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COMPARATIVE ADMINISTRATIVE LAW

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RESEARCH HANDBOOKS IN COMPARATIVE LAW

Series Editors: Francesco Parisi, Oppenheimer Wolff and Donnelly Professor of Law, University
of Minnesota, USA and Professor of Economics, University of Bologna, Italy and Tom Ginsburg,
Professor of Law, University of Chicago, USA

The volumes in this series offer high-level discussion and analysis on particular aspects of legal
systems and the law. Well-known scholars edit each handbook and bring together accessible yet
sophisticated contributions from an international cast of top researchers. The first series of its
kind to cover a wide range of comparative issues so comprehensively, this is an indispensable
resource for students and scholars alike.
Titles in this series include:

Comparative Constitutional Law


Edited by Tom Ginsburg and Rosalind Dixon

Methods of Comparative Law


Edited by Pier Giuseppe Monateri

Comparative Law and Society


Edited by David S. Clark

Comparative Labor Law


Edited by Matthew W. Finkin and Guy Mundlak

Comparative Tort Law


Edited by Mauro Bussani and Anthony Sebok

Comparative Competition Law


Edited by John Duns, Arlen Duke and Brendan Sweeney

Comparative Law and Economics


Edited by Giovanni B. Ramello and Theodore Eisenberg

Comparative Criminal Procedure


Edited by Jacqueline E. Ross and Stephen C. Thaman

Comparative Law and Regulation


Understanding the Global Regulatory Process
Edited by Francesca Bignami and David Zaring

Comparative Contract Law


Edited by Pier Giuseppe Monateri

Comparative Property Law


Global Perspectives
Edited by Michele Graziadei and Lionel Smith

Comparative Administrative Law


Second Edition
Edited by Susan Rose-Ackerman, Peter L. Lindseth and Blake Emerson

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Comparative Administrative Law
Second Edition

Edited by

Susan Rose-Ackerman
Henry R. Luce Professor of Jurisprudence (Law and Political Science),
Yale University, USA

Peter L. Lindseth
Olimpiad S. Ioffe Professor of International and Comparative Law,
University of Connecticut, USA

Blake Emerson
Research Fellow, Administrative Conference of the United States, USA

RESEARCH HANDBOOKS IN COMPARATIVE LAW

Cheltenham, UK • Northampton, MA, USA

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© The Editors and Contributors Severally 2017

All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical or photocopying, recording, or
otherwise without the prior permission of the publisher.

Published by
Edward Elgar Publishing Limited
The Lypiatts
15 Lansdown Road
Cheltenham
Glos GL50 2JA
UK

Edward Elgar Publishing, Inc.


William Pratt House
9 Dewey Court
Northampton
Massachusetts 01060
USA

A catalogue record for this book


is available from the British Library

Library of Congress Control Number: 2017931774

This book is available electronically in the


Law subject collection
DOI 10.4337/9781784718671

ISBN 978 1 78471 865 7 (cased)


ISBN 978 1 78471 867 1 (eBook)

Typeset by Servis Filmsetting Ltd, Stockport, Cheshire

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Contents

List of contributorsix
Acknowledgements xxii

Introduction1
Susan Rose-Ackerman, Peter L. Lindseth, and Blake Emerson

PART I CONSTITUTIONAL STRUCTURE AND ADMINISTRATIVE


LAW: TRADITIONS AND TRANSFORMATIONS

1 Révolution, Rechtsstaat and the Rule of Law: historical reflections on the


emergence and development of administrative law  23
Bernardo Sordi
2 Good-bye, Montesquieu 38
Bruce Ackerman
3 Politics and agencies in the administrative state: the U.S. case 44
Peter L. Strauss
4 Written constitutions and the administrative state: on the constitutional
character of administrative law 60
Tom Ginsburg
5 Comparative positive political theory and empirics 71
M. Elizabeth Magill and Daniel R. Ortiz
6 The ‘Neue Verwaltungsrechtswissenschaft’ against the backdrop of
traditional administrative law scholarship in Germany 85
Andreas Voßkuhle and Thomas Wischmeyer
7 Transformations of administrative law: Italy from a comparative perspective 102
Marco D’Alberti
8 Hungary’s post-socialist administrative law regimes 119
Kriszta Kovács and Kim Lane Scheppele

PART II ADMINISTRATIVE INDEPENDENCE

9 The promise of comparative administrative law: a constitutional perspective


on independent agencies 139
Daniel Halberstam

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vi  Comparative administrative law

10 The puzzle of independence and parliamentary democracy in the common


law world: a Canadian perspective 159
Lorne Sossin
11 Assessing the theory of presidential dominance: empirical evidence of the
relationship between the executive branch and regulatory agencies in Brazil 181
Mariana Mota Prado
12 Experimenting with independent commissions in a new democracy with a
civil law tradition: the case of Taiwan 198
Jiunn-rong Yeh
13 Flag-bearers of a new era? The evolution of new regulatory institutions in
India (1991–2016) 218
Arun Kumar Thiruvengadam
14 A comparison of US and European independent commissions 234
Martin Shapiro

PART III TRANSPARENCY, PROCEDURE, AND POLICY-MAKING

15 Citizens and technocrats: an essay on trust, public participation, and


government legitimacy  251
Susan Rose-Ackerman
16 The rise of reason giving in American administrative law 268
Jerry Mashaw
17 The 2015 French code of administrative procedure: an assessment 284
Dominique Custos
18 Three generations of administrative procedures 302
Javier Barnes
19 Administrative agencies as creators of administrative law norms: evidence
from the UK, France and Sweden  319
Dorit Rubinstein Reiss
20 Comparing regulatory oversight bodies: the US Office of Information and
Regulatory Affairs and the EU Regulatory Scrutiny Board  333
Jonathan B. Wiener and Alberto Alemanno
21 Looking for a smarter government (and administrative law) in the age of
uncertainty352
Giulio Napolitano
22 Participation and expertise: judicial attitudes in comparative perspective 370
Catherine Donnelly

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Contents  vii

PART IV ADMINISTRATIVE LITIGATION AND ADMINISTRATIVE LAW

23 Judicial review of questions of law: a comparative perspective 389


Paul Craig
24 Proportionality review in administrative law 405
Jud Mathews
25 Voidness and voidability of unilateral administrative acts in the Western
tradition  420
Gabriel Bocksang Hola
26 The powers and duties of the French administrative law judge 435
Jean Massot
27 Judicial review of agency action in the U.S. and Israel: the choice between
open and closed review 446
Michael Asimow and Yoav Dotan
28 The ‘double helix’ of process and substance review before the UK
Competition Appeal Tribunal: a model case or a cautionary tale for
specialist courts?  462
Athanasios Psygkas
29 Judicial deference to agency’s discretion in new democracies: observations
on constitutional decisions in Poland, Taiwan, and South Africa 478
Cheng-Yi Huang
30 Legal management of urban space in Japan and the role of the judiciary 497
Narufumi Kadomatsu
31 The courts and public space: France, the UK and the US in historical
perspective  513
Thomas Perroud

PART V ADMINISTRATIVE LAW AND THE BOUNDARIES OF THE STATE

PART A PUBLIC AND PRIVATE

32 Three questions of privatization 533


Daphne Barak-Erez
33 Contracting out and ‘public values’: a theoretical and comparative approach  552
Jean-Bernard Auby
34 Organizational structure and culture in an era of privatization: the case of
United States military and security contractors  566
Laura A. Dickinson
35 Transnational non-state regulation and domestic administrative law 582
Victor V. Ramraj

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viii  Comparative administrative law

PART B ADMINISTRATIVE LAW BEYOND THE STATE: THE CASE OF


THE EU

36 A framework for historical comparison of control of national,


supranational and transnational public power 601
Peter Cane
37 EU Agencies 2.0: the new constitution of supranational administration
beyond the EU Commission 619
Johannes Saurer
38 Administrative discretion in the EU: comparative perspectives 632
Joana Mendes
39 Administrative law reform in the European Union: the ReNEUAL Project
and its basis in comparative legal studies 650
Herwig C.H. Hofmann and Jens-Peter Schneider
40 The constitutional basis of EU administrative law 667
Matthias Ruffert
41 What’s in a label? The EU as ‘administrative’ and ‘constitutional’ 680
Peter L. Lindseth

Index699

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Contributors

EDITORS

Susan Rose-Ackerman is Henry R. Luce Professor of Jurisprudence (Law and Political


Science), Yale University. She has published widely in the fields of law, economics, public
policy, and corruption. She is the author, most recently, of Corruption and Government
Causes, Consequences and Reform (2d edition with Bonnie Palifka, 2016); Due Process
of Lawmaking: The United States, South Africa, Germany, and the European Union (with
Stefanie Egidy and James Fowkes, 2015); and From Elections to Democracy: Building
Accountable Government in Hungary and Poland (2005). She holds a Ph.D. in econom-
ics from Yale University and has held fellowships at the Wissenschaftskolleg zu Berlin,
at the Center for Advanced Study in the Behavioral Sciences in Palo Alto, at Collegium
Budapest, and from the Guggenheim Foundation and the Fulbright Commission. Her
research interests include comparative regulatory law and policy, the political economy of
corruption, public policy and administrative law, and law and economics.
Peter L. Lindseth is the Olimpiad S. Ioffe Professor of International and Comparative
Law at the University of Connecticut School of Law, where he is also Director of
International Programs and Co-Director in the Professional Certificate Program in
Corporate and Regulatory Compliance. Prof. Lindseth is also a regular Visiting Professor
in the School of Law at Queen Mary University of London as well as a Research
Associate at the Centre for International Studies at the University of Oxford. He has held
fellowships at the American Academy in Berlin, the European University Institute, the
French Conseil d’Etat, the Max Planck Institute for European Legal History, Princeton
University (Law and Public Affairs), and New York University School of Law. His
research and teaching focus on administrative law, compliance, European integration, and
legal history and theory. His books include: Power and Legitimacy: Reconciling Europe
and the Nation-State (2010); Transatlantic Regulatory Cooperation: Legal Problems and
Political Prospects ­(co-editor, 2000); and Digital Democracy in a Globalized World (co-
editor, Edward Elgar forthcoming). His articles have appeared in the Columbia Law
Review, Contemporary European History, the European Law Journal, and the Yale Law
Journal, among other publications. He holds a B.A. and J.D. from Cornell and a Ph.D. in
European history from Columbia.
Blake Emerson is a Research Fellow at the Administrative Conference of the United States
and will be joining the law faculty of the University of California, Los Angeles in 2018. He
holds a J.D. from Yale Law School, and a Ph.D. in Political Science from Yale University.
His research focuses on the intellectual history of the American administrative state. His
scholarship has appeared in the Review of Politics, Buffalo Law Review, Quaderni fiortenti,
Philosophy & Social Criticism, and the Heidelberg Journal of International Law. His book
manuscript on the political and legal theory of the American Progressives is currently
under contract with Oxford University Press.

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x  Comparative administrative law

AUTHORS

Bruce Ackerman is Sterling Professor of Law and Political Science at Yale, and the
author of 18 books in political philosophy, constitutional law, and public policy.
Professor Ackerman is a member of the American Law Institute and the American
Academy of Arts and Sciences. The Stakeholder Society (with Anne Alstott) helped
inspire Tony Blair’s introduction of child investment accounts in the United Kingdom.
His proposals for dealing with terrorist threats in Before the Next Attack (2006) served
as a basis for the reform of the French constitution in 2008. The Decline and Fall of
the American Republic (2010) emphasizes the dangers of presidential unilateralism at
home and abroad. His most recent book completes the We the People trilogy with a
study of The Civil Rights Revolution. He is currently writing a book on comparative
­constitutional law, dealing with the rise of world constitutionalism in the twentieth
century.
Alberto Alemanno is Jean Monnet Professor of Law at Ecole des Hautes Etudes
Commerciales (HEC) Paris and Global Clinical Professor at New York University School
of Law. He studies the role of evidence and public input in domestic and supranational
policymaking, especially the law of risk regulation in both the EU and the WTO. He has
explored the use of scientific evidence and behavioral research in regulatory decision-
making and in judicial review. He studies the legal implications of behavioral research
across policy areas. He regularly provides advice to NGOs and governments as well as
to international organizations. Alemanno is a graduate of the College of Europe and
Harvard Law School; he holds a Ph.D. in International Law and Economics from Bocconi
University. He is the founder and editor of the European Journal of Risk Regulation and
the co-founder of TheGoodLobby, an organization that connects people with expertise
to civil society organizations. He was appointed Young Global Leader by the World
Economic Forum in 2015.
Michael Asimow is Visiting Professor, Stanford Law School, and Professor of Law
Emeritus, UCLA Law School. Asimow is co-author of State and Federal Administrative
Law (4th ed. 2014 with Ron Levin) and California Administrative Law (2014). He is
currently an ACUS consultant studying federal administrative adjudication outside
the Administrative Procedure Act. He is a former chair of the ABA’s Section on
Administrative Law & Regulatory Practice. Asimow’s recent articles on comparative
administrative law include Hired Guns and Ministers of Justice: The Role of Government
Attorneys in the US and Israel, 49 Israel Law Review 3 (2016) (with Yoav Dotan); Open
and Closed Judicial Review of Agency Action: The Conflicting US and Israeli Approaches,
64 AJCL 521 (2016) (with Dotan); Five Models of Administrative Adjudication, 63 AJCL
3 (2015).; The Many Faces of Administrative Adjudication in the European Union, 61 Adm.
L. Rev. 131 (2009) (with Lisl Dunlop).
Jean-Bernard Auby is Professor of Public Law at Sciences Po Law School, Paris, where
he holds the Chair for Changes in Governance and Public Law (Mutations de l’Action
Publique et du Droit Public). He was formerly Deputy Director of the Oxford Institute
of European and Comparative Law. His books include Droit de l’urbanisme et la con-
struction (10th ed. 2015), Droit des collectivités locales (5th ed. 2015), Droit de la fonction

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Contributors  xi

publique (5th ed. 2009), and Droit de la Ville: Du fonctionnement juridique des villes au
droit à la Ville (2nd ed. 2016). He is a member of the advisory boards of numerous jour-
nals, including European Public Law; International and Comparative Law Quarterly; and
Rivista Italiana di Diritto Pubblico Comunitario.
Daphne Barak-Erez is a Justice of the Supreme Court of Israel. Justice Barak-Erez
was Dean of the Faculty of Law, Tel-Aviv University and the Stewart and Judy Colton
Professor in Law and Security before her appointment to the court. She served as
Director of the Minerva Center for Human Rights and Director of the Cegla Center for
Interdisciplinary Research of Law. She holds a J.S.D., LL.M., and LL.B. from the Tel Aviv
Faculty of Law. Justice Barak-Erez has been a visiting professor at various universities,
including the University of Toronto, Columbia Law School and Stanford Law School.
She has chaired the Israeli Association of Public Law and was President of the Israeli
Law and Society Association. She is the author and editor of several books and of many
articles in Israel, England, Canada and the United States.
Javier Barnes is Professor of Administrative Law at the University of Huelva, Spain. His
research focuses on comparative and European administrative law. He holds a Ph.D. from
Seville University and has been a visiting professor in Germany, Italy, the United States
and Latin America. He is founder and co-director of the international research project
on new administrative law (www.globallawpress.org). Amongst his most influential books
are Administrative Procedure in Comparative View, Judicial Review of Administration
in Comparative Law, Proportionality Principle in Europe and in Western Countries,
Challenges and Developments in Administrative Law (2012); and Third Generation of
Administrative Procedures (2014). He advises European institutions as well as national
governments on administrative law issues, most recently in the drafting of administrative
procedure acts in several Latin-American countries. He has won the international research
prize Alexander von Humboldt (2016).
Gabriel Bocksang Hola is Professor in the School of Law of the Pontifical Catholic
University of Chile (Pontificia Universidad Católica de Chile), where he obtained his
undergraduate degree of Licenciatura en Derecho. Later on, he received both his LL.M
and Ph.D. degrees from the University of Paris 1 (Panthéon-Sorbonne). His doctoral
thesis was awarded the prize of the Centre Français de Droit Comparé (2010–11) and
was published in France (L’inexistence juridique des actes administratifs, 2013). He is
the author of two other books, El procedimiento administrativo chileno (2006), and El
nacimiento del derecho administrativo patrio de Chile (1810–1860) (2015). He is also
­co-editor of three books, and author of several academic articles. His main research
interests lie in the theory and history of administrative law, comparative public law, legal
voidness, administrative procedure and judicial review.
Peter Cane is Senior Research Fellow at Christ’s College Cambridge, Yorke Distinguished
Visiting Fellow in the Law Faculty at the University of Cambridge, and Emeritus
Distinguished Professor of Law at the Australian National University. He is a
Corresponding Fellow of the British Academy and a Fellow of the Academy of Social
Sciences in Australia. His most recent book is Controlling Administrative Power: An
Historical Comparison (2016).

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xii  Comparative administrative law

Paul Craig is Professor of English Law at St John’s College, Oxford. He teaches and writes
on constitutional law, administrative law, comparative public law and EU law. His most
recent book is UK, EU and Global Administrative Law: Foundations and Challenges (2015).
He is the alternate UK member on the Venice Commission for Law and Democracy.
Dominique Custos holds a Ph.D. an LL.M. in public law, and a Master’s degree in Legal
Anthropology, Paris1, Panthéon-Sorbonne, France. Professor Custos is Professor agrégée
(Full professor) of public law at the University of Caen, France. She is the director of the
Research Center on Fundamental Rights and Legal Change. She also teaches on the Euro-
American campus of Sciences Po Paris. Her previous appointments include a research
and teaching fellowship at the Sorbonne, an associate professorship at the University of
French Antilles and Guyana and a distinguished professorship at Loyola University New
Orleans, USA. She also served as a Fulbright visiting scholar at Columbia University,
USA. Reflective of her transatlantic academic experience, her comparative administra-
tive scholarship focuses on the American, French and European models. She has been
selected to host a new American administrative law chronicle in the Revue Française de
Droit Administratif.
Marco D’Alberti is Full Professor of Administrative Law at the Law School of ‘Sapienza’
University in Rome, where he is also Senior Research Fellow at Sapienza School for
Advanced Studies and Director of the postgraduate Master ‘Global Regulation of
Markets’. He has been Visiting Scholar at the Universities of Cambridge (1980–81),
Harvard (1982) and Yale (1987–88) and Visiting Professor at the University of Paris
II – Panthéon-Assas (1990 and 2005) and at Columbia University School of Law (1995
and 2016). He is a member of the International Academy of Comparative Law, of the
Board of Directors of the European Public Law Organization, and of the Council of
the International Society of Public Law. From 1997 to 2004 he was Commissioner of the
Italian Competition Authority. His books, essays and articles are mainly concerned with
administrative law, comparative law and public regulation of markets.
Laura A. Dickinson is the Oswald Symister Colclough Research Professor and Professor
of Law at George Washington University. Her work focuses on human rights, national
security, foreign affairs privatization, and qualitative empirical approaches to inter­
national law. Her prizewinning book, Outsourcing War and Peace (2011), examines the
increasing privatization of military, security, and foreign aid functions of government,
and considers the impact of this trend on core public values and outlines mechanisms for
protecting these values. Dickinson is serving as special counsel to the general counsel at
the U.S. Department of Defense. Previously, she was a senior policy adviser to Harold
Hongju Koh, Assistant Secretary of State for Democracy, Human Rights, and Labor
at the U.S. Department of State. She has been a Future of War Fellow with the New
America Foundation’s International Security Program, and is currently the Co-Chair of
the Interest Group on International Law and Technology within the American Society
of International Law, and a board member of the Journal of National Security Law and
Policy.
Catherine Donnelly, LL.B. (Dubl), B.C.L. (Oxon), LL.M. (Harv), D.Phil. (Oxon), B.L. is
a practising barrister and an Associate Professor and Fellow of Trinity College, Dublin.
She is also a member of Blackstone Chambers in London. As well as practising before

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Contributors  xiii

the Irish courts, she appears and acts in cases before the courts of England and Wales,
Northern Ireland, the Court of Justice of the European Union and the European Court
of Human Rights. She is an editor of De Smith’s Judicial Review (2007, 2009, 2013, 2014,
2015 and 2016). She is also author of Delegation of Governmental Power to Private Parties:
A Comparative Perspective (2007) and has published widely in European Union law,
human rights law, and public law. She was formerly a Fellow and College and University
Lecturer at Wadham College, Oxford, and an Attorney at Law in the litigation depart-
ment of Davis, Polk and Wardwell, New York.
Yoav Dotan is a Professor and former Dean at the Faculty of Law at the Hebrew
University, Jerusalem. He received his LL.B. at the Hebrew University Jerusalem, LL.M.
from the University of California at Berkeley and LL.D. from the Hebrew University. He
did his post-doctoral studies at Wolfson College Oxford. His work focuses on public law,
administrative and constitutional law, judicial review, privatization and regulation. He
was a visiting professor at Columbia Law School, Fordham Law School, University of
Miami Law School and served as a non-residential fellow at Edmond J. Safra Research
Lab at Harvard University (2012–13). His recent book Lawyering for the Rule of Law:
Government Lawyers and the Rise of Judicial Power in Israel was published in 2014. He has
also published in the Law & Society Review; Oxford Journal of Legal Studies; Public Law;
Administrative Law Review; and American Journal of Comparative Law.
Tom Ginsburg is the Deputy Dean and Leo Spitz Professor of International Law at
the University of Chicago, where he also holds an appointment in the Political Science
Department. He holds B.A., J.D. and Ph.D. degrees from the University of California
at Berkeley. He currently co-directs the Comparative Constitutions Project, an NSF-
funded data set cataloging the world’s constitutions since 1789. His books include
Judicial Reputation: A Comparative Theory (2015) (with Nuno Garoupa); The Endurance
of National Constitutions (2009) (with Zachary Elkins and James Melton), which won
the best book award from Comparative Democratization Section of American Political
Science Association; and Judicial Review in New Democracies (2003). He is a member of
the American Academy of Arts and Sciences. He currently serves as a senior advisor on
Constitution Building to International IDEA.
Daniel Halberstam is Associate Dean for Faculty and Research, and Eric Stein Collegiate
Professor of Law at the University of Michigan Law School. An expert on constitutional
law and federalism, and one of the principal architects of the theory of constitutional
pluralism, Professor Halberstam writes more broadly on comparative public law and legal
theory. He gave the General Course on the European Union at the European University
Institute, Florence, and teaches regularly throughout Europe. He was Fellow at the
Wissenschaftskolleg (Institute for Advanced Study) in Berlin, and subsequently joined
the Institute’s academic advisory board. Halberstam earned his B.A. summa cum laude in
mathematics and psychology from Columbia College, and a J.D. from Yale Law School.
He also served as clerk for U.S. Supreme Court Justice David H. Souter, judicial fellow for
Judge Peter Jann at the European Court of Justice, and in the Clinton Administration’s
Office of Legal Counsel.
Herwig C.H. Hofmann is Professor of European and Transnational Public Law at the
University of Luxembourg; he specializes in European and transnational constitutional,

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xiv  Comparative administrative law

administrative, and regulatory law. A graduate of the Universities of Hamburg and


Oxford, he formerly was lecturer in law at Trinity College in Dublin, and has been visit-
ing professor and scholar at various universities including Sciences Po in Paris, Columbia
Law School, the University of San Francisco Law School, and Chuo University in Tokyo.
He is co-founder and coordinator of the Research Network on European Administrative
Law (ReNEUAL). Hofmann advises European Institutions and national governments,
most recently the Legal Affairs Committee of the European Parliament on a draft EU
administrative procedure regulation and, on the drafting of the new French code on
administrative procedure. Amongst his influential publications is Administrative Law and
Policy of the European Union (2011), co-authored with A. Türk and G. Rowe.
Cheng-Yi Huang is an Associate Research Professor in the Institutum Iurisprudentiae,
Academia Sinica, Taiwan. He holds a J.S.D. from the University of Chicago Law School.
His research focuses on comparative public law, with a particular interest in the new
insights that developing democracies can have for democratic theory. He has founded
the project of Comparative Administrative Law in Asia (http://cala.iias.sinica.edu.
tw) since 2012. His articles appear in Law & Social Inquiry and Comparative Law and
Regulation (Edward Elgar). He won the Honorable Mention to the LSA Dissertation
Award in 2010. He currently serves as the chairperson of Taiwan Association for Truth
and Reconciliation, an NGO advocating transitional justice in Taiwan.
Narufumi Kadomatsu is a Professor of Administrative Law at Graduate School of Law,
Kobe University. After graduating from the University of Tokyo in 1986, he studied in
the Master’s and Doctoral Program at Graduate Schools for Law and Politics. He also
worked as a Research Associate at the Institute of Social Science. He was appointed as
Associate Professor at Kyushu University in 1996 and transferred to Kobe University as a
Professor in 2005. He also studied one year at the University of Hamburg (1998–99) and
taught Japanese Law at the University of Munich for two semesters (2003–04).
Kriszta Kovács is Associate Professor of Comparative Constitutional Law at the
UNESCO Chair on Human Rights and Peace at ELTE University Faculty of Social
Sciences, Budapest. She is also a former Vice Dean at the Faculty, a former Senior Adviser
of the Hungarian Constitutional Court, and former Co-President of the Joint Council on
Constitutional Justice (Venice Commission, Council of Europe). She has held fellowships
at the Human Rights Institute of the Columbia Law School, New York, at the University
of Trento, Italy, at the University of Birmingham, and from the UK Foreign Office and the
Zeit Stiftung. She is the author of Towards Equality. From the Ban on Non-discrimination
to Affirmative Action (2012) and the co-author of Constitution for a Disunited Nation.
Hungary’s 2011 Fundamental Law (2011). Her recent book chapters include ‘Changing
Constitutional Identity via Amendment’ (in Constitutional Acceleration within the
European Union and Beyond (ed. Paul Blokker, 2017).
M. Elizabeth Magill is Richard E. Lang Professor of Law and Dean of Stanford Law
School. She is an expert in administrative law, constitutional law, and food and drug law.
Her scholarly contributions are published in leading law reviews and have won several
awards. She is a fellow of the American Academy of Arts & Sciences and is a member
of the American Law Institute. Dean Magill was on the law faculty at the University
of Virginia School of Law for 15 years and held appointments as visiting professor at

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Contributors  xv

Harvard Law School and as Thomas Jefferson Visiting Fellow at Downing College,
Cambridge University. She clerked for Judge J. Harvie Wilkinson III of the U.S. Court
of Appeals for the Fourth Circuit and for Associate Justice Ruth Bader Ginsburg of the
U.S. Supreme Court. Dean Magill holds a B.A. in History from Yale University and a J.D.
from the University of Virginia School of Law.
Jerry Mashaw is Sterling Professor of Law Emeritus and Professorial Lecturer at Yale
University, where he teaches courses on administrative law, social welfare policy, regula-
tion, legislation, and the design of public institutions. His award-winning books include
Bureaucratic Justice (1983), The Struggle for Auto Safety (with David Harfst 1990),
Greed, Chaos, and Governance: Using Public Choice to Improve Public Law (1997), and
Creating the Administrative Constitution (2013). He is a frequent contributor to legal and
public policy journals and to newspapers and news magazines. Professor Mashaw is a
founding member and past President of the National Academy of Social Insurance; a
Fellow of the National Academy of Arts and Sciences, and was founding co-editor (with
O.E. Williamson) of the Journal of Law, Economics and Organization.
Jean Massot retired as a member of the French Conseil d’Etat in 2004, where his four-
decade career concluded as the President of the Section des Finances. Between 2005 and
2014, former President Massot was a member of France’s independent data protection
agency, the Commission Nationale de l’Informatique et des Libertés (CNIL). He is also
the author of numerous works on French administrative and constitutional law as well
as legal history and politics. Among his several books are Informatique et Libertés (2015)
­(co-editor with Anne Debet and Nathalie Metallinos), Chef de l’état et chef de gou-
vernement (2008), Le Conseil d’Etat, 1799–1999 (1999) (co-editor with Thierry Girardot),
and Alternance et cohabitation sous la Vème République (1997). He is a graduate of the
Institut d’études politiques (Sciences-Po, Paris) and the Ecole National d’Administration
(ENA), and he also holds a doctorate from the law faculty of the University of Paris.
Jud Mathews is an Associate Professor at Penn State Law and an Affiliate Professor in
Penn State’s School of International Affairs. At Penn State, he teaches courses in admin-
istrative law, civil procedure, constitutional interpretation, and state and local government
law. His scholarship brings a comparative and interdisciplinary approach to questions
of public law. His book, Extending Rights’ Reach: Constitutions, Private Litigation, and
Judicial Power in Germany, the United States, and Canada, is forthcoming. Prior to joining
Penn State Law, Professor Mathews was a visiting assistant professor at the University
of Illinois College of Law. After law school, he worked as a law clerk for Judge Guido
Calabresi on the U.S. Court of Appeals for the Second Circuit.​He holds an A.B. from
Princeton, and a J.D. and Ph.D. in political science from Yale.
Joana Mendes is Professor of Comparative Administrative Law at the University
of Luxembourg. She has a doctoral degree from the European University Institute
(Italy), awarded in 2009. Before joining the University of Luxembourg, she worked
at the University of Amsterdam (2009–16), where she was Associate Professor at the
Department of International and EU Law, senior researcher at the Amsterdam Centre
for European Law and Governance and Ph.D. Dean at the Faculty of Law. She has been
a Fulbright Visiting Scholar at Yale Law School (2014). As a member of the Steering
Committee of ReNEUAL, she has participated in the elaboration of the Model Rules on

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xvi  Comparative administrative law

EU Administrative Procedure. Her recent research focuses on administrative discretion


in the EU (Individual research grant (VENI), awarded by The Netherlands Organisation
for Scientific Research (NWO), between 2013 and 2016); on international regulatory
­cooperation, in particular in the framework of mega-regional agreements; and on the allo-
cation of authority in EU and international law (in collaboration with Dr. Ingo Venzke).
Her publications include Participation in EU Rulemaking. A Rights-based Approach (2011)
and articles published in the Common Market Law Review; the European Law Journal; and
the International Journal of Constitutional Law.
Mariana Mota Prado is Associate Professor and Associate Dean (Graduate Studies) at the
Faculty of Law, University of Toronto. A Brazilian national, she obtained her law degree
(LL.B.) from the University of Sao Paulo, and her master (LL.M.) and doctorate (J.S.D.)
from Yale Law School. During the 2012–13 academic year, she was a visiting researcher at
MIT’s Political Science Department. She has taught courses at Centre for Transnational
Legal Studies in London, Direito Rio – Getulio Vargas Foundation Law School in Brazil,
ITAM Law School in Mexico, Los Andes Law School in Colombia, and University of
Puerto Rico School of Law. Her scholarship focuses on law and development, regulated
industries, and comparative law.
Giulio Napolitano is Professor of Administrative Law and Comparative Administrative
Law at the University of Roma Tre, Department of Law. He was visiting and program
affiliate scholar at the Max-Planck-Institut of Heidelberg and at the New York University
School of Law. He is a member of the Inaugural Council of the International Society of
Public Law (ICON-S) and of the Board of Editors of the European Public Law Review.
He has published extensively in the fields of theoretical foundations of administrative law,
comparative administrative law, regulation and antitrust, economic analysis of public law,
and global governance. From 2006 to 2008, he served as legal counsel in the office of the
Prime Minister. From 2009 to 2012 he chaired the supervisory board on equality of access
to the telecommunication network.
Daniel R. Ortiz has taught since 1985 at the University of Virginia School of Law, where
he is the Michael J. and Jane R. Horvitz Distinguished Professor of Law and Director of
the Supreme Court Litigation Clinic. His teaching and research interests focus on election
law, administrative law, and legal theory. He has served as council member of the ABA’s
Section on Administrative Law and Regulatory Practice, as co-chair of its scholarship
and election law committees, and as legal director of the National Commission on Federal
Election Reform, chaired by Presidents Ford and Carter after the 2000 election. He has
written many articles and book chapters in these areas and has litigated widely, including
before the United States Supreme Court. His web page can be found at http://www.law.
virginia.edu/lawweb/Faculty.nsf/FHPbI/1196477.
Thomas Perroud is professor of public law at Panthéon-Assas University (Paris II). After
graduating from HEC and SciencesPo he earned a Ph.D. from both the Sorbonne and
Warwick Law Schools. He specializes in comparative administrative law, and especially
regulation and policy-making.
Athanasios Psygkas is lecturer in law at the University of Bristol in the UK. His
research interests include comparative public law, regulation, and global governance.

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Contributors  xvii

His forthcoming book, entitled From the ‘Democratic Deficit’ to a ‘Democratic Surplus’:
Constructing Administrative Democracy in Europe examines the impact of EU law on
the adoption of participatory regulatory processes in the Member States. Akis received
J.S.D. and LL.M. degrees from Yale Law School, where he was a Fulbright scholar, and
an LL.B. and LL.M. in Public Law and Political Science from the Aristotle University
of Thessaloniki (Greece). He has held fellowships at the European University Institute in
Florence and the Institut d’Etudes Politiques (Sciences Po) in Paris. He was also an Oscar
M. Ruebhausen visiting research fellow at Yale Law School and has been managing the
Comparative Administrative Law Blog since 2009.
Victor V. Ramraj is a Professor of Law at the University of Victoria in Victoria, British
Columbia, Canada, where he also holds Chair in Asia-Pacific Legal Relations at the
Centre for Asia-Pacific Initiatives (CAPI). He returned to Canada in 2014 after 16
years at the National University of Singapore and two secondments at the Centre for
Transnational Legal Studies (CTLS) in London. He has qualifications in law (LL.B.,
Toronto; LL.M., Queen’s University Belfast) and philosophy (B.A., McGill; MA, Ph.D,
Toronto) and has served as a judicial law clerk at the Federal Court of Appeal in Ottawa
and as a litigation lawyer in Toronto. Dr. Ramraj has edited/co-edited many books
including Emergencies and the Limits of Legality (2009) and Emergency Powers in Asia:
Exploring the Limits of Legality (2010) and his research has been published in journals
around the world. He is currently working on a book on transnational regulation and
public law.
Dorit Rubinstein Reiss is a Professor of Law at UC Hastings College of the Law. She has
an LL.B. from the Hebrew University in Jerusalem and Ph.D. from the Jurisprudence
and Social Policy program in Berkeley. She has written about comparative regulation as
well as U.S. administrative law. Her current research focus is on issues related to vaccine
law and policy.
Matthias Ruffert is Professor of Public Law and European Law at the Law Faculty of the
Humboldt University Berlin. From 2002–16 he was Professor of Public Law, European
Law and Public International Law at the Friedrich-Schiller-University Jena, Germany. He
has been a Visiting Professor at the Université de Paris XI, Sceaux, and the Université
Toulouse 1 Capitole. Between 2011–14 he was the Jean Monnet Professor, and from
2013–16 the Academic Co-ordinator of a Jean Monnet Centre of Excellence; he has
served as a Judge at the Administrative Court of Appeal of Thuringia, as a Member of the
Thuringian Constitutional Court; and as a Member of the Review Board ‘Jurisprudence’
of the Deutsche Forschungsgemeinschaft/German National Science Foundation. He
completed his legal studies in Passau and Trier (both Germany) and London (King’s
College). He has written widely on administrative law, especially in the Member States of
the European Union.
Johannes Saurer is Professor at the Faculty of Law at the University of Tuebingen,
where he holds the Chair for Public Law, Environmental Law, Law of Infrastructure
and Comparative Law. He is a graduate of the University of Tuebingen, the University
of Bayreuth and the Yale Law School. Prior to his current position he has been a
Professor for Public Law at the University of Bielefeld. His publications include articles
on German and European constitutional law and administrative law, environmental law

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xviii  Comparative administrative law

and ­comparative law and the books Die Funktionen der Rechtsverordnung (2005) and Der
Einzelne im europäischen Verwaltungsrecht (2014).
Kim Lane Scheppele is the Laurance S. Rockefeller Professor of Sociology and International
Affairs in the Woodrow Wilson School and the University Center for Human Values at
Princeton. From 2005 to 2015, she was Director of the Program in Law and Public
Affairs at Princeton, after 10 years on the faculty of the University of Pennsylvania Law
School. Scheppele’s work focuses on the intersection of constitutional and international
law, particularly in constitutional systems under stress. After 1989, Scheppele studied
the emergence of constitutional law in Hungary and Russia. After 9/11, she researched
the effects of the ‘war on terror’ on constitutional protections around the world. She
is a member of the International Academy of Comparative Law and received the Law
and Society Association’s Kalven Prize for influential scholarship. She was the founding
­director of the gender program at Central European University, Budapest, and has taught
in the law schools at Michigan, Yale, Erasmus/Rotterdam, Humboldt/Berlin and (next
year) Harvard.
Jens-Peter Schneider is a Professor of Public Law and Director of the Department for
Public Law, European Information and Infrastructure Law at the Institute of Media and
Information Law, University of Freiburg. His expertise includes German and EU public
law, comparative administrative law, information law, infrastructure law, public economic
and environmental law, and administrative sciences. Schneider is co-founder and one of
the coordinators of the Research Network on EU Administrative Law (ReNEUAL). He
serves as legal adviser to the rector of his university and as a research member of the
Centre for Security and Society at the University of Freiburg. He previously has held posi-
tions as visiting research fellow or guest professor at Brasenose College, the University
of Oxford, Andrássy University Budapest, Columbia Law School (New York), and the
University of São Paulo (Brasilia).
Martin Shapiro is the James W. and Isabel Coffroth Professor Law, emeritus, at the
University of California, Berkeley and was formerly Professor of Government at
Harvard. He has taught political science on a number of University of California cam-
puses and held numerous visiting appointments in law or political science at U.S. and
overseas universities. He teaches and writes on American and comparative constitutional
and administrative law and more generally about courts and law and politics.
Bernardo Sordi teaches history of law at the School of Law of the University of Florence,
where he is a member of the editorial board of the review Quaderni fiorentini. His research
interests concern constitutional and administrative history in the modern and contempor­
ary age. He is the author of over 100 publications including: Giustizia e amministrazione
nell’Italia liberale (1985) on the origins of the Italian administrative law in the nineteenth
century; Tra Weimar e Vienna (1987) on the German and Austrian administrative law
during the interwar period; L’amministrazione illuminata (1991) on the administrative
reforms in the Italian Enlightenment. He published with Luca Mannori Storia del diritto
amministrativo (2013), a general profile of the modern history of administrative law in
Europe. He has recently co-edited Il contributo italiano alla storia del pensiero. Diritto
(2012; 2015) (with P. Costa, M. Fioravanti and P. Cappellini), a collective research on the
history of the Italian scientia iuris from the Medieval Age to the twentieth century.

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Contributors  xix

Lorne Sossin B.A. (McGill), M.A. (Exeter), Ph.D. (Toronto), LL.B. (Osgoode), LL.M.,
J.S.D (Columbia), of the Bar of Ontario, Professor and Dean of Osgoode Hall Law
School, at York University. Professor Sossin has been a Law Professor at the University
of Toronto (2002–10). In 2012 and 2013, Canadian Lawyer named him one of the 25 Most
Influential Lawyers in Canada, and in 2012 he received the David Mundell Medal for
excellence in Legal Writing. Dean Sossin was a law clerk to former Chief Justice Antonio
Lamer of the Supreme Court of Canada. He holds doctorates from the University of
Toronto in Political Science and from Columbia University in Law. Dean Sossin has
published widely including Administrative Law in Context 2nd ed. (2013) (co-edited with
Colleen Flood); Middle Income Access to Justice (2012) (co-edited with Tony Duggan
and Michael Trebilcock); and Boundaries of Judicial Review: The Law of Justiciability in
Canada 2nd ed. (2012).
Peter L. Strauss, the Betts Professor of Law Emeritus at Columbia Law School, has
taught Administrative Law there since 1971 (on leave 1975–77 to be General Counsel,
US Nuclear Regulatory Commission). His published works include Administrative
Justice in the United States (3rd ed. 2016); Gellhorn’s & Byse’s Administrative Law: Cases
and Comments (most recently, 2011, with Rakoff, Farina and Metzger); Legal Methods:
Understanding and Using Cases and Statutes (most recently 2008); Administrative Law
Stories (ed. 2006); and numerous law review articles, generally focusing on rulemak-
ing, separation of powers, or statutory interpretation. Chair of the ABA Section of
Administrative Law and Regulatory Practice in 1992–93, he earlier had won its third
annual award for distinguished scholarship. His essay ‘Overseer or ‘The Decider’? The
President in Administrative Law’ received the American Constitution Society’s first
Richard Cudahy prize for scholarship in administrative law. He is a member of the
American Law Institute and the National Academy of Arts and Sciences.
Arun Kumar Thiruvengadam is an Associate Professor at the School of Policy and
Governance, Azim Premji University, Bengaluru, India. He holds degrees in law from the
National Law School (B.A., LL.B. 1995; LL.M. 2001) and New York University School
of Law (LL.M. 2002; J.S.D. 2007). He worked as a law clerk at the Supreme Court of
India, and has practiced before the High Courts of Delhi and Madras and the Supreme
Court of India. Between 2005 and 15, he was based at the Faculty of Law, National
University of Singapore, and has taught in a visiting capacity at several other institu-
tions. His teaching and research has focused on comparative constitutional law, Indian
constitutional and administrative law, law and development, law and politics in South
Asia, and legal theory. His publications include two co-edited volumes on Comparative
Constitutionalism in South Asia (2012) and Emergency Powers in Asia (2010).
Andreas Voßkuhle is President of the German Federal Constitutional Court, Chairperson
of the Second Senate of the Constitutional Court and Director of the Institute for
Staatswissenschaft and Philosophy of Law at the Albert-Ludwigs-University Freiburg.
Since 2007, he has also been a member of the Social Sciences Class of the Berlin-
Brandenburg Academy of Sciences and Humanities. He studied law at Bayreuth
University and the Ludwig-Maximilians-University Munich, completed both juridical
state examinations, and earned his Dr. jur. at the University of Munich. In 1998, he
completed his habilitation (professorial dissertation) on the principle of compensation.

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xx  Comparative administrative law

Public law, administrative law and legal theory are the main subjects of his current
research activities. In 2006–07, Voßkuhle was a fellow at the Wissenschaftskolleg zu
Berlin; in 2007, he was elected as Rector of the Albert-Ludwigs-University Freiburg
and in 2008 as Vice-President of the Federal Constitutional Court, Chairperson
of the Second Senate. Since March 2010 he has been the President of the Federal
Constitutional Court.
Jonathan B. Wiener is Perkins Professor of Law, and of Environmental Policy and Public
Policy, at Duke University, where he co-directs the ‘Rethinking Regulation’ program. His
publications include Risk vs. Risk (1995) (with Graham), Reconstructing Climate Policy
(2003) (with Stewart), The Reality of Precaution: Comparing Risk Regulation in the US
and Europe (2011) (with Rogers, Hammitt and Sand), and Policy Shock: Recalibrating
Risk and Regulation after Oil Spills, Nuclear Accidents and Financial Crises (forthcoming
2017) (with Balleisen, Bennear and Krawiec). He is a University Fellow at RFF. In 2008 he
was president of the Society for Risk Analysis (SRA). Before coming to Duke in 1994, he
served at the U.S. Department of Justice, Environment and Natural Resources Division
(DOJ/ENRD); the White House Office of Science and Technology Policy (OSTP);
and the White House Council of Economic Advisers (CEA); there he helped negotiate
the Framework Convention on Climate Change (FCCC) (1990–92), and helped draft
Executive Order 12866 on regulatory review (1993). He was a law clerk to federal judges
Stephen G. Breyer and Jack B. Weinstein. He received his J.D. (1987) and A.B. (1984,
economics) from Harvard University.
Thomas Wischmeyer is a postdoctoral researcher at the Institute for Staatswissenschaft
and Legal Philosophy at Freiburg University. He clerked at the German Federal
Constitutional Court (Bundesverfassungsgericht) before starting his academic career at
Freiburg University. He spent the spring semester 2012 at Yale Law School as a visiting
doctoral researcher and received his Ph.D. in legal and constitutional theory in 2014. In
2016–17, Thomas Wischmeyer is an Emile Noël Fellow at NYU’s Jean Monnet Center
and the DAAD Visiting Fellow at NYU. He is the author of three books, including, The
Costs of Rights: The Fiscal Dimension of Fundamental Rights (2015) and The Centrist
Constitution (2016, co-authored with Andreas Voßkuhle). He has published articles on a
wide variety of topics concerning European and German constitutional and administra-
tive law, constitutional and legal theory, and information law. His current research focuses
on the role of law in the information society and in particular on the emerging paradigm
of ‘information security.’
Jiunn-rong Yeh is University Chair Professor at National Taiwan University where he
teaches constitutional law, administrative law and environmental law. He is the author
and editor of a series of books that analyzes constitutionalism, courts and democratic
transition in Asian context and beyond. His recent publications in book form include The
Constitution of Taiwan: A Contextual Analysis; The Functional Transformation of Courts:
Taiwan and Korea in Comparison (ed.); Asian Courts in Context; and Constitutionalism
in Asia: Cases and Materials (with coauthors). His academic work has been fuelled in
part by substantial involvement in many constitutional, legislative and regulatory issues
in Taiwan and in the region. He held a ministerial position in Taiwan’s cabinet in 2002–
06, overseeing government reform and sustainable development via inter-ministerial

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Contributors  xxi

c­ oordination. In 2005, he was elected the Secretary-General of the National Assembly


that approved the constitutional revision proposals by Legislative Yuan. Since May 2016,
he has been on loan to the government as the Minister of the Interior in Taiwan’s govern-
ment while holding his university chair position.

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Acknowledgements

This second edition of Comparative Administrative Law builds on the first edition
published in 2010. The editors acknowledge the generous support of the Oscar M.
Ruebhausen Fund at Yale Law School and the University of Connecticut Law School,
which both supported the book and a meeting of the authors in 2016. Most chapters are
either new additions or extensive revisions of chapters from the first edition. Six chapters
are reprinted from the first edition, and a few authors decided not to reprint or update
their earlier chapters. The reprinted chapters are by Bruce Ackerman, Jean-Bernard Auby,
Daphne Barak-Erez, Tom Ginsberg, Daniel Halberstam, and Dorit Rubinstein Reiss.
It would have been impossible to publish a book of this magnitude and ambition
without the extensive assistance of others. We are especially grateful to Cathy Orcutt for
managing the logistics of both the gathering of the authors and the edited book with her
usual competence and aplomb. We also want to thank the contributors for keeping to our
deadlines, responding to our comments, and providing us with a collection of diverse and
fascinating approaches to the topic.
Susan Rose-Ackerman
Peter L. Lindseth
Blake Emerson

xxii
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Introduction
Susan Rose-Ackerman, Peter L. Lindseth, and Blake Emerson

Administrative law exists at the interface between the state and society—between civil
servants and state institutions, on the one hand, and citizens, business firms, organized
groups, and non-citizens, on the other. Civil service law, bureaucratic organization charts,
and internal rules provide an essential background. But our emphasis is on the law’s role in
framing the way that individuals and organizations test, challenge, and fortify the legitim­
acy of the modern state outside the electoral process. There are two broad tasks—first,
upholding individual rights in ways that protect them against an overreaching state, and
second, providing external checks and constructive input that enhance the democratic
accountability and competence of the administration.
The contributors approach these normative questions from a variety of disciplinary,
doctrinal, and jurisdictional perspectives. All of them, however, share a general concern
with administrative law as a central institution of modern government. We build on
work in economics and political science that uses the term ‘institution’ to refer to a set of
formal or informal binding rules (see, for example, North 1990, 3–5; March and Olsen
1989, 1998, 948). The institutions of administrative law, then, include not only the posi-
tive legal rules but also the wider political, cultural, technological, and economic norms
that impinge upon and shape legal doctrine. Administrative law, in this inclusive sense,
is particularly amenable to comparative political and historical study. Cross-disciplinary
insights show how institutions work in practice, how they evolve over time, and how they
further different objectives in various social, political, and territorial contexts. Employing
this broad perspective, this volume seeks to illuminate both the historical legacies and the
present-day political and economic realities that continue to shape the field in the twenty-
first century.
Several core themes bind together the contributions to both the first and the second
editions of Comparative Administrative Law. The first is the relationship between admin-
istrative and constitutional law. The Germans speak of administrative law as ‘concretized’
constitutional law, and Americans often call it ‘applied’ constitutional law. The English,
with no written constitution, refer to ‘natural justice’ and, more recently, to the European
Convention on Human Rights (ECHR). Foundational constitutional norms of popular
sovereignty, the separation of powers, the rule of law, and individual rights all have admin-
istrative counterparts that may have more day-to-day impact than maxims of higher law
on the lives of those subject to state power. But the degree and nature of this connection
between constitution and administration remains a matter of serious scholarly disagree-
ment. At the one extreme, we might view administrative law as preoccupied with pre-
cisely the same concerns as constitutional law. At the other, we might see administrative
law as a way of avoiding basic constitutional questions altogether and channeling legal,
political and social conflict into a supposedly neutral domain of pragmatic management
and technocratic expertise. Or, we might see administrative and constitutional systems
as developing in tandem, as the evolution of administrative capacities calls forth new

1
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2  Comparative administrative law

c­ onstitutional concerns, or operationalizes them in novel ways. Many of the contributions


to this volume attempt to address such fundamental disputes: Are administrative and con-
stitutional orders merely two sides of the same coin, or are they independent variables that
­comparative study must treat separately? If administrative and constitutional norms are
distinct, in what ways do they conflict? How does this conflict vary across ­jurisdictions,
and why?
Related to but distinct from general constitutional principles is a more specific concern
with democracy in administrative law. Democratic norms arise in the administrative
context in three different senses: participation in the administrative process; the control
that democratically elected politicians and democratically enacted laws seek to impose
on administration; and the role of administrative governance in safeguarding the public
sphere. Participatory forms of administration, such as ‘notice-and-comment’ rulemak-
ing in the United States, aim to tap the knowledge and value commitments of affected
persons and groups in crafting administrative policies. The administrative guardianship
of the public sphere, such as through the regulation of urban space, may aim to pre-
serve certain communal settings for deliberation that make democratic politics possible.
Political control over administration, such as through at-will appointment of heads of
administrative departments, aims to bind bureaucratic decision-making to the preferences
of democratically elected principals.
Judicial review of administrative action can fortify (or undermine) each of these
democratic objectives. Judges can incentivize agencies to consult the public more fully,
bind administrative action to statutory norms, require intensive political supervision over
bureaucracies, or recognize public interests in the disposition of nominally private prop-
erty. Judicial doctrines concerning administrative discretion, reason-giving, and the review
of questions of ‘law’ versus ‘fact’ may influence the way states handle both institutional
and political friction. But judicial control can weaken democracy and the rule of law by
substituting the judges’ view for those of politically accountable or expert administrators.
Democratic and political values therefore raise a series of crucial questions for the
comparative study of administrative law: Is administrative law merely epiphenomenal to
politics, or are there important differences in the way administrative-law regimes respond
to, incorporate, dissipate, or perhaps ‘rationalize’ political pressures? What kinds of com-
plementarities and trade-offs are there between control by elected representatives, public
participation, and the bureaucratic superintendence of democratic society? How and why
do different jurisdictions incorporate and balance these various combinations of repre-
sentative politics, participation, and publicity? Do doctrines of judicial review account
for meaningful differences in how jurisdictions implement democratic choices, or are such
variations merely curiosities that conceal the fundamental commonalities in legal order?
The distinction between public and private is also essential to administrative law.
Common law jurisdictions long sought to downplay the distinction, claiming that the
same courts and legal principles should resolve both wholly private disputes and those
involving the state. Nevertheless, even in the common law world, debates over the proper
role and unique prerogatives of state actors are pervasive. Some scholars still assume
that one can compartmentalize regulatory activities and actors into either a public or a
private sphere. This may be analytically convenient, but it does not fit the increasingly
blurred boundary between state and society. As we have passed from an age of ascendant
neoliberalism and privatization to a period that has raised doubts about market-oriented

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Introduction  3

reforms, the line between public and private remains as contested as ever. The question
of public-private relationships arises acutely where administrative action intervenes into
a sphere that is protected by an individual right. In Europe, for example, courts regularly
apply the principle of proportionality—if a policy interferes with a right, then it must be
designed in the least restrictive way. As a result, courts have begun to impose standards
on government policymaking, at least when rights are at stake.
The relationship between the ‘private’ market and the state raises the related issue of
the role of economics and social science in administrative policymaking. Administrative
law deals frequently with questions of economic regulation, and often uses tools of eco-
nomic analysis to evaluate such policies. Is administrative law governed by a particular
conception of the economy and the state’s role in it? In a period where there is renewed
concern about economic inequality, unemployment, and the loss of national sovereignty
to international free trade blocs, what resources might administrative law regimes offer to
address these worries?
International and supranational legal developments are increasingly influencing
domestic regulatory and administrative bodies. The project in Global Administrative Law
centered at New York University (Kingsbury, Krisch, and Stewart 2005), focuses on the
administrative law of international organizations, such as the World Trade Organization.
Nevertheless, it often draws on domestic models of the administrative process for inspir­
ation. Our focus here is complementary. This collection emphasizes how the practices of
multi-national and regional bodies, especially the European Union, have both emerged
out of and affected the administrative process in established states. More than the Global
Administrative Law project, however, we emphasize the durable diversity of the structures
and normative commitments of domestic and supranational regimes.
This volume, like the first edition, attempts to capture the complexity of the field while
distilling certain key elements for comparative study. Part I begins by concentrating on
the relationship between administrative and constitutional law—uncertain, contested,
and essential. Part II focuses on a key aspect of governmental structure—administrative
independence with its manifold implications for separation of powers, democratic self-
government, and the boundary between law, politics, and policy. Next, Part III highlights
the tensions between impartial expertise and public accountability, especially when the
executive and independent agencies make general policies. Part IV discusses administra-
tive litigation and the role of the courts in reviewing both individual decisions and second-
ary norms (‘rules’ in US parlance). Part V considers how administrative law is shaping and
is being shaped by the changing boundaries of the state. Part V.A considers the shifting
boundary between the public and the private sectors, and Part V.B concentrates explicitly
on the European Union and its complex relationship with the Member States.

I. CONSTITUTIONAL STRUCTURE AND ADMINISTRATIVE


LAW

Constitutional structure and administrative law interact in important ways, shaping the
rights and duties of professional administrators, elected politicians, and judges. Assigning
activities exclusively to the constitutional or the administrative law category, however, is
a challenging and ultimately fruitless enterprise.

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4  Comparative administrative law

According to Bernardo Sordi (chapter 1), the emergence of administrative law


in Europe is a modern phenomenon that was tied to the increasing ‘specificity and
­subjectivity’ of public administrative power since the end of the eighteenth century.
Sordi’s fundamental claim is that ‘administrative power’ and ‘administrative law’ emerged
­contemporaneously—in other words, the new authority and its legal limitation arose
together. This conjunction arguably holds true outside of Europe as well.
Sordi stresses that old regime monarchies in Europe ruled through a corporatist system
of privileges and jurisdictions grounded in conceptions of right (notably ‘property’) that
we would today see as private. It was precisely the progressive extrication of ‘public’
authority from this corporatist old regime, as well as the development of a distinct corps
of public servants to pursue and defend these new public prerogatives, that marked the
emergence of administrative modernity in the Western world.
Over the course of the nineteenth century, administrative law began to emerge as a
means of setting legal limits on emergent administrative power. Owing to different insti-
tutional and conceptual starting points (most importantly, different understandings of
the relationship of state to society and of justice to administration), the results of this
process often differed. The substantive and procedural distinctions are now well known:
Rechtsstaat/Etat de droit enforced by specialized administrative judges, on the one hand;
and ‘rule of law’ enforced by the ordinary judiciary, on the other.
Which variables have driven the historical process of legal institutionalization in such
particular cases? We highlight three broad dimensions: functional, political and cultural.
Under the first, functional, dimension, changes in social and economic conditions put
pressure on existing institutional structures and legal categories. These pressures can then
generate struggles in the second, political, dimension, where interests compete over the
allocation of scarce institutional and legal advantages. In the third and final dimension—
the cultural—political and social actors mobilize competing conceptions of legitimacy to
justify or resist changes in institutions and in the law (Lindseth 2010; see also Lindseth
2017).
The functional tasks facing the modern state and public demands for transparency and
accountability pose a challenge to conventional constitutional thinking that stresses the
three-fold division of the state into legislative, executive and judicial. Bruce Ackerman
(chapter 2) argues that constitutional theorists need to go beyond Montesquieu’s tripar-
tite view of the separation of powers—a line of thinking with a deep historical pedigree
(see, e.g., Landis 1938). The substantive policy demands facing the modern state have
led to all kinds of institutional innovations, beginning with the creation of independent
regulatory agencies—for example, central banks and broadcasting commissions. The
need for oversight and control to accompany policymaking delegation has led to the
creation of monitoring organizations, such as supreme audit agencies, ombudsmen, and
judicial review.
Peter Strauss (chapter 3) highlights the important difference between parliamentary
governments and the US constitutional and administrative system, including, especially,
a US judiciary that is subject to considerable political pressures. This theme informs the
most recent edition of Strauss’ treatise on US administrative justice, which is intended
both for domestic and international audiences (Strauss 2016). Politics and ‘the rule of law’
are in considerable tension, even for normal issues of US domestic policy. Judicial review
is a constitutional requisite, but politics operates nonetheless. According to Strauss,

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Introduction  5

administrative law, not just in the US but elsewhere as well, represents ‘a continuing
contest between reason and unreason, and one must continuously work to make the influ-
ence of the former substantial.’
As Tom Ginsburg points out (chapter 4), even though public administration and the
bureaucracy receive little detailed treatment in the texts of most constitutions, they form
the backbone of state functioning. Most people are never accused of crimes or detained
for political activities that implicate constitutional rights. Rather, they much more often
deal with offices that grant licenses, allocate benefits, run schools and clinics, and collect
taxes. Good administration is central to the performance of these tasks. The common-
place nature of such activities should not mislead us into thinking that administration is
somehow less important than constitutional law from the standpoint of the public.
One way to approach the links between constitutional structure and administrative
law is through the lens of political economy, and more particularly through the work of
positive political theory (PPT). Unlike explicitly normative work in constitutional law and
political theory, PPT attempts to model state behavior in terms of the self-interest of the
actors involved. (For a collection of articles that apply the approach to administrative law
see Rose-Ackerman 2007.) Some PPT takes the basic structure of government as given—
for example, a presidential democracy that elects representatives through plurality rule
in single-member districts. Other work tries to explain the incentives for political actors
to create or to modify the constitutional structure of government. Elizabeth Magill and
Daniel Ortiz (chapter 5) take an intermediate position. They ask if PPT research on the
US administrative system can be applied elsewhere. PPT explains judicial review in the
US as a result of the legislature’s desire to check the executive and its inability to do this
effectively on its own. Thus, the legislature is the dominant actor that can assign tasks to
the courts. In a parliamentary system the same political coalition controls both branches,
and so legislators from the majority coalition would not want the courts to intervene to
oversee executive action. Court review of administrative action cannot lock in present
political choices because statutes are quite easy to change. They claim that PPT would
predict that parliamentary systems would provide for lower levels of judicial oversight of
the administration than presidential systems. They show, in contrast, that courts in the
UK, France and Germany are, in fact, quite active in reviewing administrative actions.
The courts themselves seem to be independent actors at least insofar as they assert
­jurisdiction and oversee the executive.
Andreas Voßkuhle and Thomas Wischmeyer (chapter 6) outline the challenge to trad­
itional German and continental administrative law traditions that comes from the Neue
Verwaltungsrechtswissenschaft (the ‘new administrative law scholarship’). Voßkuhle and
Wischmeyer are referring here to new perspectives on administrative law that respond
to changing political and social conditions, especially the privatization of state-owned
enterprises in network industries and the move from command-and-control regulation to
more collaborative forms of governance. They argue that traditional German administra-
tive law categories that emphasized hierarchy, primacy, and formality are inadequate to
oversee administration in a modern welfare state. Scholars revived interdisciplinary links
to the social sciences, and a new ‘regulation’ paradigm arose under which the state should
engage in ‘steering’ (Steuerung) the private sector, not controlling it outright. As the chap-
ters in Section V.B demonstrate, this shift in perspective was encouraged by the European
Union, especially in network industries. Although a debate continues within the field of

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6  Comparative administrative law

administrative law in Germany, contributors to the new administrative law scholarship


have pushed the field toward both a deeper concern with substantive policy, on the one
hand, and a sharper focus on administrative procedure, on the other.
Stepping back from recent reform efforts, Marco D’Alberti’s contribution (chapter 7)
explores the evolution of administrative law over the last 100 years in Italy, examined
from a comparative perspective. Similar to Voßkuhle and Wischmeyer but with a longer
historical sweep, D’Alberti stresses how changes in the underlying functions of the state
in the twentieth century influenced the development of administrative law. The rise
of industries with monopoly power and the privatization of formerly state-controlled
sectors produced a demand for the control of markets to which all developed states
responded, albeit in different ways. D’Alberti, moreover, discusses the way adminis-
trative law has sometimes served as a check on populist or democratic demands by
giving organized and powerful economic interest groups a way to challenge policy. He
highlights an ongoing tension in the political and historical analysis of administrative
law. Public law provisions that are justified as a check on overarching state power can
also be a means of entrenching existing private interests. Legal constraints may under
some conditions limit the ability of democratic governments to constrain concentrated,
monopolistic economic interests.
The section closes with Kriszta Kovács and Kim Lane Scheppele’s (chapter 8) reflec-
tions on the troubling recent developments in Hungary. These developments raise more
general concerns, showing how autocratic trends can develop even in a constitutional
system with nominally democratic forms. The dominant party has been able to make
constitutional and personnel changes that undermine institutional checks and balances.
The regime seems to follow its own rules, and in the process has moved the state in an
authoritarian direction. Their contribution also shows the crucial complementarity
between the protections of constitutional and administrative law. Although constitutional
norms are required to maintain free and democratic societies, the concrete procedures and
protections of administration may have more daily impact on citizens and the tenor of
their collective social life.

II. ADMINISTRATIVE INDEPENDENCE

Administrative independence is enthusiastically espoused by some and roundly con-


demned by others. One reason for the controversy is a lack of consensus over what
independence is and what it can accomplish. In the contributions in this section, inde-
pendence generally means that a public entity has some degree of separation from
day-to-day political pressures. Martin Shapiro (chapter 14) describes such agencies as
‘fall[ing] outside any cabinet department or ministry organization chart.’ This seems apt,
although many such agencies are still subject to some oversight from core government
departments or branches. Even in the US, with a history that goes back to the establish-
ment of the Interstate Commerce Commission in 1887, ‘independent agencies’ are not
completely independent. The President appoints commissioners with Senate approval,
and the chair serves in that capacity at the President’s pleasure. Most agencies operate
with appropriated budget funds, and none has constitutional status. Furthermore, the US
lacks independent oversight agencies except for the Government Accountability Office,

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Introduction  7

which reports to Congress. Nevertheless, staggered terms that exceed the terms of the
President and members of Congress, party balance requirements, and removal only for
cause all limit executive control compared with those agencies directly in the presidential
chain of command. Independent agencies are also subject to Congressional oversight,
which may be relatively stronger in this context simply because presidential oversight is
more attenuated.
Administrative independence is often defended as a way to assure that decisions are
made by neutral professionals with the time, technical knowledge, and practical experi-
ence to make competent, apolitical choices. The heart of the controversy over inde-
pendence, however, stems from the agencies’ disconnect from traditional democratic
accountability that flows from voters through elected politicians to the bureaucracy.
Attempts to legitimate such agencies in democratic terms often stress the importance
of processes that go beyond expertise to incorporate public opinion and social and eco-
nomic interests. The ideal is an expert agency that is independent of partisan politics but
sensitive to the concerns of ordinary citizens and civil society groups. The risk is capture
by narrow interests.
Daniel Halberstam (chapter 9) explores the question of agency legitimacy from a
broad constitutional perspective, arguing that in Germany, France, and the US the
turn to administrative agencies can be seen as an attempt to counterbalance perceived
structural pathologies of the general branches of government. In contrast to France and
the US, where administrative agencies partly reflect a desired move away from ordinary
politics to better protect the public interest, in Germany certain aspects of federalism,
judicial review, and parliamentary government have supported the continued belief in
the ­capacity of the general branches of government to define and pursue rational policy
respecting constitutional demands. Halberstam thus finds that, outside certain narrow,
functionally specific domains, ‘there are few calls for independent administrative agencies
in Germany to serve as a sober counterpoint to raw politics.’
Lorne Sossin (chapter 10) considers administrative independence in common-law
parliamentary jurisdictions. In such systems, there is an inherent tension between the
government that is organized by the political faction controlling the legislative branch,
and ‘the Crown,’ which is supposed to be impartial in dealing with public policy matters.
Sossin focuses on what he calls ‘hybrid settings where the political realities of partisanship
and the legal structures of autonomy from partisan considerations create . . . a “puzzle”
of independence.’ Canada, he argues, is a particularly vexed case because of controver-
sies over the political control of appointments and other dimensions of administrative
independence. In contrast, other Commonwealth polities (the UK, Australia and New
Zealand) have, in his view, given independent agencies a clearer and more well-articulated
position in their governmental structures.
In the US, independent regulatory commissions attempt to address democratic con-
cerns by building in partisan balance. Instead of requiring technocratic expertise or
professional credentials for the commissions’ leadership, most agency statutes set up a
multi-member governing board and require that no more than a majority can be from
a single party. As with the US judiciary, the appointment process is highly political. But
with fixed, staggered terms and party balance, agencies can, in principle, respond to
changing conditions as their membership changes gradually over time. This feature of
US commissions, as Martin Shapiro demonstrates (chapter 14, see also Majone 2001),

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Another random document with
no related content on Scribd:
nourishing food and the avoidance of all debilitating morbid
conditions would indicate the principles of therapeutic management.
HYPERÆMIA—CONGESTION OF THE
SPLEEN.
Four hours after full meal in splenic diastole. In well fed, high conditioned. From
obstruction of splenic or portal vein or vena cava, heart, liver, or pulmonary
disease, inhibition from encephalon acting through splanchnics or vagi, microbes,
ptomaines, toxins, paresis, albuminoid diet. Spleen may be seven times its normal
weight. Lesions: simple blood engorgement: proliferation of pulp cells: increased
friability; rupture; dark color; hyperplasia of trabeculæ—hypertrophy. Symptoms:
none; or colic; palpation in ruminants; tenderness. Treatment: directed against the
causative disease; quinine, cinchonine, eucalyptus, ergot, cold douche, electricity,
puncture.
Considerable hyperæmia of this organ takes place physiologically
in connection with active digestion in the first four or five hours after
an abundant meal, and especially at intervals of a minute, during
what may be called the diastole of the viscus. The supply of blood is
also much greater in the well fed animal, than in the emaciated and
impoverished one.
Pathological hyperæmias of a passive kind may occur as the result
of obstructions in the veins leading from the spleen, such as the
splenic veins, the posterior vena cava, or that part of the portal vein
comprised between its junction with the splenic and the liver.
Diseases of the right heart or its valves, of the lungs (emphysema), or
of the liver which hinder the onward flow of blood and increase the
blood tension in the vena cava or portal vein have a similar action.
Perhaps we should include inhibition of the nerves (splanchnic, vagi)
and nerve centres (medulla oblongata, cerebral cortex) which preside
over the contraction of the splenic vascular walls, and of the capsular
and trabecular muscles. There is reason to believe that the ptomaines
and toxins of several microbian diseases, operate through these
centres, while other such microbes and toxins operate directly on the
spleen itself.
Active congestions of the spleen are most commonly associated
with microbian diseases and may be attributed partly as above stated
to the action of the toxic products on the contraction nerve centres,
and on the splenic vessels and parenchyma, but also in no small
degree on the active proliferation of the germs themselves in the
splenic pulp, and of the splenic cells. Among the most notable
instances of this kind are, in man, malarious, yellow and typhoid
fevers, and, in animals, anthrax, and Southern cattle fever. In most
febrile diseases, however, there is a tendency in this direction, which
may be fairly attributed to the paresis of the organ and the delay of
the blood in its pulp channels and spaces with the consequent local
increase of microbes and toxins. The microörganisms can usually be
found abundantly in such cases, in the liquid of the pulp, and in the
interior of the leucocytes and other cells that go to make up its solid
constituents.
It has been long recognized by veterinarians that acute congestion
often arises in connection with a sudden transition from a poor or
insufficient diet to an abundant and nutritious one and especially to
one that is rich in albuminoids (beans, peas, vetches, lucerne,
sainfoin, clover, trefoil, in the fresh or preserved condition). If these
are not in themselves the direct causes of acute and fatal
engorgements of the spleen, they at least contribute in no small
degree to the overdistension of the pulp spaces, the paresis of the
organ and its successful invasion by pathogenic microbes.
The acute congestion attendant on specific microbian infection
may be estimated by the increase in weight of the spleen. In the
Southern Cattle fever this organ, which is normally 1.45 ℔., is
habitually 2 to 5 ℔s., and may reach 8 or 10 ℔s. and in anthrax an
equal increase may be noted.
Lesions. In such cases the organ may appear as if there were a
simple blood engorgement, and this is largely the case in the early
stages, but with the persistence of the disease there occurs an active
proliferation of the splenic cells and especially those of the pulp.
With the hyperæmia the consistency of the organ is diminished, and
still more so with the cell hyperplasia, so much so that in extreme
cases rupture may ensue. The color is always darker (purple or blue),
but this is only in part due to the abundance of blood and in part to
the thinness of the splenic capsule. If the condition persists a
hyperplasia of the capsule and trabeculæ ensues, and the condition
becomes essentially one of hypertrophy.
Symptoms. In the slighter congestions there are no appreciable
symptoms. In the more severe there may be more or less violent
colic, but this is usually marked to some extent by the profound
depression attendant on the specific fever which is the cause of the
congestion. Palpation of the spleen is impossible in the horse. In
ruminants it may sometimes be felt along the upper border of the
rumen just behind the last rib on the left side. It is soft and yielding
retaining the indentation of the finger. If manipulation produces
signs of pain it is all the more significant.
Treatment. As a rule this is the treatment of the fever which
determines the hyperæmia. Apart from this, laxatives, quinia other
alkaloids of cinchona bark, eucalyptus, a current of cold water
directed to the region of the spleen, or induction currents of
electricity to the same region are also decided stimulants to
contraction. Ergot has been used with alleged advantage. In cattle
acupuncture of the spleen has been put in practice in anthrax.
CHRONIC CONGESTION OF THE SPLEEN.
HYPERTROPHY.

Hypertrophy from chronic congestion, over feeding, hepatic cirrhosis. In horse:


from mechanical obstruction in heart, lungs, posterior cava, splenic veins,
angioma, from glanders or tubercle in lungs, chronic splenic congestion, disease of
splenic plexus. Lesions: increase enormous; mainly of pulp, or largely of fibrous
framework. Special neoplasms. Symptoms: excess of leucocytes in blood,
eosinophile cells, weakness, anæmia, emaciation, bleeding from mucosæ,
stretching, right hypochondriac tenderness, stiff gait, ascites, colic, disorder of the
bowels, rectal exploration. Treatment: is that of primary disease; not encouraging;
quiniae, eucalyptus, saline laxatives, open air, sunshine, electricity. In cattle is
habitually enlarged in Texas fever area. In lymphadenoma increase mainly of
fibrous framework and Paccinian bodies, and of adjacent lymph glands.
Symptoms: leukæmia, employ palpation, percussion, rectal exploration. Treatment
as in the horse. In swine: from high feeding, leukæmia, lymphadenoma,
tuberculosis, neoplasms, liver, heart and lung disease. Lesions: great increase of
Paccinian bodies, fibrous capsule and trabeculæ. In dog: from traumas, leukæmia
and lymphadenoma. Enlarged Paccinian bodies and adjacent lymph glands.
Symptoms: leukæmia, many eosinophile cells, abdominal enlargement, palpation,
icterus. Treatment: as for large animals.

A continuation of passive congestion from the causes enumerated


above, leads to permanent increase of the fibrous reticulum and
connective tissue and increase of the splenic pulp. Even the stimulus
of a rich and abundant alimentation increases the size of the whole
organ, the amount of pulp and the number and development of the
Paccinian bodies. Apart from disease the spleens of well fed cattle or
horses are always decidedly heavier than those of the starved or
debilitated. Of mechanical causes the most potent is cirrhosis of the
liver or some other obstacle to the free passage of blood through that
organ. The most common causes are, however, the continuous
operation of those specific poisons which determine the acute
hyperæmias.
SPLENIC HYPERTROPHY IN HORSES.
Causes. It occurs as the result of mechanical obstruction of the
posterior vena cava as noticed by Varnell, from obstruction in the
splenic artery or veins by Ellenberger and Schütz, as the result of an
angioma by Martin, as the result of the morbid hyperplasias in
specific diseases—glanders, tuberculosis—taking place in the spleen
or lungs and thus directly or indirectly causing chronic congestion of
the spleen (Morot, Leisering, Nocard, Varnell) and again as the result
of innervation, in disease of the splenic plexus of nerves (Varnell).
Lesions. The increase in size may be enormous (42 lbs. (Bouret
and Druille), 92 lbs. (Cunningham), and over 100 lbs. (Girard)). The
consistency is varied. There may be such a redundancy of blood and
splenic pulp that the capsule is distended to its utmost or even
ruptured (Peuch). In other cases the splenic veins have given way
and the blood has poured out into the abdomen with fatal result
(Crafts, Cunningham, Reis). In other cases the spleen is enlarged,
unevenly swollen and indurated by the formation of angioma
(Jacob), lymphadenoma, glander or tuberculous nodules. In still
others the capsule and fibrous framework are greatly thickened and
the substance of the organ has assumed the consistency of the
hepatized lung (Rodet).
Symptoms. These are suggestive rather than diagnostic. Most
prominent is the condition of the blood with excess of leucocytes and
especially of the eosinophile cells. Weakness, emaciation, feebleness
of pulse, bloodlessness, bleeding from the nose or other natural
passages, are attendant symptoms. In cases of extreme hypertrophy
distension of the abdomen is marked and even the enlarged spleen
may be made out by palpation, there may be special tenderness and
dullness on percussion. Even partial sweats over the region of the
spleen (Cadeac), and stretching with the fore feet far in advance
(Welsby) have been noted as symptoms. In such conditions the
animal walks stiffly, groans in turning, or when suddenly started and
is with difficulty urged beyond a walk. There may be ascites, signs of
colic, or irregularity of the bowels. Rectal exploration may reveal the
hypertrophy.
Treatment is usually the treatment of the primary disease. In
glanders, tuberculosis, lymphadenoma, or leucocythemia there is
little to hope for. Nor is there much in hepatic cirrhosis, obstruction
of the vena cava or valvular disease of the heart. In simple
hypertrophy we may resort to quinia or other bitters, eucalyptus,
saline laxatives, exercise in the open air and sunshine, and local
currents of electricity.
SPLENIC HYPERTROPHY IN RUMINANTS.
A moderate hypertrophy is the rule in the case of cattle which have
passed through the Southern cattle fever, but have continued to live
within the area of its prevalence. Gamgee’s observations in 1868
were very conclusive on this point. In over 1,000 western cattle the
average weight of the spleen was 1.45 ℔., in 441 Cherokee (Indian
Territory) cattle the average was 2.34 ℔s., and in 262 Texas cattle
the average was 2.66 ℔s. All these animals were killed for beef, in
what was considered to be perfect health. The difference relative to
the weight of the entire animal is even greater than is indicated
above, for at that date even more than at present, the Texas steer was
a small and thin animal in comparison with the portly western
bullock.
In lymphadenoma the organ may weigh 24 ℔s. (Tannenhauser);
in simple hypertrophy it has been found to weigh 37 ℔s. (Koch).
There was usually a marked increase in the size and number of the
Paccinian bodies, and hyperplasia of the fibrous reticulum, while the
pulp might be deficient and the cut surface rather dry. The adjacent
lymph glands are usually enlarged.
Symptoms. Unless in the case of excessive increase, no symptom is
usually observable, apart from leucocythæmia. With enormous
hypertrophy the enlarged organ may be recognized by palpation,
percussion, and perhaps rectal exploration.
Treatment is unsatisfactory apart from the control and arrest of
the primary diseases. For simple hypertrophy, bitters, laxatives and
electricity may be tried.
SPLENIC HYPERTROPHY IN SWINE.

Causes. This disease appears to be rather frequent in pigs, in


connection with high feeding, and more particularly with
leucocythæmia and lymphadenoma. It is further a complication of
tuberculosis and of neoplasms located in the spleen, and of hepatic,
cardiac and pulmonary disorder.
Lesions. In leucocythæmia there is general enlargement of the
spleen, and especially of the Paccinian bodies which may attain the
size of a pea (Leisering, Fürstenberg, Bollinger, Siedamgrotzky, Röll,
Ellinger). The total weight of the organ may attain to 5 lbs.
(Mathieu), or 13 lbs. (Goubaux). In a remarkable case recorded by
Zell, the organ measured 30 inches in its longest circumference and
20 inches in its shortest. It had an enormous thickening of the
capsule and trabeculæ which enclosed softened contents in a state of
fatty degeneration.
Symptoms are wanting, as most of the observed cases were only
discovered after the animal had been killed for pork.
SPLENIC HYPERTROPHY IN THE DOG.
This condition has been less frequently seen in dogs, the
recognizable causes having been traumatism (Notz), and
leucocythæmia (Zahn, Forestier, La Forgue, Nocard).
Lymphadenoma is another complication (Nocard, Leblanc,
Siedamgrotzky, Bruckmüller). The spleen has been found to weigh 2
lbs., (Bollinger, Siedamgrotzky). As in other animals the enlargement
of the Paccinian bodies has been a marked feature. In other cases the
splenic lymph glands are enlarged.
The symptoms are obscure as in other animals. Yet the presence of
white cell blood, with a predominance of eosinophile cells,
enlargement of the abdomen, and the detection of a large solid body
in the left hypochondrium which proves tender to the touch may
prove more satisfactory than in other animals. In certain cases it has
obstructed the biliary duct by pressure and entailed hepatic disorder
and jaundice.
The treatment would not differ from that of the larger animals.
Siedamgrotzky has also observed splenic hypertrophy in the cat in
connection with leucocythæmia.
SPLENITIS. PERISPLENITIS.
Causes: extension from adjacent inflammations, penetrating bodies, contusions,
lacerations, infections, over exertion, cold, damp, over feeding. Symptoms: those of
primary disease, visible traumas, chill, fever, swelling, flatness of percussion
sound, absence of crepitation, anorexia, vomiting, constipation, diarrhœa.
Prognosis usually good. Treatment: castor oil, enemata, cold douche, electricity,
phlebotomy, in infective cases quinine, salol, salicylates, iodides.
No accurate border line can be drawn between splenic hyperæmia
and hypertrophy on the one hand and inflammation of the spleen on
the other. It is, however, not difficult to assign to inflammatory
action all cases that tend to suppuration and abscess. Also in
perisplenitis with adhesions to adjacent parts like the liver, stomach,
intestine, kidney or abdominal wall inflammation cannot be
doubted.
Causes. Extension from the disease of adjacent parts—
perihepatitis, perinephritis, peritonitis, enteritis—is a distinctly
appreciable cause, as are also penetration of the spleen by foreign
bodies, contusions, lacerations and infections of the organ. Cruzel,
who claims an extensive acquaintance with the disease in working
oxen, attributes many cases to violent exertions, overdriving, cold
and damp weather, and an overstimulating alimentation. As
inflammation may supervene on hyperæmia and hypertrophy we
must accept the various causes of these conditions as factors in
producing inflammation.
Symptoms. Most observations of inflammation of the spleen and
its results have been made only post mortem, so that we must allow
that the simple forms occur and undergo resolution without obvious
symptoms. In the perisplenitis supervening on another disease also
in infective cases there will be the antecedent symptoms of such
primary diseases. In those resulting from traumatic injury, bruises,
swellings or wounds, cutaneous or subcutaneous, there will often be
suggestive features. In the more purely idiopathic cases symptoms
are only shown when the lesions are extensive and acute. In oxen,
Cruzel has noted the initial chill, followed by disturbance of the
respiration, more or less hyperthermia, and a swelling of the left
flank and hypochondrium in the absence of tympany of the rumen.
The nature of this swelling is the most characteristic feature, as it
gives a flat instead of a drumlike sound on percussion, and does not
bulge outward and downward over the whole left side of the
abdomen, pit on pressure, nor crepitate uniformly all over from
fermentation, as in overloading of the stomach.
If abscess should form, chills and high febrile reaction are marked
symptoms. In vomiting animals, anorexia, nausea, vomiting,
constipation, and even diarrhœa may appear.
Prognosis. Unless in extreme cases and those due to traumatism
or infection, the result of splenitis is usually favorable.
Treatment would consist in depletion from the portal system and
spleen by rectal injections, and laxatives which like castor oil, will
operate without extensive absorption. Cold water or ice applied to
the left flank and induction currents of electricity may also be
resorted to. General blood-letting is strongly advised by Cruzel, and
Friedberger and Fröhner. In infective cases quinia, salicylates, salol,
and the sulphites, or iodides would be indicated.
HÆMORRHAGIC INFARCTION OF THE
SPLEEN.
In congestive conditions. Absence of free capillary anastomosis and contraction,
absence of valves in splenic veins. Embolism of splenic artery. Clots in pulp spaces.
Wedge shaped infarcts, first black, later yellow, later caseated, or cicatrized.
Abscess. Prognosis good in non-infective forms. Treatment as for hyperæmia, or
infection, or both.
This condition appears in hyperæmia, hypertrophy, splenitis, and
splenic infection and largely because the structure and circulation in
the organ conduce to such trouble. The splenic arteries terminate in
open vascular spaces filled with splenic pulp and where all trace of a
freely anastomosing capillary network is lost. The splenic veins in the
same manner originate from these open vascular spaces. There is,
therefore, an absence of the free communication of capillary
network, which virtually acts as a safety valve in other vascular
tissues, and the vascular cavities connected with each terminal artery
are independent of those belonging to another, and find no way of
ready relief when they become over distended, or when there occurs
obstruction (thrombosis) of their afferent or efferent vessels. From
blocking of arteries or veins there is at once produced a wedge
shaped area of stagnation which cannot be relieved through any
collateral circulation. Again the splenic veins, being destitute of
valves, offer no obstacle to the reflux of blood into such vascular
spaces whenever the further access of blood has been arrested by the
blocking of the artery. The blocking may occur in the afferent artery
through embolism by clots carried from the lungs or left heart, or
formed within the vessel by the colonization of microbes on its walls.
Even more likely is the formation of coagula in the vascular spaces
themselves as the result of the introduction of pus, or septicæmic
microbes, which are long detained and have ample time for
multiplication in these cavities. In either case the result is
obstruction to the sanguineous current, the filtering of blood
backward from the veins and the engorgement of the cavity with
blood. The plugs consist of fibrinous matter enclosing colonies of
micrococci, and the result is not only black infarction of the spleen,
but a subsequent general infection of the system at large.
The wedgeshaped infarcts are usually situated at the surface of the
organ, the base turned outward and forming a dark projection on the
surface, and the apex turned inward. The aggregation of two or three
in one group may considerably alter the outline. If recent they are of
a dark red color. Later from absorption of the coloring matter and
fatty degeneration of the mass they assume a pale yellow hue and the
swelling flattens or disappears. Later still through complete fatty
degeneration they may be transformed into caseated masses, or
through organization into fibrous tissue they may form thick white
cicatrices. If pus cocci are present suppuration and abscess may be
the outcome.
The simpler forms recover like cases of simple hyperæmia while
the severe infecting forms may become the point of departure for the
formation of multiple abscesses in other organs, and of more or less
fatal general infections.
These conditions can only be discovered post mortem, and any
symptoms directing attention to the spleen could only suggest such
treatment as would be indicated in hyperæmia. Any purulent or
septic disease which might coexist would of course serve to indicate a
germicide line of treatment.
ABSCESS OF THE SPLEEN.
In Solipeds: in infectious diseases, pyæmia, embolism. Symptoms: of primary
disease or ill health. Involving other organs. In cattle: foreign bodies from
reticulum, distomata, embolism, microbes. Enlargement: involving other organs:
seen in left hypochondrium, fever, albuminuria. Treatment: aspiration, antiseptic
injections, internal antiseptics.
Soliped. Abscess of the spleen in this animal is unusual and has
only been discovered post mortem. It has been found as the result of
the local colonization of pyogenic microbes, in connection with
strangles, contagious pneumonia and other infectious diseases and
can then often be traced to an infected embolus in the splenic blood
vessels. The peculiar vascular structure of the spleen is very
conducive to abscess as it is to infarction, as has been already noticed
and hence this complication of a pre-existing infection in another
part is a natural pathological sequence. Symptoms are rather the
general ones of a rigor followed by hyperthermia than any diagnostic
ones of splenic disease. Bourges found a splenic abscess in a
cachectic, melanic mule but no definite splenic symptom was
observed even on rectal examination. Nottel found an abscess as
large as an infant’s head, in the base of the spleen, closely adherent
by its sac to the left kidney and containing a floating mass of splenic
tissue as large as the closed fist. Rutherford found a neoplasm
connecting the great curvature of the stomach, to the diaphragm, and
hollowed out into a series of pus cavities. Fetzner and Cadeac report
cases of extensive abscesses in the head of the spleen and intimately
connected to both stomach and diaphragm. Hahn found abscesses in
connection with the penetration of the spleen by foreign bodies. In
other cases the substance of the spleen was studded with abscesses
varying in size from a pea upward and containing necrotic tissue or
adjoining such dead tissue.
Ruminants. In cattle the penetration of the spleen by sharp
pointed bodies coming from the reticulum appears to be the most
common cause of abscess. Other cases depend on the penetration of
distomata carrying the pyogenic microbes, and still others are due, as
in the horse, to local infection with embolism. External traumatisms
are unusual causes. There is usually considerable enlargement of the
spleen as a whole, rounded swellings indicating the seat of the
abscess, and adhesions to surrounding parts, such as the rumen, the
left kidney or the diaphragm. When the abscess is chronic, there is
emaciation, unusual flatness on percussion of the left
hypochondrium, and, at times, of the flank, swelling and tenderness
of the flank, above all, according to Imminger, a persistent elevation
of temperature (104° to 106° F.), which is not lowered by
antithermics, and albuminuria. In cattle it is sometimes possible to
diagnose the disease, and if the abscess can be definitely located,
aspiration and antiseptic injections into the sac would be indicated,
conjoined with calcium sulphide, or sodium sulphite internally.
FOREIGN BODIES IN THE SPLEEN.
In horse: body from intestine. In ruminants bodies from reticulum. Laparotomy.
One such case in the Horse is reported by Hahn. A mare had loss
of appetite, slight colics, frequent efforts to urinate, dullness,
prostration, profuse perspirations, and tremors of the muscular walls
of the abdomen. Rectal examination detected a staff-shaped body
extended from behind forward in the direction of the stomach. The
mare survived twenty days, when it was carried off by a more violent
access of colic. At the necropsy, the spleen was found to measure 28
inches by 8; its base was adherent to a loop of intestine, and
presented a large cavity filled with a grayish brown fœtid liquid, and
a piece of oak measuring 17 inches by ½ inch.
Ruminants. In cattle and especially in those that are stabled,
needles, pins, nails, wires and other sharp pointed bodies, that have
been swallowed with the food, and have become entangled in the
reticulated walls of the second stomach, have been found to
penetrate the spleen and determine local abscess and fistulæ. The
offending body in such cases is found in the interior of the abscess or
in its walls. If such cases can be diagnosed the superficial position of
the spleen would seem to warrant surgical interference for the
removal of the foreign body.
RUPTURE OF THE SPLEEN.
Solipeds: Causes: Blows, kicks, goring, leukæmia, compression of splenic or
gastric veins, anthrax infection. Lesions: Blood may escape into peritoneum or
remain confined under serosa. Splenic degeneration or pulpy condition. Fractured
ribs, ecchymosis, surface swellings. Spontaneous arrest. Symptoms: Of internal
hemorrhage. Vomiting. Trembling. Vertigo. Coma. Treatment: Rest, quiet, locally
ice, snow, cold, internally iron chloride, matico, astringents, anodynes. Cattle:
Blows, crowding, leukæmia, youth, anthrax, Texas fever, microbes. Symptoms:
Persistent lying down, advancing bloodlessness, surface coldness, stiffness, local
tenderness, fluctuation. Treatment as in horse.
Horse. This is not a frequent lesion in solipeds, yet the number of
cicatrices of the spleen which are found post mortem in old horses
would indicate a considerable number of slight and non-fatal cases.
The most common cause appears to be external violence and
especially kicks or blows with horns on the left hypochondriac
region. Horses running at large in pastures, or in yards, or standing
side by side in short stalls or tied with too long halters are the usual
victims. Cadeac refers to cases reported by Tausch, Millot, Berndt,
Humbert and Pont, and one case occurring in a three year old colt
came under the notice of the author. The subject stood in a stall to
the right of an irritable mare, and though the kick left no noticeable
skin lesion the colt died in three hours with symptoms of internal
hemorrhage. At the necropsy a laceration of the spleen of about five
inches long was disclosed, and a large quantity of blood had
accumulated in the peritoneum.
Brandis mentions a case consequent on a violent fall on the left
hypochondrium.
In other cases pre-existing disease of the spleen or its blood-
vessels have proved active factors. In the friable degenerated spleen
of leucocythæmia multiple small lacerations have been found (Peuch,
Laulanie); in engorgement of the spleen consequent on thrombosis
of the splenic vein (Wiart); in chronic indigestion with habitually
loaded stomach compressing the gastric and hepatic arteries and
determining a reflux of blood through the cæliac axis into the spleen
(Mongin).
Finally, though less frequently than in the ox, the engorgement of
the spleen with blood in cases of anthrax may be a cause of rupture.
Lesions. The rupture may be on any part of the spleen and it may
be complete or incomplete; in the latter event the capsule may have
ruptured while the more elastic peritoneal covering has remained
intact enclosing a coagulum of variable size bulging above the level of
the spleen. When the peritoneal coat has given way, its laceration is
usually smaller than that in the spleen and its proper envelope. Any
degeneration of the spleen will affect the appearance of the lesion. In
one case caused by external violence the adjacent portions of the
spleen were reduced to a soft pulp. In such a case there is a slow but
continuous flow of blood in a small stream which may, however,
prove fatal (Humbert and Pont).
Again in cases caused by external violence there may be fractures
of the ribs, ecchymosis, local swellings or even wounds of the skin,
but all these may be absent. The blood effused into the peritoneum is
usually clotted. If the effusion has taken place slowly it is more or
less coagulated around the edges of the wound or even in its depth
and in this way the hemorrhage may be arrested. When the
peritoneum is still intact the pressure of the clot beneath it has
served to arrest the flow. In such cases the clot may be in part
liquefied and absorbed and in part organized into fibrous tissue,
constituting the cicatrices of the spleen found in old horses.
Symptoms appear to have been varied. Colicy pains are generally
noted. Tausch has observed vomiting, Millot vertigo, and Wiart coma
and trembling. In the author’s case the animal was found down,
unable to rise, almost unconscious, pulseless, with great pallor of the
visible mucous membranes, dilated pupils, and cold extremities. A
diagnosis was made of internal hemorrhage, but its actual seat was
only revealed post mortem.
Treatment. The early mortality usually forbids treatment. When
opportunity is furnished keep the animal absolutely still and quiet,
apply snow, ice or other refrigerant to the left hypochondrium, give
internally tincture of muriate of iron, matico, or other astringent,
and relieve any severe suffering by anodynes (hyoscyamus,
belladonna, opium). External wounds may be treated antiseptically.
Cattle. The causes of laceration and hemorrhage of the spleen are
similar to those acting in the horse. Blows with the horns on the left

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