19. Even those documents exempted under theFOIA can be obtained by __________.

20. Each federal agency is required to publish inthe __________ its guidelines for obtaininginformation under the FOIA.

21. If an agency denies an FOIA request, therequesting party may file an action in the U.S.__________ Court to compel disclosure.

22. As a result of the Federal Privacy Act, therenow is a __________ of confidentiality forgovernment information about privateindividuals.

23. Whether in court or in an administrative law hearing, each person is entitled to receive __________ of law.

24. This right requires administrative lawprocedures to be __________ and __________.

25. The __________ Amendment requires thefederal government to provide due process,and the __________ Amendment imposes thatsame obligation upon the state governments.

26. Courts must consider three factors whenreviewing administrative actions forreasonable due process:

1)________________________________________

2)________________________________________

3)________________________________________

27. Formal hearings in an administrative agencyare usually heard by an administrative law __________.

28. Laws known as “__________ statutes” requirepublic agencies to open their meetings to thepublic.

29. No administrative agency can impose a__________ penalty.

30. Some agencies are authorized to issueinjunction-like orders, called “__________”orders.

31. The general rule is that administrative law issubject to _________ review under the samecircumstances as any other governmentalaction.

32. An administrative law case is not“__________” for court action if the factualand/or legal issues are unclear or uncertain.

33. The typical paralegal in an administrative lawpractice will have responsibilities andassignments similar to those of a __________paralegal.

34. In an administrative law hearing, the partieswill be allowed to learn something of eachother’s case prior to the hearing, but notnearly as much as they would in pretrial__________ during civil litigation.

KEY TERMS

adjudication

Your “best effort” definition:

Your revised definition:

administrative law judge (ALJ)

Your “best effort” definition:

Your revised definition:

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affirm

Your “best effort” definition:

Your revised definition:

cease and desist order

Your “best effort” definition:

Your revised definition:

Code of Federal Regulations (CFR)

Your “best effort” definition:

Your revised definition:

de novo

Your “best effort” definition:

Your revised definition:

dictum

Your “best effort” definition:

Your revised definition:

distinguish

Your “best effort” definition:

Your revised definition:

enabling statute

Your “best effort” definition:

Your revised definition:

ex parte contact

Your “best effort” definition:

Your revised definition:

exhaustion of remedies

Your “best effort” definition:

Your revised definition:

Federal Register

Your “best effort” definition:

Your revised definition:

Freedom of Information Act (FOIA)

Your “best effort” definition:

Your revised definition:

futility doctrine

Your “best effort” definition:

Your revised definition:

independent regulatory agency

Your “best effort” definition:

Your revised definition:

ministerial act

Your “best effort” definition:

Your revised definition:

overrule

Your “best effort” definition:

Your revised definition:

public law

Your “best effort” definition:

Your revised definition:

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regulation

Your “best effort” definition:

Your revised definition:

ripeness

Your “best effort” definition:

Your revised definition:

separation of powers

Your “best effort” definition:

Your revised definition:

standing

Your “best effort” definition:

Your revised definition:

subpoena

Your “best effort” definition:

Your revised definition:

WORKING ON-LINEGo to the Web site for the U.S. Department of Justice:

http://www.usdoj.gov

Follow the links for the Freedom of Information Actto locate the “Other Federal Agencies’ FOIA WebSites” page. Select a federal agency that wouldhave a substantial quantity of classified docu-ments (e.g., the Defense, State, and Energy depart-ments, the CIA, etc.). Go to that agency’s FOIA siteand determine how requests for classified docu-ments are handled. (For example, does the agencyprovide the document with all classified contentredacted? Or, does the agency reject such requestswithout a court order?)

Using a search engine, find information aboutthe public records statute of your own state. (Youmight try a phrase such as “Ohio public records”for this search.) Then, do the same for one or two

other states. Compare the kinds of information thatare exempted from the requirement of public dis-closure. Compare, also, the procedures for makingrequests and the timelines and other imperativesfor compliance by a public agency. If an agency inyour own state refuses a request, how can the per-son making the request challenge that decision?

ETHICAL CHALLENGEJunko Fujimori works as a legal assistant in the li-censure enforcement office of the state depart-ment of motor vehicles. This office prosecutes li-cense suspension and revocation cases before thedepartment’s administrative appeals board. Junkoprepares the documentation to support the de-partment’s motions to suspend or revoke a dri-ver’s license.

The workload of the office has been extremelyheavy, and they are short-handed because severalattorney and paralegal positions are vacant. As aresult, some cases have been languishing for threeor four months without any action. In the mean-time, the drivers in question still possess valid li-censes and are on the public roads. The office isfeeling a lot of pressure because it is required tosubmit a monthly report to the commissioner ofmotor vehicles, a political appointee of the gover-nor. If the report shows a large backlog of cases,the supervising attorney in the office is called infor a stern lecture by the commissioner.

Junko is puzzled by the fact that, recently, thecase backlog seems to be shrinking, even thoughthe office has been unable to increase the numberof cases going to hearings before the administra-tive appeals board. She has begun to suspect thatsomeone in the office might be getting rid of someof the new files which are arriving from the de-partment’s regional offices. One attorney in partic-ular, a good friend of the supervising attorney, hasbeen staying unusually late one or two nights aweek after everyone else has left the office.

Finally, Junko decides to bring up the issue ofa declining backlog with that attorney in a casualway. She is astonished when he volunteers the factthat he has been screening all of the newly arrivedcases and shredding those that are the least seri-ous. The attorney then says, “Don’t say anything toMark [the supervising attorney] about this. Hewouldn’t approve.” He goes on to explain that de-partment procedures require the office to processthe cases in the order they were originally filed atthe regional offices. “We’re not allowed to move areally egregious case to the front of the line, aheadof the minor, short-term suspension cases,” he ex-plains. “If we let these minor cases back up, we’ll

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never get to some of the really dangerous driverswho are still out on the road. It sounds melodra-matic, but lives are at stake here.”

Junko is very troubled by this situation and un-sure of what she should do, if anything. She under-stands the younger attorney’s reasoning and be-lieves his motives are sincere, but she knows thatit is illegal to destroy official public records, exceptin careful compliance with statutory procedures.She knows that “midnight shredding” is not per-mitted by those procedures. She wonders if she isworrying too much about bureaucratic proce-dures, and not enough about the lives of innocentpeople on the road.

ETHICAL ANALYSISEssentially, Junko has five choices. In descendingorder of severity, they are:

• notify the state attorney general’s office;

• report the attorney’s activities to thedepartment commissioner;

• report the attorney’s activities to thesupervising attorney in the office;

• try to persuade the attorney to halt theshredding, without making a report; or,

• ignore the attorney’s conduct and do nothing.

The final choice listed above would make Junko anaccessory to the attorney’s violation of state lawand department procedures. The only ethical de-fense for that option would be the attorney’s argu-ment that following the law and procedures placesinnocent lives in jeopardy. This is the “don’t-be-a-good-Nazi” argument: It is better to defy the estab-lished order (including the law) than to be a com-placent bystander while innocent people aredying. But, is defiance of the law the only, or eventhe best, way to protect innocent lives?

Junko should try to persuade the attorney tostop the shredding and find other ways to expeditethe most serious cases. If the attorney refuses tostop the shredding, Junko can go up the chain ofcommand until someone takes decisive action. Ob-viously, her primary objective is not punishmentfor the attorney’s misconduct, but a solution to theproblem the attorney is trying to address. Thismight involve nothing more complicated than achange in department policy, so that the seriouscases are always moved promptly to the head ofthe line for hearing by the board. Filling the vacantpositions would be helpful in erasing the backlog.If no one is willing to address the problem within areasonable time, Junko can consider going to thenews media to generate the political pressure of

public opinion. That might seem drastic, but per-haps innocent lives are at stake, after all.

READING CASE LAWIn Department of the Air Force v. Rose, 425 U.S. 352, 96S.Ct. 1592 (1976), the United States Supreme Courtconsidered the balancing of personal privacy againstthe public’s interest in disclosure of governmentdocuments and the information they contain. Thiswas a 5–3 decision because Justice Stevens took nopart in the deliberation or decision of the case. Thecase is unusual because each of the three dissentingjustices wrote a separate dissenting opinion.

Read the Court’s opinion, written by JusticeBrennan, with special attention to the discussionof congressional intent as revealed in the legisla-tive history of the FOIA and subsequent amend-ments. Compare that discussion with the dissent-ing opinions of Chief Justice Burger and JusticeBlackmun. Do the dissenting justices see congres-sional intent to be less important in this case thando the majority of the Court? Compare also howthe justices are influenced by the fact that the gov-ernment agency involved is a military service.

ANSWERS TO REVIEWQUESTIONS

1. Generally speaking, administrative law ismade by the executive branch of government,state or federal.

2. The basic function of an administrativeagency is to carry out the existing policy ofstatutory law.

3. Congress and some states have createdindependent regulatory agencies, which arenot under the direct control of the Presidentor state governor.

4. These agencies exercise executive, quasi-legislative, and quasi-judicial powers.

5. Administrative agency policies are madethrough the rule-making process.

6. Rules which apply to a particular case, butnot to the general public, often are publishedin the Federal Register.

7. Rules which apply to the general public, or anentire industry, are published in the Code ofFederal Regulations.

8. The President makes administrative law byissuing executive orders based upon powersgranted in the Constitution or delegated byan Act of Congress.

STUDY GUIDE � 83

9. Federal agencies must have a valid grant ofauthority from either the Congress or thePresident, if they are to create administrativelaw.

10. Congress or a state legislature may enact anenabling statute that sets forth basic policy,sets parameters for administrative rule-making, and provides for civil and/or criminalpenalties for violations of agency rules.

11. Administrative regulations, decisions, andorders are challenged on three generalgrounds:

1) The administrative agency has exceededthe authority granted to it.

2) The grantor (e.g., President or Congress)lacked the authority granted to the agency.

3) The act of delegating the authority wasunconstitutional.

12. The argument that a delegation of authorityerodes the independence and authority of thelegislative branch is based upon theSeparation of Powers doctrine.

13. Anything that would be unconstitutional ifdone by the governor or state legislaturecannot be legitimized by authorizing anadministrative agency to do the same thing.

14. The most common challenge toadministrative law is that the agency hasexceeded the authority granted to it.

15. Under the Administrative Procedures Act, theadjudication of a particular case might resultin either a(n) order or a(n) rule.

16. Because information is so vital to regulation,businesses can be required to keep andsubmit business records to the agencies thatregulate them.

17. An agency must have statutory authority toissue a subpoena.

18. If a federal agency claims an exemption underthe Freedom of Information Act, it carries theburden of proof in a court review of thatclaim.

19. Even those documents exempted under theFOIA can be obtained by subpoena.

20. Each federal agency is required to publish inthe Federal Register its guidelines forobtaining information under the FOIA.

21. If an agency denies an FOIA request, therequesting party may file an action in the U.S.District Court to compel disclosure.

22. As a result of the Federal Privacy Act, therenow is a presumption of confidentiality forgovernment information about privateindividuals.

23. Whether in court or in an administrative lawhearing, each person is entitled to receive dueprocess of law.

24. This right requires administrative lawprocedures to be fair and reasonable.

25. The Fifth Amendment requires the federalgovernment to provide due process, and theFourteenth Amendment imposes that sameobligation upon the state governments.

26. Courts must consider three factors whenreviewing administrative actions forreasonable due process:

1) the importance of the property interestaffected;

2) the risk of mistake in the agency’sprocedures; and,

3) the burden on the agency of implementingmore protective procedures.

27. Formal hearings in an administrative agencyare usually heard by an administrative lawjudge.

28. Laws known as “sunshine statutes” requirepublic agencies to open their meetings to thepublic.

29. No administrative agency can impose acriminal penalty.

30. Some agencies are authorized to issueinjunction-like orders, called “cease anddesist” orders.

31. The general rule is that administrative law issubject to judicial review under the samecircumstances as any other governmentalaction.

32. An administrative law case is not “ripe” forcourt action if the factual and/or legal issuesare unclear or uncertain.

33. The typical paralegal in an administrative lawpractice will have responsibilities andassignments similar to those of a litigationparalegal.

34. In an administrative law hearing, the partieswill be allowed to learn something of eachother’s case prior to the hearing, but notnearly as much as they would in pretrialdiscovery during civil litigation.

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STUDY GUIDE � 99

100 CHAPTER 5 � Administrative Law

STUDY GUIDE � 101

102 CHAPTER 5 � Administrative Law