Escolar Documentos
Profissional Documentos
Cultura Documentos
The APA
d. Adjudication
i. Types of cases (wide range government is giving or taking something)
1. Enforcement of law Steadman, Antoniu (SEC securities)
2. Licensing Seacoast, Withrow
3. Benefits Goldberg
4. Contracting Sameena, Darby
ii. When does the APA apply? Doesnt apply to state interests.
1. ONLY in the federal contexts. APA applies across the board in Federal context.
iii. First big question with adjudication:
1. Formal or Informal?
a. Triggering Language adjudication to be determined by hearing on the
record. APA554
i. Seacoast Presumption only in 1 circuit, OR case by case
approach.
1. Seacoast if we read public hearing, we presume that the
hearing must be on the record UNLESS Congress explicitly
says otherwise. Thus public hearing = formal adjudication.
ii. Case by Case Approach - Majority:
1. If the statutory language is ambiguous w/ respect to
formality and doesnt include triggering language, there
is NO PRESUMPTION in favor of formality.
2. Case by Case - Agency generally has discretion to use or
not use procedures, then court determines if it is
reasonable.
iii. Good review of hooking language CB 139, FN 13.
iv. Exam tip: Look at the fact pattern. If it says hearing on the record,
its going to be formal adjudication.
2. Once its formal under 554, there are formal adjudication requirements that must
be met:
a. Impartial and unbiased presiding officer
b. Notice and Opportunity to participate in hearing
c. Right of parties to appear w/ counsel
d. Right to present oral and written evidence
e. Right to conduct a cross examination
f. Right to submit proposed findings, conclusions & exceptions
g. Compilation of an exclusive record on which agency must base its
decision; i.e decision on the record.
h. Limits on ex parte communication.
iv. Key APA Adjudication Issues:
1. Who may participate or intervene? Most anyone who can show they have an
interest.
a. APA interested party may intervene.
2. Evidentiary rules are very flexible:
b. Follow rules,
c. Then hopefully, absent the exceptions, Agency
gives you the documents.
e. Rulemaking
i. Roadmap of rulemaking:
1. Types include:
a. Informal (notice and comment)
b. Formal (very rare, dont worry about it)
c. Hybrid = Informal + other stuff
ii. Quick Facts
1. National Petro Refiners Court preferred rulemaking over adjudication because:
efficiency (just one rule), Uniformity, Predictability, Clarity, openness,
reviewability.
a. FTC could enact octane rules, even when not expressly given, because
rule making is good policy and the statue doesnt prohibit it.
1. General Ban on retroactive rules: An agency cannot enact a rule that applies
retroactively unless: given express authority by Congress, or really really good
reason for doing so.
iii. Big question: Formal v. informal
1. Triggering language hearing on record
a. FL East Coast unlike formal adjudication context (case by case
approach), the Court will read the statute to lead to more informal
rulemaking than formal rulemaking.
i. Magic Words test hearing on the record.
1. Stature must contain on the record for formal rulemaking
trigger.
ii. Formal rulemaking is really cumbersome, ok to go to informal
which also has lots of process.
2. Formal Rulemaking consists of: Hearing create record Agency decision
based solely on the record.
3. If it is formal, the hearing rules are basically the same as for formal adjudication
(APA556 and 557)
a. Formal rulemaking isnt very important, wont be on exam.
b. Just doesnt happen today.
iv. Hybrid no triggering language but Informal rulemaking AND a hearing
v. Informal Rulemaking = Notice and Comment
1. Meat and bones, most of the action, mostly important
2. *Note - No right to a hearing in Notice and Comment Rulemaking (only get
hearing when with triggering language of APA).
3. Phases of informal Rulemaking:
a. Prior to promulgation:
i. Notice (chocolate manufacturers) &
Informal Rulemaking: Notice
& Comment; then Concise
1. Notice tells parties where the proceedings, other general
general statement upon
facts.
promulgation.
2. Adequate Notice:
a. Inquiry: have commentators had a fair opportunity
to present their views on the contents of the final
rule.
b. Adequate Notice TEST:
i. Changes in the original rule must be in
character with the original scheme of the
rule, and
ii. New rule is a logical outgrowth of the
notice and comments given.
3. Ultimately the Agency cannot materially alter the issues
involved or substantially depart from the proposed rule. A
big change must relate to comments received.
a. After adverse comments, Agency cannot go ahead
w/ major changes.
ii. Comment
b. Upon promulgation:
i. Concise general statement
1. TEST - Should see major issues of policy and why the
agency reacted to these issues.
2. Note: exclusivity of the record; court only reviews evidence
in the record. You cannot introduce new evidence during
the tiral. Get everything on the record.
ii. Must respond to major issues raised!!!
1. If it fails to, maybe a re-do.
4. Limits on Judicial Review of Agency Procedure (VT Yankee)
a. Once an agency has complied with the requirements of the APA, the
Courts may not impose higher levels of process. The agencies may add
more process. For ex, once an agency decides to do a hearing, court cannot
require on the record.
b. Agency must meet APA requirements, then thats it. Courts then have to
stay out!!
c. Basic tenet agencies should be free to fashion their own rules of
procedure.
5. Exceptions to Informal Rulemaking Requirements:
a. General Statements of Policy merely provides guidance to agency
official in exercising their discretionary power, while preserving their
power to make individual determination.
i. How the agency is going to enforce its own law.
ii. Two party test for GSP; the provision must:
1. Operate only prospectively, and
2. Must not establish a binding norm or be a final
determination.
ii. Collateral:
1. In enforcement action (Nova Scotia)
2. In appeal from agency hearing (Campbell).
d. Say the Agency doesnt use formality, under Mead the Agency gets no
deference. It must use its formal adjudication or informal rulemaking.
e. Another trick: case where agency uses 1 not 2, or 2 not 1 (had the power
but did no rulemaking), go back to Skidmore deference.
i. Does the Agencys interpretation persuade us that they properly
interpreted the statute?
4. Brand X (another wrinkle): ex say under Chevron the EPA doesnt use rule w/
force of law, no rulemaking, tries to enforce but is shot down in Court.
a. Under Brand X, EPA can go back to use rulemaking and gets a do over.
b. EPA can use its authority, create a rule, then the Agency overrules the
lower courts interpretation. Its interpretation holds the day.
c. Rare case where Agency has the power, but doesnt use it. It can go back
and get a re-do, thus overruling the lower courts interpretation. Unless,
statute is clear. If its crystal clear, Congress wins!
i. Remains to be seen whether SCOTUS can be overruled, right now
just the lower court.
ii. Scope of Review of law continued
1. In state court, courts give no deference to agencies on statutory construction and
interpretation.
2. Skidmore Deference Agencys view is not binding but given some deference
(here only an amicus brief, not rulemaking). Agency decisions constitute a body
of experience and informed judgment to which courts should look to for guidance
the weight of the Agencys judgment will depend on:
a. Thoroughness
b. Validity of its reasoning,
c. Its consistency w/ earlier pronouncements,
d. Other persuasive factors.
3. Chevron how much deference we give to an Agencys interpretation
(rulemaking) of its own rules or relevant statutes Two part test for Court
deference to Agencys statutory construction:
a. Step 1: Has Congress directly spoken to the precise question at issue? Ct
gives effect to Congress unambiguous effect
i. Yes agency must give effect to Congress unambiguous intent.
ii. No step 2
b. Step 2 if the statute is ambiguous, is the Agencys answer a reasonable
construction of the statute?
i. Yes, defer to agency and allow the agencys regulation to stand.
ii. No Court may overturn or substitute its own construction.
c. MCI applied Chevron Modify expresses Congress unambiguous
intent; doesnt allow Agency to exercise such discretion.
4. Mead asks, should Chevron apply? Yes if,
a. (1) Congress has delegated agency power to make rules with force of
law, AND
b. Gonzo says that there are 2 ways agencies have authority to make rules
with force of law:
i. General Rule Making authority
ii. Authority to make rules in particular fields.
o
TEST WHEN MAKING A/C Review (An agencys ruling would be arbitrary and capricious):
1.
Did the Agency consider factors that Congress did NOT want to consider,
2.
Did the Agency fail to consider an important aspect of the problem,
3.
Did the Agency present an explanation that is inconsistent with the record, or
Test
4.
Is the decision given an unreasonable explanation?
for
A/C
iv. Basically, engage in reasoned decision-making. Must be a rational connection between
review
the facts found and the choice made.
v. Overton Park Admin must certify 1-40 can go through the park using informal
adjudication; purely an exercise in discretion because there is no mandatory process. Can
SCOTUS review? Y
1. There only time there is NO review of Agency discretion is where there is no
law to apply.
2. Ct remands and once they get a reasoned decision, review the discretion under
A/C standard.
Exam Tips:
Substantive Review/Substantive Challenges (agency made the wrong decision under 3 areas)
Exam tips: are the factual determinations made by the Agency based on the record.
Did they interpret the law? Apply Chevron tree.
If theres a review of discretion, apply the test. Even if not relevant, just talk about everything.
Attack the fact pattern!!!!
c. Judicial Review threshold issues
i. Reviewability Johnson, Bowen, Webster
1. Just address it on test, probably get past reviewability.
a. Congress prohibited review of certain agency decisions b/c of consistency
(let the experts do it) and the volume of decisions.
i. These concerns do not apply to Constitutional challenges.
b. Presumption of Judicial Review; overcome by clear and convincing
evidence. Congress can preclude review of regs directly or by
Congressional silence (expression unius) and inferences Not a clear
stmt rule. C & C can be met in a variety of ways not a magic words test.
c. Webster v. Doe the language of the statute strongly suggest that
Congress intended to commit the action entirely to agency discretion, thus
there is no law to apply (where statute is so clear that a court would
have no standard to judge the agencys discretion).
i. Nothing for the judiciary to review.
ii. Note: APA precludes review of agency decisions where Congress
has expressly committed the action to agency discretion.
iii. But the Court will hear the Constitutional claim b/c the NSA is
silent on this issue
iv. Courts are very willing to hear Constitutional challenges. Doesnt
challenge the cult of expertise/overburden of courts problems.
ii. Standing
3. Constitutional Issues
a. Art III issues
i. Look at p.56 of outline:
1. Law - Art III requires Art III courts to review legal questions de novo.
2. Fact
a. Public Rights may vest in Art I courts
b. Private Rights vest if Adjunct
i. Northern Pipeline says that Art III doesnt give jurisdiction to nonCongressionally created rights.
1. Ex: C/L claims in bankruptcy court.
ii. If Congressionally created (like in Crowell, derived from federal
regulatory scheme), vesting is fine.
ii. When is an Art. I court not taking on an essential attribute of Art III court power:
1. Narrow, specialized findings of fact
2. Statutorily channeled fact finding
3. Limited relief
4. Court may set aside agency ruling
5. Non-final, non-binding, unenforceable judgments.
b. Art III Bottom Line after Stern:
i. Types of cases that MUST go to Art III court:
1. Court with broad substantive juries, on C/L regime that doesnt derive from
Congressional delegation.
ii. Art I tribunal thats fine:
1. Courts martial
2. Territorial Courts
3. Public Rights (these are now broadly defined --- [Person v Person; Person v Gov]
a. Definition: integrally related federal government action (ex: Schor, federal
securities brokers) is SO tied to federal action that it can go to Art I court.
4. Possibly adjunct of court of private rights (Crowell), not clear
a. Law is still evolving here.
iii. What was the problem in Northern Pipeline and Stern (bankruptcy courts):
1. Purely private rights claim AND court like tribunal (thus not involved with
federal scheme and its a C/L right)
c. Non-delegation doctrine: its a loser, dont argue it!!!!! Only 2 have ever won.
i. A.L.A. Schecter Poultry v. United States 1935
1. Quick facts:
a. NIRA gave FDR extremely broad and sweeping authority to fix the
economy.
b. Problem: standard less delegation of authority to FDR
i. Only Congress makes laws.
ii. When they do delegate power, Congress must articulate an
intelligible principle.
1. If Congress has not done its essential obligation of setting
the standard, Agency power is unfettered.
ii. Functions of Non-delegation:
1. Congress sets policy, then
2. Agency gets intelligible principle, then
a. Ex: OSHA knows if cost or health matters more in benzene ruling this
is Congress job.
3. Courts get standard of review
a. If Congress does their job, the Court will know how to review
Congressional policy.
d. Legislative Veto dead under Chadha
i. One house veto over AGs finding that Ds deportation should be stayed.
1. Not constitutional, this is a legislative act and must follow the Constitutional
requirements.
2. Legislative actions must meet Bicameralism (pass both houses) and Presentment.
e. Executive Power to Appoint and Remove ignore this shit
i. Wont be on EXAM!!!!!!