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ADMINISTRATIVE LAW PROF. SAIGER  FALL 2019

TABLE OF CONTENTS 1.

Principles of the course.............................................................................................................................11

2.

Modalities of Agency Action...................................................................................................................12 a.

APA § 551.............................................................................................................................................12

b.

The legislation/adjudication distinction................................................................................................12

c.

The APA................................................................................................................................................14

d.

Choice between legislation and adjudication........................................................................................14

3.

§ 553 Rulemaking....................................................................................................................................19 a.

APA § 553.............................................................................................................................................19

b.

Rulemaking Generally...........................................................................................................................19

c. d.

Procedural Requirement of Rulemaking...............................................................................................21 Logical Outgrowth................................................................................................................................23

e.

Opportunity to Participate.....................................................................................................................24

f.

Statement of Basis and Purpose............................................................................................................26

g.

Exceptions to Notice and Comment Requirements...............................................................................28 ii.

4.

Good Cause Exception (§ 553(b)(B))...............................................................................................28

Interpretative Rules and Policy Statements..........................................................................................31 b.

5.

Tests for determining if a rule is legislative or non-substantive...........................................................33 Fairness in Rulemaking..........................................................................................................................39

b.

Ex Parte Contacts..................................................................................................................................39 i. ii.

Generally...........................................................................................................................................39 Presidential and Congressional ex parte contacts.............................................................................42

iii. Ex parte contacts and regulatory review (pg. 453-54)......................................................................42 c.

Agency Staff..........................................................................................................................................42

d.

Biased decision-making/Open-minded decisionmaker.........................................................................43

e.

Reliance on subordinates.......................................................................................................................44

6.

Agency Adjudication...............................................................................................................................46 a.

APA § 554. ADJUDICATIONS............................................................................................................46

b.

APA § 555. ANCILLARY MATTERS..................................................................................................46

c. APA §556. HEARINGS; PRESIDING EMPLOYEES; POWERS AND DUTIES; BURDEN OF PROOF; EVIDENCE; RECORD AS BASIS OF DECISION.....................................................................47

1

d. APA § 557. INITIAL DECISIONS; CONCLUSIVENESS; REVIEW BY AGENCY; SUBMISSIONS BY PARTIES; CONTENTS OF DECISIONS; RECORD...........................................................................48 e.

Generally...............................................................................................................................................50

f.

Prejudgment in Adjudication.................................................................................................................51

g.

Formal Adjudication..............................................................................................................................53 i.

Generally...........................................................................................................................................53

iv.

Statement of findings and conclusions..............................................................................................56

v.

Intervention.......................................................................................................................................56

h.

Fairness in Formal Adjudication...........................................................................................................57 i.

Ex parte communications..................................................................................................................57

ii.

Expertise............................................................................................................................................60

iii. Official Notice...................................................................................................................................60 iv. Impartiality of the ALJ......................................................................................................................61

i.

1.

Separation of functions..................................................................................................................61

2.

APA exceptions for ratemaking and initial licensing....................................................................61

3.

Bias in general...............................................................................................................................61

4. 5.

Tension between impartiality and expertise..................................................................................61 ALJs as agency employees............................................................................................................62

Due Process...........................................................................................................................................62 i.

Generally...........................................................................................................................................62

ii.

Test for DP........................................................................................................................................63

iii. Is Process Due?.................................................................................................................................64 iv. How much process is due?................................................................................................................69 7.

Transparency...........................................................................................................................................74 a.

Generally...............................................................................................................................................74

b.

Whistleblower Protection Act...............................................................................................................75

c.

Presidential Records Act.......................................................................................................................76

d.

Federal Records Act..............................................................................................................................76

e.

Unauthorized Leaks...............................................................................................................................76

f.

Government in the Sunshine Act (GITSA) (pg. 742)............................................................................76

g.

FOIA......................................................................................................................................................77

8.

Agencies and the Structural Constitution.............................................................................................83 a.

Generally...............................................................................................................................................83

b.

Nondelegation.......................................................................................................................................85 i.

2

Generally...........................................................................................................................................85

c.

Appointment of Officers.......................................................................................................................92 i. ii.

Generally—Article II §2, cl. 2..........................................................................................................92 Recess Appointments Clause............................................................................................................92

iii. Categories of Officers.......................................................................................................................93 1.

Generally.......................................................................................................................................93

2.

Constitutional norm for appointments...........................................................................................93

3.

Principal and inferior officers.......................................................................................................93

4.

Officers vs. employees..................................................................................................................94

5.

ALJs..............................................................................................................................................94

6.

Who can appoint?..........................................................................................................................94

7.

Career officials and acting heads..................................................................................................95

d.

Removal of Officers..............................................................................................................................96

e.

Presidential Power Over Agency Work...............................................................................................103 i.

Generally.........................................................................................................................................103

ii.

Regulatory Review under EO 12866 (Governing OIRA review)...................................................106 1.

OMB............................................................................................................................................106

2. 3.

OIRA...........................................................................................................................................106 EO 12866.....................................................................................................................................107

4.

EO 13771.....................................................................................................................................107

5.

Significant and nonsignificant regulations..................................................................................107

iii. Emergence and Mechanisms of Presidential directory authority....................................................108

9.

Clinton.........................................................................................................................................108 W. Bush.......................................................................................................................................108

3.

Obama (see pg.s 964-..................................................................................................................109

4.

Czars and creative statutory interpretation..................................................................................109

5.

Adjudication................................................................................................................................109

6. 7.

Enforcement (pg. 984-985).........................................................................................................109 Rulemaking.................................................................................................................................110

8.

Budget..........................................................................................................................................111

Scope of Review of Administrative Action..........................................................................................112 a.

Generally.............................................................................................................................................112

b.

The Baseline Norm of Legal Regularity.............................................................................................113 i. Adjudicative Precedent....................................................................................................................113 ii.

3

1. 2.

Adherence to Agency Regulations (pg. 1042-1043).......................................................................114

iii. Enforcement/Sanction Choices.......................................................................................................114 iv. v. c.

Mass Justice.....................................................................................................................................114 Effect of prior court rulings.............................................................................................................114 Substantial Evidence...........................................................................................................................115

i.

Generally.........................................................................................................................................115

ii.

Review of Basic Facts.....................................................................................................................116

d.

3. 4.

Role of ALJ’s determinations......................................................................................................117 Primary vs. Secondary Inferences...............................................................................................117

5.

Substantial Evidence and Legal Regularity.................................................................................118

6.

Expert Testimony........................................................................................................................120

Arbitrary and Capricious Review........................................................................................................120 ii. Arbitrary and Capricious Review Under State Farm......................................................................121 iii. Efforts to Mitigate the Demand of the State Farm Doctrine...........................................................123 iv.

Applying arbitrary and capricious review under State Farm..........................................................123

e.

Judicial Consideration of Agency Motivations...................................................................................123

f.

Chevron and Its Consequences............................................................................................................128 iii. State Farm and Chevron..................................................................................................................131 iv.

Revolt Against Chevron..................................................................................................................132

v.

Chevron Step One...........................................................................................................................132

vi. Chevron Step-One-and-a-Half........................................................................................................134 ix. How should agencies interpret statutes under Chevron?.................................................................137 g.

Exceptions to Chevron........................................................................................................................138 iii. Major Questions Doctrine...............................................................................................................139

h.

Agencies’ Interpretation of Their Own Regulations...........................................................................144

j.

Judicial Review and Politics...............................................................................................................146 i.

Cost-Benefit Analysis as a Possible Element of A&C Review.......................................................146

10. Access to Judicial Review: Justiciability.............................................................................................150 a.

Generally.............................................................................................................................................150