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“Rosenbloom crafted a compelling narrative . . . Students SECOND
ROSENBLOOM
like Administrative Law for Public Managers because it is EDITION
straightforward and easy to understand. I teach a wide range
of students—mid-level managers to students with no work
experience—both are relieved that the content and examples
are easily digestible. It’s an excellent book!”
—Lorenda Ann Naylor, University of Baltimore
“This book presents a profound, as well as comprehensive,
knowledge base of administrative law.”
The second edition includes more coverage of state administrative law, as well as an
expanded discussion of judicial review. It has also been updated to include the major
statutes, court cases, executive orders, and other major executive initiatives since 2003.
The addition of discussion questions makes this an even more valuable resource for public
administration classrooms and students.
Administrative Law
David H. Rosenbloom is Distinguished Professor of Public Administration at American
University. A major contributor to the field and a Fellow in the National Academy of Public
Administration, he has received numerous awards, including the Gaus Award for exemplary
scholarship in political science and public administration, the Waldo Award for outstanding
contributions to the literature and leadership of public administration, the Levine Award
DAVID H. ROSENBLOOM
A Member of the Perseus Books Group
www.westviewpress.com
Administrative Law for Public Managers
second edition
David H. Rosenbloom
American University
All rights reserved. Printed in the United States of America. No part of this book may
be reproduced in any manner whatsoever without written permission except in the
case of brief quotations embodied in critical articles and reviews. For information,
address Westview Press, 2465 Central Avenue, Boulder, CO 80301.
Every effort has been made to secure required permissions for all text, images, maps,
and other art reprinted in this volume.
Westview Press books are available at special discounts for bulk purchases in the
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information, please contact the Special Markets Department at the Perseus Books
Group, 2300 Chestnut Street, Suite 200, Philadelphia, PA 19103, or call (800) 810-4145,
ext. 5000, or e-mail [email protected].
KF5402.R669 2014
342.73'06--dc23
2014015458
10 9 8 7 6 5 4 3 2 1
vii
3 Administrative Rulemaking 63
Introduction: Smoking Whitefish, 63
Rulemaking: Definitions and General Concerns, 64
Rulemaking Processes, 71
Limited or No Procedural Requirements, 71
Informal Rulemaking, 72
Formal Rulemaking, 74
Hybrid and Negotiated Rulemaking Processes, 75
Hybrid Rulemaking, 75
Negotiated Rulemaking, 76
Additional Features of the Idealized Legislative Model for
Rulemaking, 78
Representation: Advisory Committees, 78
Protecting Specific Interests and Values, 79
Executive Efforts to Influence Federal Agency Rulemaking, 82
Conclusion: The Philosopher’s Stone Versus the Bubble Effect,
85
Additional Reading, 86
Discussion Questions, 86
5 Transparency 123
Introduction: The Central Intelligence Agency’s Budget? What
Budget? 123
The Administrative Law Framework for Transparent
Government, 125
Public Reporting, 126
Freedom of Information, 128
The Freedom of Information Act, 128
The Presidential Records Act, 138
Privacy, 139
Open Meetings, 142
Whistle-Blower Protection, 145
Qui Tam, 148
Conclusion: An Opaque Fishbowl? 148
References 195
Index 209
xiii
sixty insect fragments per hundred grams (about two bars) and one rodent
hair. On average, Americans eat 1.2 pounds of spider eggs and 2.5 pounds
of insect parts annually.1
The FDA is empowered to set such standards by law. It would have
no power to do so without statutory authorization. However, it does have
considerable discretion in deciding what levels are unavoidable and do not
pose health hazards and what to do about products that exceed the speci-
fied limits. An initial question is whether “unavoidable” should be deter-
mined based on technology or economics. Although the agency maintains
that some defects cannot be completely screened out, removing from pizza
sauce more fly eggs and maggots than are allowed is probably technolog-
ically feasible. Some producers may already do so. But is it economically
feasible for the entire industry of large and small, relatively financially
strong and weak firms to do so? Determining unavoidability also involves
economic feasibility, which is related to the cost of producing products,
their market price, and consumer demand for them. Some balance between
purity and cost must be struck. The FDA seeks a desirable trade-off by
testing products nationwide and determining the levels of defects present
under the best production processes in use. This approach assumes that
requiring investment to make the best practices even better is economically
infeasible, or at least undesirable, and ultimately unnecessary because,
while unappetizing, the acceptable levels are deemed safe to consume.
Safety is a second issue. Clearly, if people are not getting sick from the
allowable defect levels in regulated foods, then these product levels are
probably safe. Yet it is possible that the cumulative effect of the permit-
ted impurities over one’s lifetime takes a toll on health, even though the
harm may not be traceable to them. It is also possible that the defects af-
fect people differently based on age, allergies, and other factors. No doubt,
aside from looking at best production practices, the FDA takes the views
of health experts and research into account in considering where to set and
maintain defect levels.
A third issue is transparency. As a consumer you may wonder if the
FDA’s regulations provide adequate information and protection. We are
all familiar with the nutrition labels on food products sold in the United
States. Peanut butter lists calories, fat calories, total fat, saturated fat, trans
fat, polyunsaturated fat, monounsaturated fat, cholesterol, vitamins A
and C, sodium, total carbohydrates, fiber, sugars, protein, calcium, and
iron. The average number of insect fragments and rodent hairs is missing.
Delegation
Administrative law statutes regulate administrative procedures and the
review of agency actions. In the United States such statutes were adopted
the range of regulatory standards and related policy concerns is too broad
for legislatures to address. It takes the attention of numerous, specialized,
and frequently large agencies.
Third, legislators may find it politically advantageous to delegate leg-
islative authority to administrative agencies in order to avoid taking firm
stands on controversial issues. It is easier to maintain constituents’ favor
by supporting broad objectives that are widely shared, such as protecting
the environment, than by setting regulatory standards that will raise prices
or cause unemployment in one’s home district. Legislators may even score
points with voters by denouncing decisions made by the very agencies and
administrators that their legislation has empowered (Fiorina 1977, 48–49).
As necessary and convenient as delegations of legislative authority are,
they raise a number of political questions. Constitutionality is one. The
separation of powers at the federal level and in the states is intended to es-
tablish checks and balances as a means of protecting the people against the
aggregation of power in one branch of government. Parliamentary systems
fuse legislative and executive powers, but the framers of the US Constitu-
tion thought such a combination could produce tyranny. Following their
lead, Americans have preferred to keep these powers separate, though less
so at the local government level. Consequently, when legislative author-
ity is delegated to administrative agencies, even though voluntarily on the
part of legislatures, this can be seen as a threat to the constitutional order.
As the US Supreme Court once summarized the problem, “The Congress
is not permitted to abdicate or to transfer to others the essential legislative
functions with which it is . . . vested,” and there must be “limitations of
the authority to delegate, if our constitutional system is to be maintained”
(Schechter Poultry Corp. v. United States 1935, 529–530). Yet modern govern-
ment requires at least some delegation. Large-scale administration would
be impossible without it.
At the federal level, the formal constitutional solution to the tension
between the separation of powers and the vesting of legislative author-
ity in administrative agencies requires delegations to be accompanied by
“an intelligible principle to which [an agency] . . . is directed to conform”
(J. W. Hampton, Jr. & Co. v. United States 1928, 409). In theory, this intelligible
principle doctrine ensures that Congress will clearly establish the broad
objectives of public policy, relying on the agencies, when necessary, only
to fill in the details. In practice, however, finding an intelligible principle
in some delegations may be impossible. For instance, the federal Occupa-
tional Safety and Health Act of 1970 provides that the secretary of labor, “in
promulgating standards dealing with toxic materials or harmful physical
agents . . . shall set the standard which most adequately assures, to the
extent feasible, on the basis of the best available evidence, that no employee
will suffer material impairment of health or functional capacity even
if such employee has regular exposure to the hazard dealt with by such
standard for the period of his working life” (Industrial Union Department,
AFL-CIO v. American Petroleum Institute 1980, 612 [emphasis added]). With
obvious frustration, Justice William Rehnquist parsed this language in an
unsuccessful quest for an intelligible principle: “I believe that the legisla-
tive history demonstrates that the feasibility requirement . . . is a legislative
mirage, appearing to some Members [of Congress] but not to others, and
assuming any form desired by the beholder” (Industrial Union Department,
AFL-CIO v. American Petroleum Institute 1980, 681).
Rehnquist called the feasibility requirement “precatory,” meaning that
it essentially entreated the secretary of labor to take a balanced approach
(Industrial Union Department, AFL-CIO v. American Petroleum Institute 1980,
682). Such “legislative mirages” are not unusual. Statutes are loaded with
key “standards,” such as “‘adequate,’ ‘advisable,’ ‘appropriate,’ ‘beneficial,’
‘convenient,’ ‘detrimental,’ ‘expedient,’ ‘equitable,’ ‘fair,’ ‘fit,’ ‘necessary,’
‘practicable,’ ‘proper,’ ‘reasonable,’ ‘reputable,’ ‘safe,’ ‘sufficient,’ ‘whole-
some,’ or their opposites” (Warren 1996, 370). The Federal Communications
Commission (FCC) is charged with regulating communications by wire
and radio in the “public interest”—a term with no fixed meaning that can
accommodate any reasonable action (Office of the Federal Register 1999,
524). The greatest certainty regarding the meaning of the phrase “stationary
source” in the Clean Air Act Amendments of 1977 is that such a source of
pollutants is not mobile. The EPA has interpreted these same words very
differently in different programs and at different times (Chevron U.S.A., Inc.
v. Natural Resources Defense Council, Inc. 1984; see Chapter 6).
Discretion
Delegations of legislative authority call on administrators to use discretion
in formulating standards and policies. The weaker the intelligible principle
in the statutory delegation, the greater the potential range of administra-
tive discretion. However, administrative discretion also goes well beyond
the rulemaking function. Agencies may exercise a great deal of it in imple-
menting or enforcing laws, rules, other regulations, and policies. They of-
ten lack the resources to do everything legally required of them. Universal
enforcement may be impossible or impracticable. It is an uncomfortable
fact that selective application of the law is often inevitable. Equally import-
ant, the legal acceptability of many matters is determined by the discretion
of “street-level” administrators, such as safety and health inspectors, or
Administrative Decisionmaking
The federal Administrative Procedure Act (APA) of 1946 is representative
of US administrative law statutes in trying to promote rationality and law-
fulness in agency decisionmaking without imposing overly encumbering
procedural requirements. It specifically seeks to prevent decisions that are
2. Citations to codified statutes in the text are to their section number in the United States Code
(U.S.C.). Rather than repeat the title number of the Code in which the statute is found in each
citation, this information is provided in the References section at the end of the book. The full
citation to this section of the APA is 5 U.S.C. 706.
A GENERAL REVIEW[51]
II.
It is not for nothing that the very central and supreme object in
the architecture of our present Edinburgh is the monument to Sir
Walter Scott,—the finest monument, I think, that has yet been raised
anywhere on the earth to the memory of a man of letters. The
Edinburgh of the thirty years from 1802 to 1832 was, is, and will ever
be, the Edinburgh of Sir Walter Scott. All persons and things else
that were contained in the Edinburgh of those thirty years are
thought of now as having had their being and shelter under the
presidency of that one overarching personality. When these are
counted up, however, the array should be sufficiently impressive,
even were the covering arch removed. The later lives of Henry
Mackenzie, Dugald Stewart, and Playfair, and of the Alison of the
Essays on Taste; the lyric genius of the Baroness Nairne, and her
long unavowed songs; the rougher and more prolific muse of James
Hogg; Dr. M’Crie and his historical writings; all the early promise of
the scholarly and poetical Leyden; some of the earlier strains of
Campbell; Dr. Thomas Brown and his metaphysical teachings in
aberration from Dugald Stewart; Mrs. Brunton and her novels; Mrs.
Johnstone and her novels; Miss Ferrier and her novels; the too brief
career of the philologist Dr. Alexander Murray; much of the most
active career, scientific and literary, of Sir David Brewster; the
Scottish Record researches of Thomas Thomson, and the
contributions of Kirkpatrick Sharpe, and many of those of David
Laing, to Scottish history and Scottish literary antiquities; the
starting of Blackwood’s Magazine in 1817, and the outflashing in
that periodical of Wilson as its “Christopher North,” with his
coadjutor Lockhart; all the rush of fame that attended the “Noctes
Ambrosianæ” in that periodical, with the more quiet popularity of
such particular contributions to its pages as those of David Macbeth
Moir; the first intimations of the extraordinary erudition and the
philosophic power of Sir William Hamilton; the first years of the
Edinburgh section of the life of Dr. Chalmers; the first tentative
residences in Edinburgh, and ultimate settlement there, in
connection with Blackwood and other periodicals, of the strange
English De Quincey, driven thither by stress of livelihood after trial
of London and the Lakes; the somewhat belated outset, in obscure
Edinburgh lodgings, and then in a house in Comely Bank, of what
was to be the great career of Thomas Carlyle; the more precocious
literary assiduity of young Robert Chambers, with results of various
kinds already in print; such are some of the phenomena discernible
in the history of Edinburgh during those thirty years of Scott’s
continuous ascendency through which there ran the equally
continuous shaft of Jeffrey’s critical leadership.
Nor when Scott died was his influence at an end. Edinburgh
moved on, indeed, after his familiar figure had been lost to her, into
another tract of years, full of continued and still interesting literary
activity, in which, of all Scott’s survivors, who so fit to succeed him in
the presidency, who called to it with such acclamation, as the long-
known, long-admired, and still magnificent Christopher North? In
many respects, however, this period of Edinburgh’s continued
literary activity, from 1832 onwards, under the presidency of Wilson,
was really but a prolongation, a kind of afterglow, of the era of the
great Sir Walter.
Not absolutely so. In the Edinburgh from which Sir Walter had
vanished there were various intellectual developments, various
manifestations of literary power and tendency, as well as of social
energy, which Sir Walter could not have foreseen, which were even
alien to his genius, and which owed little or nothing to his example.
There were fifteen years more of the thunders and lightnings of the
great Chalmers; of real importance after a different fashion was the
cool rationality of George Combe, with his physiological and other
teachings; the little English De Quincey, hidden away in no one
knows how many Edinburgh domiciles in succession, and appearing
in the Edinburgh streets and suburbs only furtively and timorously
when he appeared at all, was sending forth more and more of his
wonderful essays and prose-phantasies; less of a recluse, but
somewhat of a recluse too, and a late burner of the lamp, Sir William
Hamilton was still pursuing those studies and speculations which
were to constitute him in the end the most momentous force since
Hume in the profounder philosophy of Great Britain; and, not to
multiply other cases, had there not come into Edinburgh the massive
Hugh Miller from Cromarty, his self-acquired English classicism
superinduced upon native Scandinavian strength, and powdered
with the dust of the Old Red Sandstone?
Not the less, parallel with all this, ran the transmitted influence
of Sir Walter Scott. What we may call the Scotticism of Scott,—that
special passion for all that appertained to the land of brown heath
and shaggy wood, that affection for Scottish themes and legends in
preference to all others, which he had impressed upon Scottish
Literature so strongly that its perpetuation threatens to become a
restriction and a narrowness, was the chief inspiration of many of
those Scottish writers who came after him, in Edinburgh or
elsewhere. One sees a good deal of this in Christopher North himself,
and also in Hugh Miller. It appears in more pronounced form in the
long-protracted devotion of the good David Laing to those labours of
Scottish antiquarianism which he had begun while Scott was alive
and under Scott’s auspices, and in the accession to the same field of
labour of such later scholars as Cosmo Innes. It appears in the
character of many of those writings which marked the advance of
Robert Chambers, after the days of his youthful attachment to Scott
personally, to his more mature and more independent celebrity. It
appears, moreover, in the nature of much of that publishing
enterprise of the two Chamberses jointly the commencement of
which by the starting of Chambers’s Edinburgh Journal in the very
year of Scott’s death is itself a memorable thing in the annals of
Edinburgh; and it is discernible in a good deal of the contemporary
publishing activity of other Edinburgh firms. Finally, to keep still to
individuals, do we not see it, though in contrasted guises, in the
literary lives, so closely in contact, of John Hill Burton and William
Edmonstoune Aytoun? If we should seek for a convenient stopping-
point at which to round off our recollections of the whole of that age
of the literary history of Edinburgh which includes both the era of
the living Scott and the described prolongation of that era, then,
unless we stop at the death of Wilson in 1854, may not the death of
Aytoun in 1865 be the point chosen? No more remarkable
representative than Aytoun to the last of what we have called the
afterglow from the spirit of Scott. Various as were his abilities, rich as
was his vein of humour, what was the dominant sentiment of all his
serious verse? What but that to which he has given expression in his
imagined soliloquy of the exiled and aging Prince Charlie?—
“Let me feel the breezes blowing
Fresh along the mountain side!
Let me see the purple heather,
Let me hear the thundering tide,
Be it hoarse as Corrievreckan
Spouting when the storm is high!
Give me back one hour of Scotland;
Let me see it ere I die.”
THE END
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