1. Administrative Law

Administrative Law

Playlist: 11 videos: 35 Minutes



Topics: Learning Material

Introduction to Administrative Law
Administrative law concerns the methods by which administrative agencies of the federal and state governments promulgate and enforce regulations. Regulations provide the body of rules surrounding statutory law. This chapter will review the constitutional authority for the creation and functions of administrative agencies. It will explore the nature and organization of agencies, as well as the process by which agencies promulgate and enforce regulations. It will lay out the judiciary’s role in reviewing administrative agency action and court decisions. Lastly, it will examine the effects of regulations on business practice. For further written and video explanation, discussion and practice questions, see Administrative Law (Intro)

What are “Administrative Agencies”?
  • Authorized by Congress
  • Develop and implement regulations
  • Executive Agencies

⁃ Primarily executive functions

⁃ Under the President’s authority.

⁃ Heads of the executive agencies are cabinet members of the President.

⁃ President nominates, Senate approves

⁃ President can remove

  • Independent Agencies

⁃ Primarily rule-making functions

⁃ Not part of the Executive’s cabinet;

⁃ Congress passes “enabling statute”

For further written and video explanation, discussion and practice questions, see What are Administrative Agencies?

What are the functions of Agencies?
  • “Executive”, “quasi-legislative” and “quasi-judicial” functions.
  • Quasi-Legislative Functions

⁃ Agencies develop rules and regulations that further the objectives of the statutes.

⁃ Primarily procedural rules

⁃ Unique rule-making process

  • Quasi-Judicial Functions

⁃ Create tribunals to adjudicate disputes arising under regulations.

⁃ Authorized under Article I or Article II

⁃ Exhaust administrative remedies

⁃ Functions similarly to Art. III courts

⁃ Parties maintain right to Article III trial

  • Executive Functions

⁃ Enforce regulations they pass.

⁃ Conduct investigations

⁃ Employ administrative courts.

⁃ Creates advisory and education material

To learn more about these functions, and for further written and video explanation, discussion and practice questions, see What are the functions of agencies?

Where do Agencies get Authority?
  • Constitution silent
  • Exist pursuant to Congressional statute - “enabling statutes”.

⁃ Authority of Congress and Executive is inferred.

Supreme Court has upheld authority of all functions.

  • Congress has authority to control and limit agency authority.

To learn more about the delegation of legislative and judicial functions, and for further written and video explanation, discussion and practice questions, see What is the authority for Administrative Agencies?

How are Agencies Organized?

Executive and Quasi-Legislative Staff Members

  • Executive Agencies

⁃ Supervision of the President’s cabinet.

⁃ Single individual (Director or Secretary)

⁃ Appoint subordinate officers

  • Independent Agencies

⁃ Controlling board or commission

⁃ 5 to 7 members, one is the chair.

⁃ Appoint or elect an executive director for administration

Quasi-Judicial Staff Members

  • Fact Finders

⁃ Judges perform the adjudicative fact-finding functions in disputes

⁃ Separate reporting structure from the rest of the agency.

⁃ Immunity from liability for damages based on their decisions.

  • Appeals or Request for Review -

⁃ May appeal a decision to an internal board, agency’s governing board, or the cabinet-level official.

For further written and video explanation, discussion and practice questions, see How are administrative Agencies Organized?

Appoint and Remove Agency Personnel
  • Appointment of Administrative Agency Officials

⁃ Senate must confirm the nominee.

⁃ Generally serve staggered terms

⁃ Governing board or commission of independent agencies are bipartisan

  • Removal of Administrative Agency Officials

⁃ President has the authority

⁃ May be limits for independent agencies

For further written and video explanation, discussion and practice questions, see How are key agency personnel appointed and removed?

How Agencies Create Regulations
  • Public Announcement

 

  • Public Comment

 

  • Final Rulemaking

For further written and video explanation, discussion and practice questions, see How do agencies create regulations?

Judicial Review of Agency Regulations
  • Challenge in Art. III court.

⁃ Must be a challenge to agency procedures

⁃ Will not address the wisdom or effectiveness of the rule.

  • Constitutionality of Authority

Definiteness

Limited

For further written and video explanation, discussion and practice questions, see What is the Judiciarys authority to review rulemaking?

Judicial Review of Administrative Court Decisions
  • Review Under the APA - The Federal Administrative Procedure Act
  • Standing
  • Exhaustion of Remedies
  • Issues of Jurisdiction
  • Review of Facts - Supported by substantial evidence
  • Standard of Review (arbitrary & capricious)

To learn more about: Review Under the EPA, Standing, Exhaustion of Remedies, Issues of Jurisdiction, Review of Facts, and Standard of review, or for further written and video explanation, discussion and practice questions, see What is the Judiciarys authority to review administrative court decisions?

Advantages of Administrative Agencies
  • Exactness
  • Expertise
  • Public Protection

For further written and video explanation, discussion and practice questions, see What are the advantages of administrative agencies?

Disadvantages of Administrative Agencies
  • Adds a degree of bureaucracy to regulated activities.
  • Raises the cost of doing business

For further written and video explanation, discussion and practice questions, see What are the disadvantages of administrative agencies?


Flash Card - Study Practice

Q1
Federal administrative agencies are bodies impliedly authorized by __________ and created by ________.

A1
The US Constitution, Congress

Resource Video: https://thebusinessprofessor.com/what-are-administrative-agencies/

Q2
Administrative agencies have the responsibility to:

A2
enforce statutes; develop regulations in furtherance of those statutes

Resource Video: https://thebusinessprofessor.com/what-are-administrative-agencies/

Q3
Administrative agencies assist the legislative branch ________

Q4
Administrative agencies assist the executive branch in ________.

Q5
___________ include departments, agencies, commissions, bureaus, boards, government corporations, and committees.

Q6
Most administrative agencies fall under the control of the ___________.

Q7
A few administrative agencies that are directly under the control of ________, such as the Congressional Budget Office and the Library of Congress.

Q8
The types of administrative agency include:

A8
executive agencies, and independent agencies

Resource Video: https://thebusinessprofessor.com/what-are-administrative-agencies/

Q9
The US Constitution allows the President to establish employ agencies to carry out the executive function. True or False

Q10
__________ administrative agencies include all of the departments under the President’s authority.

Q11
The heads of the executive agencies are members of the President’s cabinet. True or False

Q12
_________ nominates the head of Executive Agency, _______ must approve these nominations by a simple majority vote.

A12

Q13
The President has complete discretion in removing these individuals from Executive Agency positions. True or False

Q14
__________ agencies operate with a degree of autonomy from the executive branch.

Q15
___________ agencies are not part of the President’s cabinet.

Q16
Congress will pass what is known as an __________, that establishes an administrative agency and outlines the extent of the agency’s authority.

Q17
Executive and independent agencies carry on similar functions; however, an independent agency generally has more of a ______ function, where an executive agency plays more of an _________ function.

Q18
Administrative agencies serve ___________ functions.

A18
Executive; Quasi-legislative; Quasi-judicial

Resource Video: https://thebusinessprofessor.com/function-of-administrative-agencies/

Q19
Congress passes _______ allowing agencies to develop rules and regulations that further the objectives of the statutes.

Q20
Congress dictates the objectives and substantive laws, the administrative agency assumes the regulatory activity of developing procedural rules for enforcing the law. True or False

Q21
Passing regulations in furtherance of statutes is known as __________.

A21
quasi-legislative, agency function.

Resource Video: https://thebusinessprofessor.com/function-of-administrative-agencies/

Q22
Administrative agencies may develop a tribunal or administrative law body that adjudicates these disputes between the agency and those subject to regulation. This is known as the agency’s __________.

A22
quasi-judicial, agency function.

Resource Video: https://thebusinessprofessor.com/function-of-administrative-agencies/

Q23
Administrative agencies undertake an ___________ function by carrying out or enforcing the statutory laws.

Q24
Administrative agencies develop and issue regulations that have the impact of laws. True or False

A24
True

Q25
Administrative rules are _________.

A25
Internal, Procedural. Interpretative, and Legislative

Q26
What are the procedural steps used in administrative rulemaking.

A26
Developing proposed regulations; Publish proposed regulation to the public (with a request for public comment); Issue guidelines to supplement the issued regulations.

Q27
Conduct that fails to comply with the statutes and regulations is illegal and may be enforced through agency procedure or civil or criminal law. True or False

A27
True

Q28
Administrative agencies often create tribunals (similar to courts) to ___________.

A28
adjudicate disputes arising under the agency’s regulations.

Q29
Congress, through statute, may direct that certain types of disputes undergo an administrative process (“exhaust all administrative remedies”) before a party has standing to bring an action in a state or federal court challenging the agency’s action. True or False

A29
True

Q30
If Congress fails to specifically address the topic, the ________ controls the quasi-judicial process.

A30
Administrative Procedures Act

Q31
The Administrative Procedures Act generally requires that individuals with disputes concerning federal regulations exhaust all administrative remedies prior to taking judicial action. True or False

A31
True

Q32
An Administrative Court undertakes a fact-finding process and applies those facts to the applicable law. True or False

A32
True

Q33
The Administrative Court may NOT hand down fines or sanctions for improper conduct. True or False

A33
False

Q34
An Administrative Court may issue cease and desist orders directing individuals to stop carrying on a certain activity and desist from any further activity that runs afoul of the regulations. True or False

A34
True

Q35
Administrative courts employ juries. True or False

A35
False

Q36
All fact finding and decision making are carried out by ___________.

A36
Administrative Law Judge(s).

Q37
Administrative courts can authorize or order detention of individuals. True or False

A37
False

Q38
Often agencies will seek to settle disputes with individuals by ____________ providing a resolution of the dispute.

A38
Entering into a consent order

Q39
A notable aspect of using consent orders to resolve a dispute is that it gives up the right to judicial review. True or False

A39
True

Q40
There is no admission of guilt or liability when settling a dispute through a consent order. True or False

A40
True

Q41
Administrative agencies perform ________ by enforcing the regulations they pass.

A41
Executive functions

Q42
________ of administrative agencies include investigating complaints and identifying conduct that it deems in violation of regulations.

A42
Executive functions

Q43
Enforcement of administrative regulations is partially handled through administrative courts that address the dispute and render a decision. True or False

A43
True

Q44
_______ of an administrative agency includes monitoring compliance and working to educate and advise lawmakers in the passing and execution of laws.

A44
Executive functions

Q45
Which of the following is NOT part of an Agency investigation?

A45
Make regulations

Q46
Which of the following is NOT part of an Agency advising function?

A46
Adjudicate disputes

Q47
The Constitution expressly grants Congress the right to create administrative agencies. True or False

Q48
Congress’s authority to create administrative agencies is inferred from its role as legislator. True or False

Q49
Congress passes statutes authorizing the creation of administrative agencies. True or False

Q50
Statutes authorizing the creation of administrative agencies are known as _________.

Q51
The ability of the executive branch to oversee the operations of administrative agencies is expressly granted in the Constitution. True or False

Q52
The ability of the executive branch to oversee the operations of administrative agencies is inferred from its responsibility to execute the laws of the United States. True or False

Q53
Congress maintains the authority to control and limit agency authority. True or False

Q54
Congress can pass statutes that criminalize activities regulated by agencies. True or False

Q55
Enforcement of criminal regulations would necessarily be the role of the _________, while determination of challenges to these statutes would be the role of the _____________.

A55

Q56
An administrative agency is organized differently depending upon whether it is an executive or independent agency. True or False

Q57
An _________ agency falls under the supervision of a member of the President’s cabinet.

Q58
A single individual (director or secretary) sits at the head of an ___________ agency.

Q59
____________ agencies generally have a controlling board or commission that governs the agency.

Q60
______________ boards will generally consist of 5 to 7 members, one of whom is the chair.

Q61
Independent agency boards generally elect a ________, who has the power to appoint staff for the agency. The agency board will appoint or elect an ________ for administration as the chief operating official of the agency.

A61

Q62
Regulatory administrative agencies generally have regional offices that investigate alleged violations of the law. True or False

Q63
Independent administrative agencies routinely have ________ that are made up of agency outsiders who are selected because of their expertise.

Q64
The quasi-judicial staff within an administrative agency generally consists of numerous ________.

Q65
_____________ perform the adjudicative, fact-finding functions in disputes between the agency and those regulated.

Q66
The quasi-judicial staff members generally have a separate reporting structure from the rest of the agency. True or False

Q67
Like Article III judges, administrative judges have immunity from liability for damages based on their decisions. True or False

Q68
Once the administrative law judge makes a decision in a dispute, a party unhappy with the decision may appeal the decision to:

A68
An internal board established to hear appeals; The agency’s governing board; The cabinet-level official

Resource Video: https://thebusinessprofessor.com/how-are-administrative-agencies-organized/

Q69
In both executive and independent administrative agencies, the President has the authority to:

A69
Nominate the governing personnel (directors, secretaries, boards, commissioners, etc.); Appoint and remove those individuals.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q70
Following nomination for appointment by the President, the Senate must _______.

Q71
Congress cannot take part in the process of appointing a member of an administrative agency, outside of:

A71
Providing advice about the nomination during the confirmation hearing.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q72
Federal statutes often require that the governing board or commission of independent agencies be: ________.

A72
bipartisan, with a certain number of individuals coming from outside of the President’s political party.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q73
The President generally has the authority to remove key leaders from administrative agencies. True or False

Q74
While the President’s authority to remove individuals from executive agencies is unlimited, there may be any number of limitations on the ability to remove members of ____________.

Q75
Congress may pass a statute limiting the President’s authority to remove independent agency personnel except ________.

A75
Upon proof of incapacity, neglect of duty, malfeasance, or good cause before the President can remove an official.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q76
Congress cannot take part in removing an agent from an independent agency if:

A76
The agency exercises any executive powers, such as enforcement or statutes.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q77
If Congress wants to remove an agency official acting in an executive capacity (any of the heads of executive agencies), it must

A77
Initiate impeachment proceedings.

Resource Video: https://thebusinessprofessor.com/appointing-and-removing-agency-personnel/

Q78
The quasi-legislative process by which administrative agencies create regulations is _____.

Q79
The formal rulemaking process for administrative agencies generally includes.

A79
Public Announcement, Public Comment, Final Rulemaking

Resource Video: https://thebusinessprofessor.com/process-for-creating-administrative-regulations/

Q80
Individuals may challenge an administrative action in an Article III court only after, __________.

A80
Exhausting all administrative remedies.

Resource Video: https://thebusinessprofessor.com/authority-to-review-agency-rulemaking/

Q81
Generally, a judicial challenge to administrative rulemaking must be a challenge to agency ________.

Q82
Judicial challenges to administrative procedure are valid when the agency _________.

A82
exceeds its express grant of authority

Resource Video: https://thebusinessprofessor.com/authority-to-review-agency-rulemaking/

Q83
Once the court decides that a rule of an agency is authorized and constitutional, it will not address the wisdom or effectiveness of the rule. True or False

Q84
If Congress delegates authority to an administrative agency, the delegation must be:

Q85
The judiciary has power to review agency decisions pursuant to:

A85
The procedures written into the delegating statute; Pursuant to the Administrative Procedures Act (APA)

Resource Video: https://thebusinessprofessor.com/authority-to-review-administrative-court-decisions/ ; https://thebusinessprofessor.com/review-under-the-federal-arbitration-act/

Q86
For an individual to challenge an administrative court’s ruling, s/he must have:

Q87
When an individual seeks review of the administrative court’s decision, the trial court will generally accept any facts in the administrative record that are supported by ____________.

Q88
_________ review is when the court disregards the agency’s findings of fact and takes evidence anew.

Q89
The court will review the agency’s decision to determine if it is ______________,

Q90
What are the advantages of delegating regulatory and executive authority to administrative agencies?

A90
Exactness, Expertise, Public Protection

Resource Video: https://thebusinessprofessor.com/advantages-of-administrative-agencies/

Q91
Which of the following is/are disadvantages to relying on the agencies in the rule-making and adjudicative process.

A91
Bureaucracy; Higher Costs of Compliance

Resource Video: https://thebusinessprofessor.com/disadvantages-of-administrative-regulations/


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