The Potential Impact of Social Sciences

on Administrative Law

While others ask: Does law matter? I will be concerned with a different
question: Does reality matter? And: Does social research matter in the field
of law?
Law is characterised by the normative, i. e. the orientation towards what is
legally desired and due, which in general has to be concretised more precisely by special institutions. These must be legitimised by the law, i. e. the
legislature and those institutions applying the law, such as the public administration and the courts. The legally normative has to be distinguished from
the socially normative, which is enshrined in morals, customs, and social
expectations. Nevertheless, both are related to each other: legal normativity
is best respected - and thus attains acceptance most easily -, if it goes hand
in hand with the socially normative. At the same time, legal norms and
social-normative
values interact.
In order to accomplish its goals the normative has to react to reality, i. e. to
the respective social, political, economic, cultural, technological,
ecological
etc. reality and the interests and conflicts to be found within it. Legal norms
consider certain segments of this reality, offering themselves as orientation for
the solution of problems arising there. I call this extract of the reality which is
related to the norm and co-created by it the area of reality of the norm
(Realbereich).'
Without its knowledge and its treatment in legal academia
and legal practice law would remain a theoretical construction - a game of
glass beads in the ivory tower (Glasperlenspiel
im Elfenbeinturm).
Legal
doctrines which intend to have an impact on behaviour of state authorities,
companies, individual citizens etc. must find their access to this reality.
Social reality is not an object to be found just like India only had to be
discovered by Columbus - which is easily found, if the route is known. On
the contrary, there is a need for a consensus of those who deal with the law,
about what they would officially define as reality, in which they would see
In the methodology by Friedrich Muller/Ralph Christensen, ]uristische Methodik,
Vol. I, Grundlagen, Offentliches Recht, (Berlin: Duncker & Humblot, 9th edition
2004), it is called "Normbereich".

problems to be solved by application of the law. In this sense, the "area of

reality of the norm" is - as well as the legally normative as a whole - a
construction
of the scientific community of legal scholars as well as of legal
practitioners. To look at norms and norm applications from this perspective
refers to the viewpoint of constructivism.2
A constructivist
theory is feasible
for legal research as well as for the application of the law in individual cases.3
The constructivist
paradigm is on a par with the level of scientific research
in many areas of science. It takes into account the widespread awareness of
the loss of indisputable certainties,4 the modem self-consciousness
of the
abiliry to create conditions of living, but also the experience of the ever
faster building up and decline of knowledge. It allows curiosity towards the
new and also openness to surprises, i. e. deviation from what is expected, and
thus readiness to take new perspectives and to consider new types of measures.s
Essential elements of this process of construction
are the interests involved together with a blueprint of the problems at stake, and of a specific
attitude towards solving these problems. In this process of the construction of
reality value-related (prescriptive) and empirical (descriptive) data are to be
utilised; this process aims in particular towards the concretization
of the
On constructivism cf e. g. Paul Watzlawick, Wie wirklich ist die Wirklichkeit? Wahn,
Tauschung, Verstehen, (Munchen (et al.): Piper, 27th edition 2001); id., Die erfundene Wirklichkeit (MUnchen (et al.): Piper, 1981); Siegfried]. Schmidt (ed.), Der
Diskurs des radikalen Konstruktivismus, Vol. 2: Kognition und Gesellschaft, (Frankfurt
am Main: Suhrkamp 1992); lost Halfmann, ,Reflexiver und evasiver Konstruktivismus und die Natur', (2001) 39 Sociologia lntemationalis i19; Niklas Luhmann,
Die Wissenschaft der GeseUschaft, (Frankfurt am Main: Suhrkamp 1990); Bernhard
Porksen, Abschied vom Absoluten. Gesprache zum Konstruktivismus, (Heidelberg:
Carl-Auer-Systeme 2001); on the application in the field of law cf Arno Scherzberg, Die Offentlichkeit der Verwaltung, (Baden-Baden: Nomos 2000), 28 et seq.
Cf Thomas Vesting, ,Nachbarwissenschaftlich informierte und reflektierte Verwaltungsrechtswissenschaft - "Verkehrsregeln" und "Verkehrsstrome''', in: Eberhard Schmidt-ABmann and Wolfgang Hoffmann-Riem (ed.), Methoden der Verwaltungsrechtswissenschaft, (Baden-Baden: Nomos Verlagsgesellschaft 2004), 253
at 266 et seq.
In critical rationalism, fundamentally e. g. Karl Raimund Popper, Logik der Forschung, (TUbingen: Mohr Siebeck, 1st edition 1934); Hans Albert, Trakrat tiber
kritische Vernunft, (TUbingen: Mohr Siebeck, 1st edition 1968), this is expressed by
the assumption that empirical information is generally tentative, thus falsifiable
(and therefore reformable).
Cf also Reinhold Zippelius, ]uristische Methodenlehre, (Munchen: Beck, 9th edition
2005), Y: The development of law occurs through experimental thinking, in
which just and functional solutions to problems of human coexistence are sought,
which then are constantly tested and improved.

normative programme, towards defining the factual problem to be solved by

identifying legally relevant facts. The aim is a decision making process and a
result which is linked to the specific problem.

The content (the meaning) of the law and its concrete application are by no
means absolute and unchangeable. The actual meaning has to be construed
in order to be applied. Law has an impact on the kind of solution of concrete
problems within a specific time frame. It affects the distrib tion 0 0RI2 tunities and-Rower in societ . Not surprisingly, there has been and still is a
~dispute about what the "right" law is, about suitable methods of determining
and applying the law and about the definition of the quality of legal doctrine
as well as the quality of decisions. Such controversies can be observed in
many ways in legal history.
In Germany, the dispute in the Weimar Republic, after the First World
War, has become famous and known as the dispute on. methodology
(Methodenstreit).6 The dispute concerned mainly the juristic method (juristische
Methode) developed in the 19th century.7 This method was developed in the
course of the creation of the constituti nal t e founded on the rule of law,
following the "positive doctrine" in law, especially in civil law. It is especially
linked to th~ames
of Gerb;r, Laband and Otto Mayer and had a particular
impact in the field of constitutional
and administrative
law. During the
Weimar period this method concerning the law and the application of law
- protagonists of which were inter alia Anschutz and Thoma8 - was ques-

--

Cf Manfred Friedrich, ,Der Methoden- und Richtungsstreit: Zut Grundlagendiskussion der Weimarer Staatsrechtslehre', (1977) 102 Archiv des offentlichen Rechts
161.; Renate Graner, Die Staatsrechtslehre in der politischen Auseinandersetzung der
Weimarer Republik, (Freiburg (Breisgau): Hochschulverlag 1980); Max Emanuel
Geis, ,Der Methoden- und Richtungsstreit in der Weimarer Staatslehre', (1989)
29 ]uristische Schulung 91; Werner Heun, ,Der staatsrechtliche Positivismus in der
Weimarer Republik', (1989) 28 Der Staat 377; Michael Stolleis, Geschichte des
offentlichen Rechts in Deutschland, Vol. III: Staats- und Verwaltungswissenschaft in
Republik und Diktatur: 1914-1945, (Munchen: Beck 1999), 154 et seq.
On the juristic method ef Stolleis (n6 above), 330 et seq., 403 et seq.; Wolfgang
Meyer-Hesemann, Methodenwandel in der Verwaltungsrechtswissenschaft, (Heidelberg: Muller 1981); Helge Wendenburg, Die Debatte urn die Verfassungsgerichtsbarkeit und der Methodenstreit der Staatsrechtslehre in der Weimarer Republik, (Gattingen: Schwartz 1984); Alfons Hueber/Otto Mayer. Die "juristische Methode" irn
Verwaltungsrecht, (Berlin: Duncker & Humblot 1982).
Cf Gerhard Anschutz and Richard Thoma (ed.), Handbuch des deutschen Staatsrechts, Vol. 2 (Tubingen: Mohr 1930), 32.

tioned and considered to be an inappropriate

(and also ideological) reduction of dealing with law by others, namely Triepel, Kaufmann, Smend and

Heller.

There was also a vigorous dispute on methodology in Germany following

the student movement
in the 1960s of the last century which provoked
reform intentions in legal teaching and science. A controversial
topic was
the relationship of legal academia to social science, for instance in the thesis,
that jurisprudence itself was a part of social sciences. A fierce debate divided
legal academia. A small group of legal scholars particularly exposed to hostilities called into question basic assumptions of the traditional application of
law and demanded a critical approach towards the role of law and legal
doctrine as an instrument to shape and uphold the existing distribution of
power in state and society. The provocation was mainly launched by those
authors who suggested that social sciences would line up to storm the "citadel of the law"l0 or who announced a siege under the headline "sociology
at the gates of jurisprudence"l1 or who referred to judges as "political judges"Y Only expressions such as "jurisprudence
and neighbouring
sciences"
were presentable - but nevertheless suspecr.13 Even authors who restricted
themselves to claiming interdisciplinary
research and to making efforts to
include social sciences into legal training and practice were considered as
near-revolutionaries.14
Meanwhile social sciences have lost much of their terrifying effect upon
the legal community. Tolerance and curiosity have grown. Many legal scholars have drawn benefit from social scientific knowledge and are using concepts, theoretical elements and single results of the social sciences in legal
argumentation
or in jurisprudential
theory.
.
The fate of social sciences in relation to law making and legal doctrine
can be described in patterns of the research into the application of know 1-

1O

11

12
13

14

On their positions cf Stolle is (n6 above), 171.; Wendenburg (n8 above), 139 et
seq., 185 et seq.; Stefan Korioth, ,Erschutterungen des staatsrechtlichen Positivismus im ausgehenden Kaiserreich', (1992) 117 Archiv des offentlichen Rechts 212.
This apprehension is expressed in the title of the article by Andreas Helldrich,
,Das Trojanische Pferd in der Zitadelle des Rechts?" (1974) 14 ]uristische Schulung
281.
Rudiger Lautmann, Soziologie vor den Toren der ]urisprudenz. Zur Kooperation der
beiden Disziplinen, (Stuttgart: Kohlhammer 1971).
Cf Rudolf Wassermann, Der politische Richter, (Munchen: Piper 1972).
Dieter Grimm (ed.), Rechtswissenschaft und Nachbarwissenschaften, Vol. 1 and 2,
(Munchen: Beck, unrev. 2nd edition 1976).
Cf the articles in: Wolfgang Hoffmann-Riem (ed.), Sozialwissenschaften im Studium
des Rechts, Vol. 11: Verfassungs- und Verwaltungsrecht, (Munchen: Beck 1977); id.
(ed.), Sozialwissenschaften im Offentlichen Recht, (Neuwied: Luchterhand 1981).

edge in specific contexts (Verwendungsforschung)Y

Legal doctrine and legal
practice partially use the evaluation of what is offered by social science to
explain reality. They sometimes define it as useful and selectively integrate
this part into their legal arguments. Social scientific knowledge must pass
through a specific filter in order to be accepted by legal scholars or practitioners. Lawyers consider themselves entitled to such a selective approach
and to reformulation and thus design knowledge, partly different from that of
social scientists dealing with the same subject: Empirical findings offered by
the social sciences are reformulated following the own context of discovery
in the field of law application. Legal scholars and practitioners tend to justify
this selective approach towards the use of social scientific theories and
empirical data by referring to the rule of law, to the necessity to give reasons
for a decision based on legal concepts and from the specific culture of legal
argument. Insofar as they accept the way of thinking and the terminology of
social science they also accept its questions, its approaches to explain reality
and its orientation
towards action. This can encourage changes in legal
reasoning.
Social scienctists have commented with contempt on such an approach of
legal scholars towards their field as using social sciences as a kind of quarry
from which to pick out bits and pieces in order to incorporate them into
legal argument and legal doctrine, to fill in cracks and gaps just as they like.
On the other hand the interaction cannot be understood as a simple taking
and using. The bits and pieces taken out are not dead material, they continue to live and may cause cracks and shifts in the masonry of law and
jurisprudence. The frequently observed introduction of sociological terms or
the wording of political theory into everyday language and in part into legal
argumentation
indicates that social sciences have had some impact. Social
sciences were given a chance to influence the perception and solution of
problems by lawyers, and the scientific community was given a chance to
discover some of its blind spots in dealing with reality and to make efforts to
reach a more suitable perspective. This broadened perspective
is also an
incentive for administrative
law reform.

15

Cf Ulrich Beck and Wolfgang BonE (ed.), Weder Sozialtechnologie noch Aufkliirung? Analysen zur Verwendung sozialwissenschaftlichen Wissens, (Frankfurt am
Main: Suhrkamp 1989); Christoph Lau/Ulrich Beck, Definitionsmacht und Grenzen
angewandter Sozialwissenschaft, (Opladen: Westdt. VerI. 1989); Matthias Wingens,
Soziologisches Wissen und politische Praxis. Neuere theoretische Entwicklungen in der
Verwendungsforschung, (Frankfurt am Main: Campus-Verlag 1988).

C.

The dependence on time of the view of

public administration and administrative law

In the course of history different methods have been used by lawyers approaching social reality. This is evident when looking at the creation of the
rule of law (Rechtsstaat) in Germany.
The development
of a plurality of disciplines dealing with a subject like
public administration
is a product of the recent past. It was unknown when
Lorenz van Stein wrote his famous book on "Verwaltungslehre",16 which was
rooted in the tradition of the "gesamte Staatswissenschaft"Y
Lorenz van
Stein's presentation
of and claim to a comprehensive
view of the science of
dealing with public administration
and of public law did not hesitate to
combine descriptive and prescriptive knowledge in a philosophically
based,
encyclopaedically
designed and integrated perspective18 of "good" adminis~n.
The opposite model was later presented by Otto
~f1uenced German administrative
law like nobody else. Thoug
e was particularly inspired by French administrative
law, he wanted to restrict the scope
of administr
lve discretionary powers. The a~ation
was to be strictly
ound by the law enacted by parliam~nt.19 His concept was built upon a
programme of limitation of the government by the rule of law.
As far as the acts of the administration
were not considered as a mere
exercise of the so called "free" discretion,ZO administrative
law aimed at the
strict implementation
of the statutory law. ZI The public administration
was
hierarchically
integrated into the state and hierarchically
constructed
in

May;,:-,

16

17

18

19

20

ZI

Cf Lorenz von Stein, Die Verwaltungslehre, 7 Theile, 1865-1868. reprint of the 2nd
edition (1869-1883) in 10 Vol., (Aalen: Scientia VerI. 1962). id., Handbuch der
Verwaltungslehre und des Verwaltungsrechts,
(Stuttgart: Cotta 1870, 3rd edition
1887).
On the "gesamte Staatswissenschaft" and the relation to the administrative
science cf Hans Maier, Die iiltere Staats- und Verwaltungslehre, (Munchen: Beck,
2nd edition 1980); Michael Stolleis, ,Verwaltungsrechtswissenschaft und Verwaltungslehre 1866-1914', (1982) 15 Die Verwaltung 45.
Cf on the integrated perspective Ernst Rudolf Huber, ,Lorenz von Stein und die
Grundlegung der Idee des Sozialstaats', in: id., Natianalstaat urn! Verfassungsstaat.
Studien zur Geschichte der mademen Staatsidee, (Stuttgart: Kohlhammer 1965), 127.
Otto Mayer, Deutsches Verwaltungsrecht, Val. I, (Munchen: Duncker & Humblot,
1st edition 1895, here and below cited from the 3rd edition 1924).
On this: Mayer (n 19 above), at 69,77,99; Walter Jellinek, Verwaltungsrecht, (Bad
Homburg: Gehlen, 3rd edition 1931, reprint 1966), 28, 90; Fritz Fleiner, lmtitutianen des Deurschen Verwaltungsrechrs, (8th edition 1928, reprint Aalen: Scientia
1960), 140 et seq.
Mayer (n 19 above), at 64 et seq., 77 et seq.

itself. The modes of function were related to the bureaucratic. model which
was described and analyzed by l\jax
ber.2Z Under the rule of law it became
possible to design public administration
as a bureaucratic apparatus led by
the will of another 0. e. the legislature). In today's terminology the legislative should be the programming entity while the administration
should be a
programmed
entity acting according to the premises of a legally boun~
bureaucratic government.23
This concept was upheld during the Weimar Republic but modified with
reference to the constitutional
guarantee of a parliamentary democracy and
the development of an autonomous administrative
court system.Z4 The concept was also the basis of the re-establishment
of administrative
law after
World War II, when the consequences
of the national socialist regime of
injustice were to be overcome by an administrative
law as part of the rule of
law, which is especially directed towards judicial review. It was meant to
facilitate the reconstruction
of a democratic
government
and society.z5
Alongside and with few connections to administrative
law, theories on public administration
were also developed by legal scholars, focussing on the
non-legal aspects of public administration26
(Verwaltungslehre).27
Apart
22

23

24

25

26

2?

Max Weber, Wirtschaft und Gesellschaft. Grundriss der verstehenden Soziologie, (Tubingen: Mohr Siebeck, 5th rev. edition 1972), 126, 552 et seq.
For the present time cf Bernd Becker, Offentliche Verwaltung. Lehrbuch fur Wissenschaft und Praxis, (Percha am Starnberger See: Schulz 1989), that bases substantially on Max Weber's concepts of systematic theory and decision theory.
Charateristicalty: Fleiner (n 20 above). Furthermore: Julius Hatschek, Insriturionen
des deutschen und preuj3ischen Verwaltungsrechts, (Leipzig: Deichert, 1st edition
1919); Walter Jellinek, Verwaltungsrecht, (Offenburg: Lehrmittel-Vert., 3rd edition
1931), here in particular the introduction. Cf also Hermann Heller, Das Berufsbiki
in der deutschen Demokratie (1930), in: id., Gesammelte Schriften, Vol. 2: Recht,
Staat, Macht, (Leiden: Vert. Sijthoff 1971), 379 in particular 385 and 388 et seq.
The Austrian General Administrative Procedure Act of 21 July 1925, which in the
German-speaking legal world is considered to be a pioneering work, provides in its
Article 18 section 1, that the entire public administration may only act on the
basis of law", cf Stolte is (n6 above), 240.
Prototypical in particular: Hans J. Wolff, Verwaltungsrecht, (MUnchen: Beck,
VoLl, 8th edition 1971; VoLlI 3rd edition 1970; Vot.lII )rd edition 1973).
Cf Peter Badura, ,Die Verwaltung als soziales System', (1970) 23 Die OffemUche
Verwaltung 18.
An example for this is: Werner Thieme, Verwaltungslehre, (Koln: Heymann, 4th
edition 1984); also: Gernot Joerger/Manfred Geppert, Grundzuge der Verwaltungslehre, (Stuttgart: Kohlhammer, 3rd edition 1983); Helmut Lecheler, Verwaltungslehre. Kurzlehrbuch, (Stuttgart: Boorberg 1988); Karl Wenger, Christian Brunner
and Peter Oberndorfer (eds.), Grundrij3 der Verwaltungslehre, (Wien: Bohlau 1983).
Considering the legal aspects more extensively: GUnter PUttner, Verwaltungslehre,

from this, some scholars of sociology and political science focussed on public
administration
using specific methods of administrative sciences (Verwaltungswissenschaften).28 Administration and administrative law as objects of
scholarship were drifting apart.
It took until about the year 2000 when Gunnar Falke Scnu12Pgt wrote his
comprehensive textbook29 ~h~t deliberately crossed borders between disciplines a~Jt;ied t~g
back the normative into the scientific dealing with
public administration. 3DThe textbook contributed to drawing attention to a
question of which German scholars had been aware before, but which had
been more and more neglected due to the concentration on legal restrictions
on public administration:
How can the findings and perspectives of those
scholars who deal with the extra-legal aspects of public administration,
be
included in the treatment of administrative law without calling into question
the autono
aw-and the specific identity of research aimed at the
normative?3l This question has to be posed emphatically, as it is crucial for
modem administrative law to include knowledge about reality into the design of law and its application as well as into theory.32
This is the approach of current efforts of reform of administrative law Neue Verwaltungsrechtswissenschaft.

28

29

30

31

32

(Munchen: Beck, 3rd edition 2000). A recent example from Austrian literature:
Norbert Wimmer, Dynamische Verwaltungslehre. Ein Handbuch der Verwaltungsreform, (Wien: Springer 2004).
.
For an overall view of the different possible approaches cf the articles in: J an
Ziekow (ed.), Verwaltungswissenschaften und Verwaltungswissenschaft. Forschungssymposium anliisslich der Emeritierung von Univ.-Prof. Dr. Dr. Klaus Konig, (Berlin:
Duncker & Humblot 2003); Thomas Ellwein, Einfiihrung in die Regierungs- und
Verwaltungslehre, (Stuttgart: Kohlhammer 1966); Eckart Pankoke/Hans Nokielski,
Verwaltungssoziologie, (Stuttgart: Kohlhammer 1977); Renate Mayntz, Soziologie
der offentlichen Verwaltung, (Heidelberg: Muller, 4th edition 1997).
Gunnar Folke Schuppert, Verwaltungswissenschaft. Verwaltung, Verwaltungsrecht,
Verwaltungslehre, (Baden-Baden: Nomos 2000).
Cf also the earlier works of Bernd Becker's (n 23 above) and Klaus Konig and
Heinrich Siedentopf (ed.), Offentliche Verwaltung in Deutschland, (Baden-Baden:
Nomos, 2nd edition 1997).
Cf Hans-Heinrich Trute, ,Die Wissenschaft vom Verwaltungsrecht: Ober einige
Leitmotive zum Werkstattgesprach', Die Wissenschaft vom Verwaltungsrecht, Die
Verwaltung, BeiheftNo. 2 (1999), 9. Andreas VoBkuhle, ,Die Reform des Verwaltungsrechts als Projekt der Wissenschaft', (l999) 32 Die Verwaltung 545.
Cf Wolfgang Hoffmann-Riem, Eberhard Schmidt-ABmann und Andreas VoBkuhle (ed.), Grundlagen des Verwaltungsrechts, 3 Volumes, (Munchen: Beck from
2006 on).

D.

Examples for new approaches and

possibilities of understanding

Current efforts to develop new approaches in administrative

law are related
to theoretical discourse. but they are primarily stimulated by the making and
applying of laws. Politicians. administrators and judges are more creative in
many aspects than professors.J3 At present, innovations are stimulated by the
great pressure exerted on modern societies for example by Europeanization
and Globalisation,34 by the rise of the knowledge and .infor aJion society as
well as of the risk societ /5 and by the frends to modify public tasks and
public administration
in order to adjust to the need for self regulation and to
so-called privatisation36 in areas where the law still requires a special re33

34

35

36

This is demonstrated by the discussion on and the impulses for reforming administrative law, which are documented in: Wolfgang Hoffmann-Riem and Eberhard
Schmidt-ABmann (eds.), Schriften zur Reform des Verwaltungsrechts, 10 Volumes
(Baden-Baden: Nomos 1993-2004): The consideration of a reform started generally from existing legislative innovations in certain fields of law, which themselves
base on European law.
For a deeper reflection of this influence see: Matthias Ruffert, Die Globalisierung als
Herausforderung an das offendiche Recht, (Stuttgart: Boorberg 2004).
Cf Carl-Eugen Eberle, ,Die offentliche Verwaltung vor den Herausforderungen der
Informationsgesellschaft', (1987) 20 Die Verwaltung 459; Stefanie Hohn, Der Reformprozej3 in der offentlichen Verwaltung vor dem Hintergrund der Informationsgesellschaft, (Linz: Trauner 1997); Erhard Denninger, ,Nahtloser offentlicher Sektor?
Rechtsfragen der Informationsgesellschaft', in: Heinrich Reinermann (ed.), Regieren und Verwalten im Informationszeitalter, (Heidelberg: von Decker 2000), 68;
Wolfgang Hoffmann-Riem and Eberhard Schmidt-ABmann (ed.), Verwaltungsrecht in der Informationsgesellschaft, (Baden-Baden: Nomos 1998); Andreas
VoBkuhle, ,Die Verwaltung in der Informationsgesellschaft - Informationelles
Verwaltungsorganisationsrecht', in: Dieter Leipold, Rechtsfragen des Internet und
der Informationsgesellschaft. Symposion der Rechtswissenschaftlichen Fakultdten der
Albert-Ludwigs-Universitdt Freiburg und der Stiidtischen Universitdt Osaka, (Heidelberg: Muller 2002), 97; Eike Richter, ,Anforderungen an eine nachhaltigkeitsgerechte Informations- und Kommunikationsordnung im Umweltrecht', in: Klaus
Lange (ed.), Nachhaltigkeit im Recht. Eine Anruiherung, (Baden-Baden: Nomos
2003), 199.
Cf the more recent literature: Martin Burgi, Funktionale Privatisierung und Verwaltungshilfe, (Tubingen: Mohr Siebeck 1999); Gunnar Folke Schuppert (ed.), ]enseits
von Privatisierung und "schlankem" Staat, (Baden-Baden: Nomos 1999); Jom Axel
Kammerer, Privatisierung, (Tubingen: Mohr Siebeck 2001); Klaus Weisel, Das
Verhiiltnis von Privatisierung und Beleihung. Eine verfassungsrechtliche Untersuchung
der Kombinationsfiihigkeit von Privatisierung und Beleihung sowie der Einfliisse der

sponse to public needs. In what follows below only some observations will be
sketched. The possible horizon of discussion is substantially broader.

I.

The transition of the state towards the ensuring state

(Gewah r1eistungsstaat)

The current challenges stimulate the search for the concept that we have
about the state, its tasks and their completion.
The "ensuring state" (Oewiihrleistungsstaat) as a concept takes up the fact that the government fulfils
its tasks partly in a different way from the recent past, namely with strQ ger
confidence i
elLr.egulation of society.37 It thus takes into account the
~hanges in the division of labour, the division of powers and the sharing of
responsibility between actors in government and in society. The welfare and
intervention
state is complemented,
overtaken and partly replaced by the
"ensuring state". This is first of all an empirical fact.
If government tends to reduce its responsibility in fulfilling its tasks or if it
limits its activity to acting at well-defined stages of that fulfilment, the
expectations
traditionally
directed towards the state for it to secure the
individual and the common good and to help coping with problems which
cannot be tackled by social self regulation alone, do not necessarily change.
On the contrary, these expectations
are increasing with the growth of uncertainty and the growing sense of crisis. At any rate, we have to be aware of
a "boom" in expectations directed towards the government - linked to many
disappointments
about their non-fulfilment.38 According to a common approach, where government
acts, it must fulfil it~ tasks not (any longer)
merely in a hierarchical manner, but by cooperating with actors from socie-

Anwendung

des neuen Steuerungsmodells

fur die offentliche Verwaltung auf ihre Zuliis-

sigkeit, (Baden-Baden: Nomos 2003); Hermann Hill (ed.), Aufgabenkritik,

tisierung und neue Verwaltungsstuerung,

Priva-

(Baden-Baden: Nomos 2004).

37 To the following ef Martin Eifert, Grundversorgung mit Telekommunikationsleistungen im Gewtihrleistungsstaat,

(Baden-Baden: Nomos 1998); Wolfgang HoffmannRiem, Modernisierung von Recht und }ustiz - Eine Herausforderung des Gewahrleistungsstaates, (Frankfurt: Suhrkamp 2001); Claudio Franzius, ,Der "Gewahrleistungsstaat" - ein neues Leitbild fur den sich wandelnden Staat?', (2003) 42 Der
Staat 493.; Gunnar Folke Schuppert (ed.), Der Gewahrleistungsstaat - ein Leitbild
auf dem Prufstand, (Baden-Baden: Nomos 2005).
38 Cf Thomas Ellwein/Joachim lens Hesse, Der uberforderte Staat, (Frankfurt am
Main: Suhrkamp, 1st edition 1997); Meinolf Dierckes/Klaus W. Zimmermann,
Sozialstaat in der Krise. Hat die Soziale Marktwirtschaft noch eine Chance?, (Frankfurt
am Main: Frankfurter Allgemeine Zeitung fur Deutschland, 1996).

tyl9 and it must allow for ways of societal self regulation which satisfy
individual interests as well as the common good. In other words: Even if
government does not fulfil the tasks itself and does not provide services itself,
it is expected to ensure that solutions sought by society may be found which
suit as many social interests as possible, if not all.40

The ensuring state is often discussed from the perspective

of 'steering'
(Steuerung).4l Legal steering is considered to be acting in a legal framework
using instruments provided by the law, aiming at accomplishing normatively
desired effects and avoiding non-desired
effects. Effects matter! Modem
concepts of steering are not linked to concepts of linear causation which
are to a great extend outdated; dynamic (network-recursive)
types of causation must be integrated. The perspective is shifted from a single actor towards networks of actors and institutional arrangements - as above all analysed by the research on governanceY
Inherent to legislation and application of the law is an optimism about the
possibility of causing certain effects through legal instrumentsY
This opti39

40

41

42
43

For the more recent literature cf inter alia: Florian Becker, Kooperative und konseruuale Strukturen in der Normsetzung, (Tubingen: Mohr Siebeck 2005); Gemot
Sydow, Verwaltungskooperation in der Europiiischen Union, (Tubingen: Mohr Siebeck 2004).
This state activity is often called "regulation" (in the narrower sense) (Regulierung im engeren Sinne), cf Gabriele Britz, ,,,Kommunale Gewahrleistungsverantwortung" - Ein allgemeines Element des Regulierungsrechts in Europa?', (2004)
37 Die Verwaltung 145 with further references in n. 2 and 8. Cf furthermore:
Johannes Masing, ,Grundstrukturen eines Regulierungsverwaltungsrechts. Regulierung netzbezogener Markte am Beispiel Bahn, Post, Telekommunikation und
Strom', (2003) 36 Die Verwaltung 1. To me, however, this term does not seem
specific enough. Further on the notion of regulation: Martin Eifert, ,Regulierungsstrategien" in: Hoffmann-Riem/Schmidt-ABmann/VoBkuhle
(n32 above),
Vol. I 20.
Cf Gunnar Folke Schuppert, ,Verwaltungsrecht', in: Wolfgang Hoffmann-Riem,
Eberhard Schmidt-ABmann and Gunnar Folke Schuppert (eds.), Reform des aUgemeinen Verwaltungsrechts, (Baden-Baden: Nomos 1993),65; Hoffmann-Riem (n37
above), 31; Andreas VoBkuhle, ,Neue Verwaltungsrechtswissenschaft" in: Hoffmann-Riem/Schmidt-ABmann/VoBkuhle
(n32 above), Vol. I 1.
On this part 3. below.
In the discussion in the social sciences different concepts of steering can be
distinguished: While one concept focuses on activity and actor (Renate Mayntz,
,Politische Steuerung und gesellschaftliche Steuerungsprobleme', in: ]ahrbuch zur

mism is not generally shared by social scientists. On the other hand: without
any prospect of success the application of legal rules (at least if imposing
restrictions and obligations) could not be justified. Of course the practical
fulfilment of a task of legal steering is difficult, since due to possible repercussions and uncertainties the chain of events often cannot be predicted.
Legal scholars do not dispose of an advanced theory of steering, i. e. of
systematic understanding about the conditions under which what legal instruments or legally imposed structures would cause which effects, and to
whom (to individuals, to social systems), and how they would subsequently
apply in practice and be legally justifiable, given their effects. Nevertheless,
legal scholarship can have recourse to the questions and, albeit to a limited
extent, to the knowledge or methods of other sciences, insofar as they can be
related to the actual scope of application of the relevant legal norms. This
also applies to dealing with cognitive uncertainty.44

To provide solutions to problems under conditions of high complexity and

limited knowledge is difficult or even impossible as there is often no way to
foresee the effect of the rules the legislator creates and the instruments he
designs will have. Furthermore, legislation cannot be tailored towards certain
results if the prevention of unknown risks and the stimulation of e. g. technological innovations is at stake: the "new" would have to be regulated

44

Staats- urul Verwaltungswissenschaft, Vol. I, (Baden-Baden: 1987) 89 at 94; Rudiger

Voigt, ,Staatliche Steuerung aus interdisziplinarer Perspektive', in: Klaus Konig
and Nicolai Dose (eds.), Insrrumente urul Formen staatUchen Handelns, (Koln:
Heymann 1993), 289 at 296) other concepts base on the macro perspective, often
the system theory and autopoiesis, and are pessimistic in respect of steering
(steuerungspessimistisch). The latter concepts base on the notion of system of
steering (Steuerungsystem) or structure of steering (Steuerungsstruktur), (Niklas
Luhmann, Okologische Kommunikation. Kann die moderne Gesellschaft sich auf akologische Gefiihrdungen einstellen?, (Opladen: Westdeutscher Verlag 1986), 266; Helmut Willke, Entzauberung des Staates. Oberlegungen zu einer sozietalen Steuerungstheorie, (Konigstein/Taunus: Athenaum-Verlag 1983). These approaches have
developed in the course of separation from the kybernetic model of steering
(e. g. Norbert Wiener, Kybemetik. Regelung urul Nachrichtenuberrragung in Lebewesen urul Maschine, (Reinbek bei Hamburg: Rowohlt 1968),32). On the discussion
on steering see also: Becker (n 39 above), at 9 et seq.
Cf: Christoph Engel, Jost Halfmann and Martin Schulte (eds.), Wissen - Nichtwissen - Unsicheres Wissen, (Baden-Baden: Nomos 2002).

before it existsY Despite incomplete or insecure knowledge a need for

problem solving and action exists. To move exclusively on familiar grounds
would mean to be unable to tackle current problems of the risk society.
Of course, the legal system contains rules to deal with uncertainty - such
as rules on the burden of proof. 46On the other hand, these are not sufficient
for the perception of complex actual situations and therefore cannot serve as
a basis for complex steering in the social sphere. Insofar as legal scholars
have not developed their own ways of dealing with the problem of insufficient knowledge, it is useful to look at other disciplines. Two approaches will
be selected. They are of significance in many areas, but will be considered
here only from a limited point of view. I will only ask whether these approaches can help to develop strategies to trigger self-regulated processes in
such a way that the creative and innovative potential of society can be used
while at the same time respecting the common good.
A legal system based on the principle of freedom needs first of all provisions that enable the exercise of freedom by citizens through all kinds of
activities; it must be sparing in limitation and prohibitionY
Such a legal
system allows to a great extent for choices, but formulates objectives for such
choices, sets rules for balancing and optimising or provides normative concepts for the tackling of problems. At the same time, this system provides for
safety networks - like social welfare systems - and for the possibility to regain
control of the situation in case unacceptable
consequences threaten to appear. Law as a programme for tackling a social problem is by no means
limited to the enactment of an administrative
act (Verwaltungsakt).48 The
traditionally dominant focus upon administrative
acts of this type must be
complemented
and partially replaced by a strengthened
perspective towards
agreements, processes, networks and problem solving structures (by organisation, procedure or institutional arrangements).49

45

46

47

48

49

Dieter Sauer and Christa Lang (eds.), Paradoxien der Innovation. Perspektiven sozialwissenschaftlicher Innovationsforschung. (Frankfurt, New York: Campus 1999).
Cf Melanie Bitter, Spieltheorie und offentliche Verwaltung, (Baden-Baden: Nomos
2005), 25 et seq., 118 et seq., 144 et seq.
On the continuous relevance of police law as well as to its conditions of effectiveness ef Thomas Baehr, Verhaltenssteuerung dUTChOrdnungsrecht. Das VoUzugsdefizit als Verfassungsproblem, (Baden-Baden: Nomos 2005).
Cf Christian Bumke, Relative Rechtswidrigkeit: Systembildung und BinnendifferenzieTungen im offentlichen Recht, (Tubingen: Mohr Siebeck 2004), 255 et seq. and
passim.
For a concise but wider presentation of the current level of knowledge see:
Scherzberg (n 2 above), Kap. 2, in particular at 75 et seq.

Such a perspective will also be stimulated by concepts of governance

which have widely spread into the social sciences in recent years.50 Governance is about conceiving the "How" of governing and administering and it is
about the perception of the plurality of governmental
and private actors.
The structure of the framework of decision making, the forms of action as
well as the manifold interdependences
of different measures and programmes, and above all the great complexity of the problems to be solved,
the great dimension of uncertainty
and manifold interrelations
and interdependences are taken into account for the main requirement is a problem
solving management of those interdependences.
The governance perspective
aims at integrating as many facets of a problem as possible and identifies the
often complex structures of regulation related to it. The newly phrased term
"Regelungsstrukturen"
(structures of regulation)51 is related to a complex of
legally normative programmes, available organisations, relevant procedures
and above all decision-related
rules and incentives, and to interactions
of
government and private actors. Solutions are sought in different regulation
arrangements,
such as hierarchy, market/competition,
networks or associations/corporations
(co-operation),
in which identical legal impulses of steering can have different impacts.
Starting from the perspective of governance a link can be established to
related social scientific approaches such as systems theory,5Z but above all
50

51

52

Cf Jon Pierre/B. Guy Peters, Governance, PoUtics and the State, (Basingstoke:
Macmillan 2000); Siegfried Magiera and Karl-Peter Sommermann (eds.), VerwcUtung und Governance im Mehrebenensystem der Europiiischen L!nion, Vortriige und
Diskussionsbeitriige auf dem 2. Speyerer Europa-Forum vom 26. bis 28. Miirz 2001 an
der Deutschen Hochschule fur VerwaLtungswissenschaften Speyer. (Berlin: Duncker &
Humblot 2002); Ruffert (n34 above); Renate Mayntz, ,Governance-Theorie - als
fortentwickelte Steuerungstheorie', in: Gunnar Folke Schuppert (ed.), Governance-Forschung - Vergewisserung uber Stand und EmwickLungsUnien, (Baden-Baden:
Nomos 2005); Hans-Heinrich Trute/Wolfgang Denkhaus/Doris Kuhlers, ,Governance in der Verwaltungsrechtswissenschaft', (2004) 37 Die VerwaLtung451; Gunnar
Folke Schupperr (ed.), Governance-Forschung. Vergewisserung uber Stand und EmwicklungsLinien, (Baden-Baden: Nomos 2005).
On its use in the context of legal sience: Hans-Heinrich Trute, ,Die Verwaltung
und das Verwaltungsrecht zwischen gesellschaftlicher Selbstregulierung und staatlicher Steuerung', (1996) 111 Deutsches Verwaltungsblatt 950.
Cf Niklas Luhmann, Das Recht der Gesellschaft. (Frankfurt am Main: Suhrkamp,
2nd edition 1997); Helmut Willke, Supervision des Staates. (Frankfurt am Main:
Suhrkamp 1997); Becker (n39 above), 1 II 3 b. A systemtheoretical definition
of the term of "steering" reads as follows: Steering is specific influencing of
systems, which is aimed at the reduction of the difference between an ecxpected
and a desired situation (Steuerung ist die gezielte, auf die Verminderung der
Differenz zwischen einem erwarteten und einem erwunschten Systemzustand ge-

actor orientated theory of steering (akteurszentrierte

Steuerungstheorie,53,54)
as well as - with particular reference to law - the efforts towards a behavioural theory of law.55
The dialogue with economics is particularly useful for legal scholars.56
Especially from an innovation-related
perspective game theory57 and evolutionary economics,58 which have had a lasting influence on economics of
richtete Beeinflussung von Systemen). This defintion is given by: Arno Scherzberg, ,Rationalitat - staatswissenschaftlich betrachtet. Prolegomena zu einer
Theorie juristischer Rationalitat', in: Walter Krebs (ed.), Liber amicorum HansUwe Erichsen. Zum 70. Geburcsrag am I5.0ktober 2004, (Koln: Heymanns 2004)

177

at

In

53 Cf Renate Mayntz/Fritz W. Scharpf, in: id. (eds.), GeseUschaftliche Selbstregelung

und politische Steuerung, (Frankfurt am Main: Campus VerI. 1995), 39; Becker
(n39 above), 1 II 3 c.
54 It is sometimes suggested to replace the term steering, which is often, but from my
point of view not necessarilly, focused on actors (Who steers whom?), with the
term of governance, which relates more to institutions; (cf Gunnar Folke Schuppert, Staatswissenschaft, (Baden-Baden: Nomos 2003),395 et seq.; Renate Mayntz,
(n 50 above)). This is suggested not least because often identifiable subjects of
steering were missing and institutional structures could have a steering effect as
well. However, I believe the change to the less lazily operated term of governance
to be dispensable, if the term of steering is expanded and understood as a normative instruction to cause certain effects (Bewirkungsauftrag), which can be fulfilled by the provision of suitable institutional structures (cf Wolfgang HoffmannRiem, ,Governance im Gewahrleistungsstaat', in: Gunnar Folke Schuppert (n50
above), at 195).
55 Cf Hagen Hof, Rechtsethologie, (Heidelberg: von Decker 1996); Fritjof Haft, Steffen Wesche and Hagen Hof (eds.), Bausteine zu einer Verhaltenstheorie des Rechts,
(Baden-Baden: Nomos 2001); cf furthermore: Kilian Bizer, Martin Fuhr and
Christoph Huttig (eds.), Responsive Regulierung. Beitriige zur interdiszipliniiren Institutionenanalyse und Gesetzesfolgenabschiitzung, (TUbingen: Mohr Siebeck 2002).
56 On the economic research of innovation in Germany cf Petra Bollmann, Technischer Fortschritt und wirtschaftlicher Wandel, (Heidelberg: Physica-Verl. 1990);
Georg Erdmann, Elemente einer evolutorischen Innovationstheorie, (TUbingen: Mohr
1993); Manfred Neumann, Zukunftsperspektiven im Wandel, (TUbingen: Mohr
1990).
57 On that theory - devoting special attention on the supply of information signalling, screening, auctions cf Bitter (n46 above), 58 et seq. Regarding the game
theory in the legal context cf Susanne Bumke, Frequenzvergabe nach dem Telekommunikationsgesetz umer besonderer Beriicksichtigung der Integration okonomischer
Handlungsrationalitiit in das Verwaltungsverfahren, (diss. iur., Hamburg 2005).
58 Cf Erdmann (n56 above). For a confrontation with neoclassical research of innovation cf Bollmann (n 56 above).

innovation and the new institutional economics,59 are of great significance.60

Research into new evolutionary economics61 is making considerable efforts
to identify relevant actors and their motives as well as the chains of effects
and concentrations
of impact which may cause changes which may culminate in the change of structures. In such research not only exogenous pressure to adapt but also endogenously generated innovations
are of interest.
The focus of all this is on the impact of the law on activities oriented
towards innovation
of diverse actors. In that respect we are dealing, as
generally in the law of risk, with legally affected action under conditions of
uncertainty
and "bounded rationality"62 and with efforts to allow for the
necessary creativity and processes of searching and learning or even to
stimulate them, as activities of reform depend on them. In that sense the
aim of rationality has to be shifted from models under ideal conditions to
modes of practical feasibility.
Law as an instrument of steering with the utmost recourse to self regulating processes makes particular use of incentives.63 In this respect, institutional economics64 offer an abundance of ideas and suggestions. In addition
59 Cf Rudolf Richter/Eirik G. Furubotn, Neue Institutionenokonomik,
(Tubingen:
Mohr Siebeck, 3rd edition 2003).
60 In contrast, NeoClassic is, quite apart from some general objections, not helpful in
economics. This also because it bases its work on the assumption of complete and
perfect information, which, especially for innovation processes, can not be assumed.
61 Cf Richard R. Nelson/Sidney G. Winter, An Evolutionary .Theory of Economic
Change, (Cambridge: The Belknap Press of Harvard Univ. Press, 6th edition 1996);
Ulrich Witt, Studien zur evolutorischen Okonomik II, Schriften des Vereins fur Socialpolitik, Vol. 195/1I, (Berlin: Duncker & Humblot 1992); Wolfgang Kerber (ed.),
Evolutionso"konomische Grundsatzfragen, Makrookonomik und lnstitutionen, (Berlin:
Duncker & Humblot 2004). Carsten Herrmann-Pillath, Grundriss der Evolutionsokonomik, (Munchen: Fink/UTB 2002).
62 Leading on this concept: Herbert A. Simon, 'From Substantive to procedural
rationality', in: John Spyridon Latsis (ed.), Methods and Appraisal in Economics,
(Cambridge: Cambridge University Press 1976), 129. On the different concepts of
rationality cf: Scherzbetg (n52 above), 177.
63 This in patticular through modelling the transaction costs, cf: Wolfgang Denkhaus, ,Die neue Institutionenokonomik und das Govemancekomept - Zum Wandel der okonomischen Theorie und ihren Implikationen fur die verwaltungsrechtswissenschaft', in: Marc Bungenberg, Stefan Dam, Helge Heinrich, Olaf
Hunemorder, Christian Schmidt, Romy Schroeder, Ariane Sickert and Frank
Unkroth (eds.), Recht und Okonomik. 44. Assistententagung Offentliches Recht,
(Munchen: Beck 2004), 56.
64
On institutional economics see: Richter/Furuborn (n 59 above); Mathias Erlei/
Martin Leschke/Dirk Sauerland, Neue lnstitutionenokonomik, (Stuttgart: Schaffer-

they present a perspective and terminology which can be adopted by legal

academics.65 The so called economic analysis (or theory) of law is also
suitable for adoption,66 in particular insofar as it is trying to bridge the gap
with institutional
economics. It aims at the explanation
of behaviour in
analytical models but it also has a normative dimension.67 Nevertheless,
it
is always necessary to check - as with all other scientific approaches - to
what extent the method and the set of prescriptive assumptions (e. g.: efficiency of allocation, Pareto-criterion,
Kaldor-Hicks-criterion68)
are compatible with the normative standards of law and in particular if their complexity is sufficient.69 To give an example: it is always necessary to make sure that
the protection of rights is not as a rule limited to the opportunity to receive
financial compensation
and the monetisation of perspective not always suits
the variety of legally protected interests.7o
Poeschel 1999); Karl Homann/ Andreas Suchanek, Okonomik. Eine Einfuhrung,
(Tiibingen: Mohr Siebeck 2000); Stefan Voigt, lnstitutionenokonomik, (Miinchen:
Fink 2002).
65 Cf Christian Kirchner, ,Regulierung durch offenrliches Recht und/oder Privatrecht aus der Sicht der okonomischen Theorie des Rechts', in: Wolfgang Hoffmann-Riem/Eberhard Schmidt-ABmann (eds.), Offentliches Recht und Privatrecht
als wechselseitige Auffangordnungen, (Baden-Baden: Nomos 1996), 63; cf also: Kilian Bizer, ,Okonomisch-juristische Institutionenanalyse - Ziele und praktische
Anwendung', in: id./Fiihr/Hiittig (n55 above), at 143 et seq.
66 On this: Peter Behrens, Die okonomischen Grundlagen des Rechts, (Tiibingen: Mohr
Siebeck 1986); Hans-Bernd Schafer/Claus Ott, Lehrbuch der okonomischen Analyse
des Zivilrechts, (Berlin: Springer, 5th edition 2005, cf also the English translation of
the 4th edition 2004); Gunnar Janson, Okonomische Theorie im Recht. Anwendbarkeit und Erkenntniswert im allgemeinen und am Beispiel des Arbeitsrechts, (Berlin:
Duncker & Humblot 2004), as well as the articles in: Bungenberg/Danz/Heinrich/Hiinemorder /Schmidt/Schroeder /Sickert/Unkroth (n 63 above).
67 The economic science distinguishes the "positive" economy (which is empirical,
aiming at explanation) from the normative economy (which is oriented towards
rationality and efficiency)
68 For these assumptions cf inter alia Schafer/Ott (n66 above), at 32 et seq.; Erlei/
Leschke / Sauerland (n 64 above), at 16 et seq.
69 Cf Martin Morlok, ,Offenrliches Recht als ein Gegenstand okonomischer Forschung: die Begegnung der deutschen Staatsrechtslehre mit der konstitutionellen
politischen Okonomie', in: Christoph Engel and Martin Morlok (eds.), OffentUches Recht als ein Gegenstand okonomischer Forschung. Die Begegnungder deutschen
Staatsrechtslehre mit der konstitutionellen politischen Okonomie, (Tiibingen: Mohr
Siebeck 1998), 1 at 5 et seq.; Denkhaus (n61 above), at 37 et seq.
70 For characteristic examples of criticism of economic analyses see: Morlok (n 69
above) 10 et seq.; Rolf Groschner, ,Homo oeconomicus und Grundgesetz', in:
Engel/Morlok (n69 above), 31 et seq. Cf also: Michael Fehling, ,Kosten-Nut-

Another approach is the so-called Technikfolgen- und Technikgeneseforschung (theories dealing with the consequences and the genesis of technology71). As is typical for many integrative approaches, it aims at the integration of many different factors and of uncertain impacts in fields of complex
consequences. This approach is aware of the fact that completeness in dealing with relevant factors cannot be achieved but that trying to comprise as
many relevant aspects as possible will bring the problem closer to a solution
than leaving further factors out of account. The consequence of a simplification of reality would be that the application of the law will be made easier
on the one hand, though it will be at the expense of considerable shortcomings in problem solving capacity on the other hand.7Z

I will now turn from the list of social scientific approaches that might be
adopted in legal research and practice to considering the individual decision
in applying the law. The question is at which point of application of the law
in a particular case "extra-legal" knowledge can become relevant.73 I shall
concentrate upon objects of research that are also important for administrative science and limit myself to research published in German.

71

72

73

zen-Analysen als MaBstab fur Verwaltungsentscheidungen?',

(2004) 95 Verwaltungsarchiv, 443 at 456 et seq.
Cf: Udo Bredeweg/Uli Kowol/Wolfgang Krohn, ,~nnovationstheorien zwischen
Technik und Markt. Modelle der dynamischen Kopplung', in: Werner Rammert
and Gotthard Bechmann (eds.), Technik und GeselLschaft.Jahrbuch 7: Konstruktion
und Evolution von Technik, (Frankfurt am Main: Campus-Verlag 1994), 187.
Such reduction legitimises e. g. Oliver Lepsius, ,Sozialwissenschaften im Verfassungsrecht - Amerika als Vorbild?', (2005) 60 Juristenzeitung l.
General reference should be made here to textbooks and compendiums of administrative law, the sociology of administration and other sciences concerned with
administration (see notes 27-30) but also the following works on the sociology of
law: Klaus F. Rohl, Rechtssoziologie, (Koln: Heymann 1987); Niklas Luhmann,
Rechtssoziologie, (Opladen: Westdeutscher VerI., 3rd edition 1987); Hubert Rottleuthner, Einfuhrung in die Rechtssoziologie, (Darmstadt: Wiss. Buchges. 1987);
Thomas Raiser, Das lebende Recht. Rechtssoziologie in Deutschland, (Baden-Baden:
Nomos, 3rd edition 1999); Manfred Rehbinder, Rechtssoziologie, (Munchen: Beck,
5th edition 2003); Niklas Rotter, Gunter Dux and Rudiger Lautmann (eds.),
Rechtssoziologie. Examinatorium, (Heidelberg: von Decker 1980). For the earlier
literature in particular Eugen Ehrlich, Grundlegung der Soziologie des Rechts (Berlin:
Duncker & Humblot, 1st edition 1913, 4th edition 1989); Theodor Geiger, Vorstudien zu einer Soziologie des Rechts, (Berlin: Duncker & Humblot, 4th edition
1987); Max Weber, Rechtssoziologie, (Neuwied: Luchterhand, 2nd edition 1967);

I will illustrate that, in order to apply the law it is worth considering

research into sociology and administrative sciences and to use it as an incentive for the development of legal doctrine and administrative law. In
bridging the gap between the application of administrative law and social
science research it is important to take into account the nature of the process
of creating administrative decisions. What conclusions can be drawn from
the reality of this process for the theory on the application and the doctrine
of administrative law?

Application of the law is a social act in a legally structured environment.

First of all, it is a reaction to a problem requiring a solution. A social, economic etc. conflict74 will be brought to a "solution" in the form of a legally
bound decision.75 The situation turns into a conflict for those involved if
and insofar as different interests or intentions become apparent and do not
coincide as far as possible solutions are concerned.
Perceiving the conflict, those involved may become aware of the fact that
there are several options to achieve one's own interest or will. There are
usually also several options for an administrative body to fulfil its tasks. To
give an example: to solve a conflict concerning immissions detrimental to
the environment, the administration often is empowered to use not only the
classic command and control instruments such as prohibition, order, licence,
condition etc. It can also try to solve it by (informal) negotiation and by
agreements between the participants.76 Another way is to allow trading

74

75

76

Niklas Luhmann, Rechtssoziologie, Volland

2, (Reinbek: Rowohlt 1972); Ernst
E. Hirsch and Manfred Rehbinder (eds.), Rechtssoziologie. Sonderheft 11 der Kainer
Zeitschrift fur Soziologie und Sozialpsychologie (2nd edition 1971).
On conflict studies in general: Johannes Brinkmann, Konfliktpraxis und Rechtspraxis, (Munster and Oslo 1975). Cf Robert Northoff, Rechtspsychologie. Anwendungsorientierte Grundlagen der Arbeits- und Konfliktbewiiltigung fur Rechtswesen, Sozialwesen. Polizeiwesen, (Bonn: Kommunal-Verlag 1996).
There are also non-legal ways of conflict resolution. For an overall view on those:
Raiser (n 73 above), at 275 et seq., 282 et seq.; Rohl (n 73 above), at 470 et seq.;
and see below n. 80.
Wolfgang Hoffmann-Riem, ,Selbstbindungen der Verwaltung', (1981) 40 Veraffentlichungen der Vereinigung der Deutschen Staatsrechtslehrer 187. On types and
forms of arrangements concerning the environment see: Michael Kloepfer, Urnweltrecht, (Munchen: Beck, 3rd edition 2004), 5; Gunter Hager, Konflikt und
Konsens. Uberlegungen zu Sinn, Erscheinung und Ordnung der altemativen Streitschlichtung, (Tubingen: Mohr Siebeck 2001) 128 et seq. More general: Wolfgang
Hoffmann-Riem and Eberhard Schmidt-ABmann (ed.), Konfliktbewiiltigung durch

(emission certificates) etc. Each of these options is "accompanied" by the law

in different ways - and with different intensity.
Initially, the actors are very often unaware of the scope of legal options,
but the knowledge of specific options may come later when more information has been received, after detailed consideration or expert advice. The
existing options may in the beginning also be unclear to those acting on
behalf of the administration.77 Later, the search may be narrowed down to
one option - e. g. a prohibition of further emissions. As long as the range of
possible options has not yet been narrowed down to one, the search and
choice of the legal framework to be applied is part of the solution to the
problem.
The "facts of the case"78 are also normatively relevant for the particular
solution and the applicable norms to be chosen. The finding of these facts is
also an act of constructing social reality which is relevant for the particular
application of a given norm including the choice, the arrangement and the
interpretation of factual assumptions.79 It must be preceded by a clarification
of the norm which is to be applied to solve the problem. Different facts
(extracts of reality) may be relevant for different norms. The facts relevant to
a certain legal norm are often narrower than the social problem to be solved.
As long as it is unclear which norm should be considered for solving a
problem, there are in most cases options to consider and to select a problem
to be solved. The idea that a legal system provides an arsenal of different
options is, among others, the starting point of such approaches in the sociology of law which deal with "Alternative Dispute Resolution".80 This does
Verhandlungen,

77

78

79

80

Vol. 1: Informelle und mittlergestutzte

Verhandlungen

im Verwaltungs-

(Baden-Baden: Nomos 1990).

In this respect an understanding of so-called Knowledge of Law (KOL) studies is
relevant, d: Raiser (n 73 above), at 345 et seq.; Rohl (n 73 above), at 259 et seq.,
269 et seq. Studies on "Rechtsbewusstsein" may relevant as well, cf the articles in:
Brun-Otto Bryde and Wolfgang Hoffmann-Riem (eds.), Rechtsproduktion und
Rechtsbewusstsein, (Baden-Baden: Nomos 1988); Ernst-Joachim Lampe (ed.), Zur
Entwicklung von Rechtsbewusstsein, (Frankfurt am Main: Suhrkamp 1997).
On this term inter alia Karl Larenz/Claus-Wilhelm Canaris, Methodenlehre der
Rechtswissenschaft, (Berlin: Springer, 3rd edition 1999), at 99 et seq.
There have also been activities to "negotiate realiry", d: Karl E Schumann, Der
Handel mit Gerechtigkeit, (Frankfurt am Main: Suhrkamp 1977), 55 et seq.
For sociology of law studies d: Erhard Blankenburg, Ekkehard Klausa and Hubert
Rottleuthner (eds.), Alternative Rechtsformen und Altemativen zum Recht, jahrbuch
fur Rechtssoziologie und Rechtstheorie, Vol. VI, (Opladen: Westdeutscher Verlag
1980); Erhard Blankenburg, Walther Gottwald and Dieter Strempel (eds.), AIternativen in der Ziviljustiz. Berichte, Analysen, Perspektiven, (Koln: BundesanzeigerVerl-Ges. 1982); Hellmut Morasch, Schieds- und Schlichtungsstellen in der Bundesrepublik. Praxisanalyse und Perspektiven aus dem Kolloquium des GMD, (Koln: Bunverfahren,

not mean that different possibilities to take legal proceedings must be found
but a search for "alternative"
processes of dispute resolution without the
courts being involved. The focus here is on interventions
by lawyers,8l
through deals in corporations or companies82 or by getting the public to put
pressure upon the actors. At the moment, mediation, which means involving
a neutral mediator to arrive at a solution which both (all) parties can agree
to, is receiving more and more attention also in the area of public administration.s3 Mediation clearly illustrates that, in order to arrive at a solution
which is suitable to all parties, it may be necessary to widen the matter in
dispute - which is usually narrowly defined before the administration
or the

desanzeiger-Verl.-Ges. 1984); Walther Gottwald, Streitbeilegung ohne Urreil. Vermittelnde Konfliktregelung aUtaglicher Streitigkeiten in den Vereinigten Staaten aus rechtsvergleichender Sicht, (Tubingen: Mohr Siebeck 1981). Cf further the summary
by Rohl (n 73 abvoe), at509 et seq. Focusing on administrative science HoffmannRiemfSchmidt-ABmann (n 76 above) and Vol. 2: Konfliktmitteilung im Verwaltungsverfahren, (Baden-Baden: Nomos 1990); Stefan Vetter, Mediation und Vorverfahren. Ein Beitrag zur Reform des verwaltungsgerichtlichen Vorverfahrens, (Berlin:
Duncker & Humblot 2004); Daniel Rapp, Mediation im Verwaltungsrecht: Moglichkeiren der Integration mediativer Elemente in das Widerspruchsverfahren, (diss. iur.,
Tubingen 2004).
81 In general Rainer Wasilewski, Streitverhiitung durch Rechtsanwalre. Empirische UnteTsuchung von Umfang, Struktur und Bedingungen auj3ergerichtlicher Beilegung zivilrechtlicher Streitigkeiten durch Rechtsanwalre, (Koln: Bundesanzeiger 1990). There is
no parallel to the trend observable in the US towards "representation without
litigation" in Germany. This notion stands for the consensual conflict resolution
reached in a process, in which lawyers participate and which is aimed at consensus
and avoidance of engaging the courts.
82 Cf Walther Gottwald and Dieter Strempel (eds.), Streitschlichtung. Rechtsvergleichende Beitrage zur auj3ergerichtlichen Streitbeilegung, (Koln: Bundesanzeiger 1995);
Dorothee Eidmann, Schlichtung. Zur Logik auj3ergerichtlicher Konfliktregelung, (Baden-Baden: Nomos 1994); ]urgen Nautz, Emil Brix and Gerhard Luf (eds.), Das
Rechtssysrem zwischen Staat und ZivilgeselLschaft. Zur Rolle geseUschaftlicher Selbstregulierung und vorstaatlicher Schlichtung, (Wien: Verlag Passagen 2001).
83 Stephan Breidenbach, Mediation. Struktur, Chancen und Risiken von Vermittlung im
Konflikt, (Koln: O. Schmidt 1995); Brina BannenbergfElmar WeitekampfDieter
RossnerfHans-]urgen Kerner, Mediation bei Gewaltstraftaten in Paarbeziehungen,
(Baden-Baden: Nomos 1999). For the public law sector cf: Wolfgang Hoffmann-Riem, Konfliktmittler in Verwaltungsverhandlungen,
(Heidelberg: Muller
1989); id.fSchmidt-ABmann (n 76 and 80 above); Bernd Holznagel, Konfliktl.6sung
durch Verhandlungen, (Baden-Baden: Nomos 1990); Ulrike Russel, Mediation in
komplexen Verwaltungsverfahren, (Baden-Baden: Nomos 2004).

courts - or to integrate other conflicts or levels of conflict. 84 The actual

reality which is important for this "broader" problem may be different from
"the facts of the case" before a court.
The provision of alternatives to traditional dispute resolution has also had
an effect on the work of the administrative courts themselves. Though there
have been opportunities for consensual settlement in court for a long time,85
recently relevant procedural rules have been changed with respect to "alternative conflict solving mechanisms", for instance by introducing or extending obligatory86 or voluntary procedures of settlement which are to be engaged in before going to court.

The rule relevant to the solution of the problem to be solved must be sought
in the specific law which has to be applied and with a view to the decision to
be found in such a way that it can be related to the concrete facts and can be
applied to solve the problem. I call this the "area of search for the scope of
the normative programme".
This area can be subdivided into further sub-areas such as the area of
normative substance in a narrow sense, especially the wording of the norm
and its intentions (1.), the area of reality of the norm (2.), the area of
consequences (3.), but also the area of options (4.).

The content of the norm is symbolised by its wording. Its meaning can
normally only be detected using special techniques of interpretation
and
concretisation of norms. The text of the norm is the best (but not the only)
84

85

86

Cf Wolfgang Hoffmann-Riem, ,Mediation als moderner Weg lOr Konfliktbewaltigung', in: Jurgen Brand and Dieter Strempe1 (eds.), Soziologie des Rechts. Festschrift
fur Erhard Blankenburg zum 60. Geburtstag, (Baden-Baden: Nomos 1998), 649 at
651 et seq., 655 etseq.
On settlement in adminstrative proceedings cf: Manteo Heikki Eisenlohr, Der
Prozessvergleich in der Praxis der Verwaltungsgerichtsbarkeit, (Kbln: Heymann 1998);
Reinhard Franke, Der gerichtliche Vergleich im Verwaltungsprozess. Moglichkeiten,
Grenzen, Forschungsperspektiven,
(Frankfurt am Main: Lang 1996). Allgemein
Walther Gottwald/W. Hutmacher/Klaus F. Rbhl/Dieter Strempe1, Der Prozessvergleich, (Kbln: Bundesanzeiger 1983).
On experience with these procedures cf: Matthias WeiB, ,Erste Zahlen lOr obligatorischen Streitschlichtung', in: Stephan Machura and Stephan Ulbrich (eds.),
Recht - Gesellschaft - Kommunikation, Festschrift fur Klaus F. Rohl, (Baden-Baden:
Nomos 2003), 287 et seq.

medium by which the legislature governs, steers, legitimatises and limits the
conduct of the administration
and others applying the law to whom the
respective statute is addressed. Thus parliament takes political responsibility
for steering. The justification of the administrative
decision by the text of
the norm is an indispensable element of a democratic state governed by the
rule of law.
The legislature is bound to the conventions of language and communication. By referring to specific terms it chooses "abbreviations" and it does not
always regulate everything anew.87 It particularly refers to specific empirical
and normative premises which contribute to the understanding
of the normative text and to its inclusion in other parts of the normative programme.
Mention should be made of the historical and genetic assumptions about
reality to be mastered, but also philosophical, social and legal concepts (e. g.
the liberal model of society) and collective ideals (e.g. justice, fairness,
equality). Furthermore, general ideas and structural principles on the basis
of which the norms have been developed and shall now be effective are also
of importance.88
These indications already reveal that the confrontation
of the traditional
understanding
of administrative
law with new developments
and social

87

88

See e. g. the prescriptive limits in the field of immission control, contained in the
technical directions for the prevention of air pollution (Technische Anleitung zur
Reinhaltung der Luft - TA Lufr) - and for the protection against noise (Technische Anleitung zum Schutz gegen Lirm - TA Lirm). Worth mentioning in this
context is the growing adoption of information technology and communication
technology-based systems of simulation and virtual reality to support decisions,
e. g. in urban land use planning. Furthermore: Dieter Beck/Rudolf Fisch, Entscheidungsunterstiitzende Verfahren fiir polirisch-adminisrrarive Aufgaben, Speyerer Forschungsbericht Vol. 235, (Speyer: Forschungsinstitut fur Offentliche Verwaltung
2005).
A recent example is the fact that recent German environmental legislation has to
be interpreted in the light of the overall concept of sustainable development, cf:
Guy Beaucamp, Das Konzept zur zukunftsfiihigen Entwicklung im Recht. Untersuchungen zur volk.errechtlichen, europarechdichen, verfassungsrechtlichen und verwaltungsrechtlichen Relevanz eines neuen polirischen Leitbildes, (Tubingen: Mohr Siebeck
2002); Ivo Appel, Staadiche Zukunfts- und Entwicklungsvorsorge. Zum Wandel der
Dogmatik des Offentlichen Rechts am Beispiel des Konzepts der nachhalrigen Entwicklung im Umweltrecht, (Tubingen: Mohr Siebeck 2005). On overall concepts as a
perception device for the comprehension and interpretation of normative texts cf:
Susanne Baer, ,Schlusselbegriffe, Typen und Leitbilder als Erkenntnismittel und
ihr Verhaltnis zur Rechtsdogmatik', in: Eberhard Schmidt-ABmann and Wolfgang
Hoffmann-Riem (eds.), Methoden der Verwaltungsrechtswissenschaft, (Baden-Baden:
Nomos 2004), 223 et seq.

change may have consequences for its meaning.89 The findings of socio-Iegal
studies on the relationship between legal norms and social norms,90 on the
conditions of creation and symptoms of decline of law and on the relationship between the law and social change91 point in the same direction.
The traditional methods of interpreting law refer to specific rules of
"search and stop", such as grammatical, historical, systematical, and teleological interpretation,
conclusion by analogy, interpretation
with special
reference to the Constitution etc.92 Currently we can reveal efforts to rethink the range of methods.93 Thus, in particular, historical and teleological
methods have more and more recourse to socio-political concepts of steering
and are forced to cope with changes to them in the course of normative
developments.

The normative programme of administrative law expressed in language, is

related to certain areas of reality in which conflicts may typically arise which
the relevant norm tries to master. As already mentioned, I call this field the
area of reality of the norm.
The relevant factual data must be collected (concretised) and moulded
into language, to make them suitable for normative contexts. It does not
contravene the relevance of the reality of the norm that the "Is", what
89

90
91

92

93

Cf Thomas Raiser, ,Was nutzt die Soziologie dem Recht?', (1970) 25 ]uristenZeitung 665 at 665; also Werner Maihofer (ed.), fde?logie und Recht, (reprint of
Frankfurt 1969) - Goldbach: Keip 1995.
For the sociology of law d the overview in: Raiser (n 73 above), 189 et seq.
On the relationship between law and social change: Wolfgang Friedman, Recht
und sozialer Wandel, (Frankfurt am Main: Europaische Verlagsanstalt 1969); Andreas Heldrich, ,Hochstrichterliche Rechtsprechung als Triebfeder sozialen Wandels', (1972) 3 ]ahrbuch fur Rechtssoziologie 305 et seq.; Gerd Winter, Sozialer
Wandel durch Rechtsnormen. Er6nen an der sozialen SteUung unehelicher Kinder, (Berlin: Duncker & Humblot 1969). On the particular case of constitutional change
d. Brun-Otto Bryde, Verfassungsentwicklung,
(Baden-Baden: Nomos 1982);
Alexander Blankenagel, Tradition und Verfassung. Neue Verfassung und alte Geschichte in der Rechtsprechung des Bundesverfassungsgerichts, (Baden-Baden: Nomos
1987).
On this Rolf Wank, Die Auslegung von Gesetzen. Eine Einfuhrung, (Koln: Heymann
2001); Zippelius (n 5 above); Larenz/Cannaris (n 78 above).
From the perspective of administrative law Eberhard Schmidt-ABmann and Wolfgang Hoffmann-Riem (n 88 above). More general Muller/Christensen
(n 1
above); Phillippe Mastronardi, ]uristisches Denken, (Bern: Haupt, 2nd edition
2003). Aus zivilrechtlicher Sicht siehe Hans-Peter Schwintowski, ]uristische Methodenlehre, (Frankfurt am Main: Verlag Recht und Wirtschaft 2005).

actually is, does not generate the "Shall", what should be. The norm legitimated by the legislature is itself conceived as a transformer, integrating
empirical reality into the normative programme. In that sense the "Shall"
is at least a consequence
of the former "is", what actually was. Without
understanding under which factual assumptions the legislature has construed
its normative programme, the programme can neither be understood nor
applied to solve the problem as intended by the legislature. The normative
concept of the recycling and waste management
statute (Kreislaufwirtschafts- und Abfallgesetz), for instance - with its cornerstones of liability
of those who produce waste, a narrow definition of waste, the principle of
waste prevention etc. - can only be understood by knowing the background
of the legislative assumptions of recycling management.94
At the same time it becomes clear that the actual situation that needs a
solution is only part of the reality which is addressed by the administrative
norm. Looking at the whole area of reality of the norm helps to understand
to which problems the norm must generally be applied and which range of
effects is envisaged. Usually, the actual conflict situation is characterised by a
great number of details. Many of them have to be left aside when applying
the norm, either because they do not belong to the area of reality of this
specific norm or because they are to be considered as legally irrelevant under
the legislative programme. Thus, the colour of the skin of a hijacker is
irrelevant to the police when reacting to that danger - though it may reveal
hints for understanding
the motive etc. If and how far details of the initial
conflict are legally relevant according to the normative programme (as put
in operation by those applying the norm) is to be resolved when applying the
norm by tailoring the facts.
In outlining the area of reality as well as the facts in the actual conflict,
recourse must be had to empirical data.95 This requires suitable methods for
understanding
reality. The typical rules on the finding of facts, in particular
on gathering evidence and determining the probative value of the evidence
as well as on the allocation of the burden of proof, are meant to provide a
manageable approach to reality, but they are only directed towards the individual facts of the case and not towards the broader area of reality of the
norm. Typical forms of evidence - such as witnesses, expert or physical
evidence (Augenscheinbeweis)
- concern (and limit) the available means
of detection. They give only limited information about how to conceive the

94

Cf Hans-Heinrich Trute/Wolfgang Denkhaus/Doris Ktihlers, Regelungsstrukturen

der Kreislaufwirtschaft

95

zwischen

kooperativem

Umweltrecht

(Baden-Baden: Nomos 2004).

Cf Klaus ]urgen Philippi, TatsachenfeststeUungen
Beitrag zur rarional-empirischen

(Kaln: Heymann 1971).

Fundierung

und Wettbewerbsrecht,

des Bundesverfassungsgerichts.

verfassungsgerichtlicher

Ein

Entscheidungen,

area of reality of the norm. For instance, an analysis by experts96 might be a

suitable instrument for that, but never a witness.
The methods to perceive reality and, above all, the methods to ensure that
the information supplied is suitable (reliable, valid etc.) are neither prescribed nor envisaged in the administrative
legal system nor in German law in
general, nor does it result from the general rules on the methods of application of the law. The methods of empirical research developed by the social
sciences97 would be a possible approach towards analyzing the reality to be
administered.98 They are used by research which tries to learn more about
legally relevant facts (Rechtstatsachenforschung).99
It is impossible gener-

96
97

98

99

Cf Rehbinder (n 73 above), It.

On these methods: Jurgen Friedrichs, Methoden empirischer Sozialforschung, (Opladen: Westdeutscher Verlag, 15th edition 1999); Helmut Kromrey, Empirische 50zialforschung, Modelle und Methoden der standardisierten Datenerhebung und Datenauswertung, (Opladen: Leske + Budrich, 10th edition 2002); Rainer Schnell/Paul
Bernhard Hill/Elke Esser, Methoden der empirischen Sozialforschung, (Munchen:
Oldenbourg, 7th edition 2005).
Generally on the use of social scientific methods in the context of the application
of law see: Erhard Blankenburg (ed.) Empirische Rechtssoziologie, (Munchen: Piper
1975); Johann Josef Hagen/Nikolaus Dimmel, Soziologie fur juristen. Eine Einfuhrung in die spezielle Soziologie, (Graz: Neugebauer, 5th edition 1994); Ulrich Becker
and Werner Thieme (eds.), Handbuch der Verwaltun~, Vol.l, (Koln: Heymanns
1978). An example from the administrative jurisdiction is: Administrative Court
of Berlin (YG Berlin), Judgement from 1 December 2000, reference number YG
35 A 570/99: The court held: In order to put the elements of the norm "Public
order" and "Immorality" into concrete terms, thus to determine the recognised
moral concept of society, the judge's personal moral view cannot be considered as
relevant. Such determination must instead be made by acquiring objective empirical evidence. For this, it may be necessary to obtain information on jurisdiction, the practice of public administration, media reaction and (limited) demoscopic inquiries, but also statements by experts and democratically legitimised
public agencies and authorities.
Cf the "classic" Arthur NuBbaum, Die Rechtstatsachenforschung. Programmschriften
und praktische Beispiele, (Berlin: Duncker & Humblot 1968); Aristide Chiotellis
and Wolfgang Fikentscher (eds.), Rechtstatsachenforschung. Methodische Probleme
und Beispiele aus dem Schukl- und Wirtschaftsrecht, (Koln: O. Schmidt 1985); Wolfgang Heinz (ed.), Rechtstatsachenforschung heute, (Konstanz: Hartung-Gorre, 2nd
edition 1998); Dieter Strempel, ,Rechtstatsachenforschung und Rechtspolitik',
(1984) 17 Zeitschrift fur Rechtspolitik 195 et seq. On the current status of discussion
of this research cf Andreas VoBkuhle, ,Verwaltungsdogmatik und Rechtstatsachenforschung - Eine Problemskizze', (1994) 85 Verwaltungs-Archiv 567 et seq.

ally, however, to use these methods in an actual decision-making

process of
the administration
or a court. This is due to the shortage of resources (manpower, time and money), but also because of the lack of competence of the
decision makers to undertake socially scientific analysis.lOo Above all, the
methods of empirical social research are not adjusted to the special needs
related to the application of law.
In my opinion, there is no requirement
in the legal system, even with
respect to the government, to remove this deficit by an obligatory training of
lawyers in the social sciences.lOl Nonetheless, legal practice needs methods of
access to knowledge of other sciences but also methods to clarify when and
how empirical data might be used.lOI What is needed is trans- and interdisciplinary openness. The knowledge and use of transdisciplinary
competence103 is more easily achieved than the ability to apply and handle the
methods of empirical social research as developed in the neighbouring sciences. On the other hand, such an openess must be compatible with the
desire for disciplinary identity,l04 for lawyers especially the focus must be on
the impact of legal rules and on the creation of legally accepted effects.

100
101

102

!O3

104

As an example with regard to public administration cf: Bruno Bartscher, Der

Verwaltungsvertrag in der Behdrdenpraxis, (Konstanz: Hartung-Gorre Verlag 1997),
9 et seq.; Volker Schlette, Die Verwaltung aLs Vertragspartner, (TUbingen: Mohr
Siebeck 2000), 235 et seq.; Barbara Remmert, Private Dienstleistungen in staatlichen
Verwaltungsverfahren, (TUbingen: Mohr Siebeck 2003), III et seq.
Cf also: Rehbinder (n 73 above), 28 et seq.
On the significance of social sciences in the training of lawyers cf the articles in
Winfried Hassemer, Wolfgang Hoffmann-Riem and jutta Limbach (eds.), Juristenausbildung zwischen Experiment und Tradition, (Baden-Baden: Nomos 1986);
Dieter Strempel (ed.), Juristenausbildung zwischen Internationalitat und Individualitat.
Auch ein Problem der Gesetzgebung, (Baden-Baden: Nomos 1998); Heinz Giehring
et at. (eds.), Juristenausbildung - emeut uberdacht. Erfahrungen aus der einstufigen
Juristenausbildung aLsGrundlage fur eine weiterhin anstehende Reform, (Baden-Baden:
Nomos 1990).
On respective concepts in a German-American comparison cf: Lepsius (n 72), 1 et
seq.
The works edited by Grimm (n 13 above) und Hoffmann-Riem (n 14 above),
focused on the teaching of those competences. On the latter cf the respective
volumes Winfried Hassemer (ed.), Sozialwissenschaften im Strafrecht. Faile und
Losungen in Ausbildung und Prufung, (Neuwied: Luchterhand 1984), and Rainer
Walz (ed.), Sozialwissenschaften im Zivilrecht, (Neuwied: Luchterhand 1983).
On monodisciplinarity as a basis for interdisciplinarity cf: Roland Czada, ,Disziplinare Identitat als Voraussetzung interdisziplinarer Verstandigung', in: Bizer/
FUhr/HUttig (n55 above), 23 et seq.

Those who apply the law tend to help themselves regularly by having
recourse to everyday theorylO5 - as sociology has also analysedlO6 - or by
having recourse to the institutional experience of the organisation to which
they belong.107 This approach should not be rejected out of hand. Nobody
can find his way in life without being guided by everyday theory, not even
social scientists.108 As far as lawyers are concerned, the impact of assumptions of everyday theory might be even stronger on the level of the decision
making process than on the level of presentation
when justifying administrative decisions to third parties such as the courts.
The assumptions of everyday theories could at least be subjected to a test
of plausibility - e. g. by establishing a feedback to results and theoretical
concepts in comparable fields. It should aim at the highest, theoretically
reflected, plausibility of such assumptions.109 The risk of empirical errors can
be reduced if transparency is established with respect to the use of everyday
theories: they become debatable and may be criticiced. The control over
assumptions of everyday theory is also a task for jurisprudence. It is, however,
noteworthy that administrative
science as well as sociology of law have only
rarely addressed this subject of practical importance.110

105

106

107
108

109

110

Cf Jurgen Burkle, Richterliche Alltagstheorien im Bereich des Zivilrechts. Mit einer

Analyse amtsrichterlicher Urteile in Zivilsachen zu richterlichen Theorien fur die Glaubhaftigkeitsbeurteilung von Zeugenaussagen, (Tubingen: Mohr Siebeck 1984).
Cf Karl-Dieter Opp, Soziologie im Recht, (Reinbek: Rowohl~ 1973),49 et seq., 55 et
seq.
On the relevance of administrative cultures cf the references in n 148 below.
Incidentally, everyday theory is an essential element of different social scientific
approaches, in particular of the ethno-methodology. On it: Harald Garfinkel,
Studies in Ethnomethodology, (Cambridge: Polity Press, reprint 2004). Siehe femer
die Beitrage in Arbeitsgruppe Bielefelder Soziologen (ed.), Alltagswissen, Interaktion und gesellschaftliche Wirklichkeit, Vol. 1: Symbolischer Interaktionismus und Ethnome thodologie , und Vol. 2: Ethnotheorie und Ethnographie des Sprechens, (Reinbek:
Rowohlt 1973): Elmar Weingarten, Fritz Sack and Jim Schenkein (eds.), Ethnomethodologie. Beitriige zu einer Soziologie des Alltagshandelns, (Frankfurt am Main:
Suhrkamp 1976).
Rightly opposing the uninformed and uncritical adoption of theories into jurisprudence: Andreas VoBkuhle, ,Methode und Pragmatik im offentlichen Recht', in:
Hartmut Bauer et al. (eds.), Umwelt, Wirtschaft und Recht, Wissenschaftliches Symposium aus Anlass des 65. Geburlstages von Reiner Schmidt, (Tubingen: Mohr Siebeck 2000), 171 at 182 et seq.
The term 'everyday theory' (Alltagstheorie) does not (or only marginally) appear
in the index of the standard textbooks on sociology of law by Raiser, Rohl and
Rehbinder (n 73 above).

Applying administrative
law is normally aimed at causing effects. These can
concern the level of the application of law itself - e. g. a policeman giving a
certain order -, the empirical reality - e. g. addressees of an order behave in
the way intended to prevent the enforcement of the order - or both levels.
Nevertheless, the legal system does not consider all kinds of consequences as
relevant to the law. Thus, it has to be clarified which empirical consequences
to be expected of the administrative
act are normatively relevant and if and
to what extent consequences of the consequences would also be considered
to be important. III
Recently, a terminology taken from microeconomics
has begun to establish itself for the different dimensions of consequences: output, impact, and
outcome.ll2 When applying the law it must be resolved whether the legal
norm only considers the result of the decision (output) as legally relevant, or
whether the effects of a decision on the addressees or on third parties are also
important (impact), or whether even general and long term consequences in
the social area concerned including giving a precedent for later decisions,
might or should be considered (outcome). The argument of consequences
refers to the necessity to integrate experience in order to forecast future

III

112

Georg Hermes, ,Folgenberucksichtigung in der Verwaltungspraxis und in einer

wirkungsorientierten Verwaltungsrechrswissenschaft', in: Schmidt-ABmann/Hoffmann-Riem (Fn. 88),359 et seq. In general on the orientation on consequences
inter alia Thomas W. Walde, juristische Folgenarientierung. "policy analysis" urul
Sozialkybemetik, (Kbnigstein/Taunus: Athenaum 1979); Martina Renate Deckert,
Folgenorientierung in der Rechtsanwerulung, (Munchen: Beck 1995); Gunter Teubner (ed.), Entscheidungsfolgen als Rechtsgrunde. Folgenorientiertes Argumentieren in
rechtsvergleichender Sicht, (Baden-Baden: Nomos 1995); Christina Coles, Folgenorientierung im richterlichen Entscheidungsprozess. Ein interdisziplindrer Ansatz, (Frankfurt am Main: Lang 1991). On the social scientific discussion about consequences
cf the articles in Karl-Peter Sommermann (ed.), Folgen von Folgenfarschung. Farschungssymposium anliisslich der Emeritierung von Universitiitsprofessar Dr. Carl Bohret am 16./ 17.November 2001, (Speyer: Forschungsinstitur fur Offentliche Verwaltung 2002). General scepticism of the consideration of consequences in the field
of law expresses N iklas Luhmann, Rechtssystem urul Rechtsdogmatik, (Stuttgart:
Kohlhammer 1974),31 et seq.
On these terms, which are not always used in the same way: Frank Nullmeier,
'Outpout-Steuerung und Performance-Measurement', in: Bernhard Blanke, Stephan von Bandemer, Frank Nullmeier and Gbttrik Wewer (eds.), Handbuch zur
Verwaltungsreform, (Wiesbaden: Verlag fur Sozialwissenschaft, 3rd edition 2005),
431 et seq.; The terms outcome and impact are partly used in contrast to the way
they are used in the text.

developments on that basis.ll3 In social sciences, the relationship between

observation, explanation and prognosis has been an important object of
research for a long time.114

If the solution to a social problem is sought by considering and applying

norms of administrative law, this already implies a choice of alternatives: the
option of non-compliance with the norm is rejected. The frequency of noncompliance and the elaboration of its determining factors is a traditional
field of socio-legal studiesl15 and - as far as the implementation
of administrative law is concerned - also of the administrative sciences.116 In particular the fields of environmental,
social security and tax law have been
examined whether and why administrative actors entrusted with implementing the statutes neglected more often than assumed a strict application of the
legislative prescriptions (research into implementation).ll7
113

114

llS

116

On real-world experiments cf:. Matthias GroB/Holger Hoffmann-Riem/Wolfgang

Krohn, Realexperimente. Okologische Gestaltungsprozesse in der Wissensgesellschaft,
(Bielefeld: transcript Verlag 2005): Holger Hoffmann-Riem, Die Sanierung des
Sempachersees. Eine Fallstudie uber iikologische Lemprozesse, (Munchen: oekom
2003).
Cf Hans Albert (ed.), Theorie Urul Realitiit. Ausgewiihlte Aufsiitze zur Wissenschaftslehre der Sozialwissenschaften, (Tubingen: Mohr Siebeck, 2nd edition 1972); Arthur Kuhn, Das Problem der Prognose in der Soziologie, (Be~lin: Duncker & Humblot 1970); Gerhard Schurz (ed.), Erkliiren Urul Verstehen in der Wissenschaft,
(Munchen: Oldenbourg 1988).
Cf inter alia Andreas Diekmann, Die Befolgung von Gesetzen. Empirische Untersuchungen zu einer rechtssoziologischen Theorie, (Berlin: Duncker & Humblot 1980);
Christian Ludemann, ,Die Befolgung von Gesetzen', (1998) 20 Zeitschrift fur Rechtssoziologie 116 et seq.; Baehr (n47 above), 25 et seq. The studies on erosion of
norms (Normenerosion) (cf Monika Frommel and Volkmar Gessner (eds.), Normenerosion, (Baden-Baden: Nomos 1996), belong here as well as the studies on
reduction of the relevance of norms to 'useful illegality' (Reduktion der Normenerheblichkeit auf brauchbare Illegalitat), in particular in the organisational context (on the notion "'useful illegality' ("Brauchbare lllegalitat") and ist evaluation
cf Niklas Luhmann Funktionen und Folgen formaler Organisation, (Berlin: Duncker
& Humblot 1964), 304 et seq.). Cf further Gunther Ortmann, Regel und Ausnahme. Paradoxien sozialer Ordnung, (Frankfurt am Main: Suhrkamp 2003), in
particular 189 et seq.
Renate Mayntz/Christa Lex, ,Voraussetzungen und Aspekte administrativer Praktikabilitat staatlicher Handlungsprogramme', in: Bundesministerium des Innem
(ed.), Schriftenreihe Verwaltungsorganisation, Vol. 6, (Bonn: Bundesministerium des
Innem 1982): Schuppert (n 29 above), 492 et seq.

The application of the law comprises the normatively directed choice of

an alternative suitable for problem solution (decision). Insofar as the normative programme is not limited to a single legal consequence, options are
provided for. Option-oriented
lawll8 requires the elaboration of possible options and the development of criteria for the choice of options. Establishing
the feedback with the area of problem setting and solving (above 1.) the
following statement can be made: presumably, the better adapted the option
chosen is to the social problem to be solved and to the different interests
concerned, the better a conflict will be mastered. The possible options may
also include choosing an alternative to formal implementation
of the lawl19
l2O
(such as through the courts), e.g. mediation.

The administration
is regularly confronted with the task to actually decide a
given case. In this respect, it has to link the problem in need of a solution
with the prescriptions of the normative programme to be applied and thus to
relate both areas to each other. This, in turn, is not done outside any context, but within a specific situational, organisational,
procedural, financial,
personal and therefore also interactive framework, which may have an influence on the procedure and result of decision. This influence is principally
legitimised by the democratic legislature, if it accepts the relevance of the
context. Its relevance and effects are especially influenced by administrative
procedure and organisation, but also by the law of the civil service and by
budgetary law. Knowing the impact of the contextual factors on the decision

It7

1I8

1I9

l20

Renate Mayntz, Vollzugsprobleme der UmweltpoUtik. Empirische Untersuchung der

Implementation von Gesetzen im Bereich der Luftreinhaltung und des Gewiisserschutzes,
(Stuttgart): Kohlhammer 1978); Gertrude Lubbe-Wolff, ,Vollzugsprobleme der
Umweltverwaltung', (1993) 15 Natur und Recht 217 et seq. On the consequences
on the application of law Eberhard Schmidt-ABmann, ,Gefahrdungen der Rechtsund Gesetzesbindung der Exekutive der Exekutive', in: Joachim Burmeister (ed.),
VerfassungsstaatUchkeit, Festschrift fur Klaus Stem zum 65. Geburtstag, (Munchen:
Beck 1997), 745 at 748.
Cf Andreas VoBkuhle, Das Kompensationsprinzip. Grundlagen einer prospektiven
Ausgleichsordnung fur die Folgen privater Freiheitsbetiitigung - zur Flexibilisierung des
Verwaltungsrechts am Beispiel des Umwelt- und Planungsrechts, (Tubingen: Mohr
Siebeck 1999), 206 et seq., 312 et seq.; Wolfgang Hoffmann-Riem, ,Von der
Antragsbindung zum konsentierten Optionenermessen', (1994) 109 Deutsches Verwaltungsblatt 605 et seq.
Cf n 80 above.
Cf n 83 above.

the legislator au tho rises the deciding entities through these general framework conditions to decide.
The process of decision-making becomes more easily understood, if different segments of framework conditions are identified. Of great importance
are:
the area of organisation,
- the area of procedure,
the area of personnel, and
the area of budget.
There are many opportunities to connect these four areas with administrative scientific research, which can only be referred to in brief outline.1Zl The
factors "personnel" and "organisationfprocedure"lzz
are particularly relevant
to the process and the result of the application of the law. When considering
the importance of the steering factor "personnel", one has to survey how the
recruitment, the education and advanced training and the actual assignment
influences the decision: the actors have recourse to their particular experience and to their intemalised values when deciding. They may also be
anchored in certain social conditions of conflict solving.1z3 In this consideration one can include results of the traditional research carried out under
the headings of personnel management and personnel policy.lz4 General
research in sociology on the impact of recruitment and training1Z5 is also
important.
121

122

123

124

125

Schuppert (n 29 above), 625 et seq., 698 et seq., 772 et seq. and 831 et seq., with
further references.
Cf Decisions of the Bundesverfassungsgericht, Entscheidungen des Bundesverfassungsgerichts 53, 30, 57 et seq., 60 et seq., 71 et seq. and Gralf-Peter Calliess,
Prozedurales Recht, (Baden-Baden: Nomos 1999); Schuppert (n29), 788 et seq.,
805 et seq.; Wolfgang Hoffmann-Riem and Eberhard Schmidt-ABmann (eds.),
Verwaltungsverfahren
und Verwaltungsverfahrensgesetz,
(Baden-Baden: Nomos
2002).
Schuppert (n 29 above), 625 et seq. The literature on the dependence of the
application of law upon the social stratum or even class justice ("Klassenjustiz")
turns its attention to the latter; cf: Ernst Fraenkel, Zur Soziologie der Klassenjustiz,
(Darmstadt: Wissenschafdiche Buchgesellschaft 1927, reprint 1968); Rolf Geffken, Klassenjustiz, (Frankfurt am Main: Verlag Marxistische Blatter 1972); Theo
Rasehorn, Recht und Klassen, (Neuwied: Luchterhand 1974).
Renate Mayntz, Soziologie der 6ffenclichen Verwaltung, (Heidelberg: MUller, 4th edition 1997), 135 et seq.; PUttner (n 27 above), 186 et seq.; Rainer Pitschas, ,Verwaltungsmodernisierung, Dienstrechtsreform und Neues Personal management',
(1999) 32 Die Verwaltung 1 et seq.
Cf also Klaus Zwingmann, Zur Soziologie des Richters in der Bundesrepublik Deutschland, (Berlin: de Gruyter 1966); Walther Richter, Zur soziologischen Struktur der
deutschen Richterschaft, (Stuttgart: Enke 1968); Peter Kauffmann, Zur Konstruktion

With respect to the relevant organisation within which solutions to problems are sought, research has in particular elaborated the difference between formal and informal organisation
of decision.126 Furthermore:
the
organisation
of public authorities, implicit knowledge of the organisation,
the kind of (co- )operation of state and non-state actors and the like influence the procedures and results.
Research into the influence of personnel, procedure and organisation can
in particular be related to "legal staff', those actually applying the law: civil
servants and employees within the civil service,127 but also lawyers128 and
judges.129 It can also be related to the actors in legal academia, who may
influence the systematisation
of the law and the elaboration of jurisprudential structures as well as certain results of interpretation.
To understand the

des Richterberufs durch Richterleitbilder. Eine empirische Untersuchung, (Frankfurt am

Main: Lang 2003). Cf also the references in n 127 and 128 above.
126Cf Amitai Etzioni, Soziologie der Organisationen, (Munchen: Juventa-Verlag, 3rd
edition 1971), 69 et seq.; Luhmann (n 115 above) as well as the articles in Erhard
Blankenburg and Klaus Lenk (eds.), Organisation und Recht. Organisatorische Bedingungen des Gesetzesvollzugs. ]ahrbuch fur Rechtssoziologie und Rechtstheorie,
Vol. VII, (Opladen: Westdeutscher Verlag 1980).
127Gottfried Herlig, ,Personalwirtschaft', in: Kbnig/Siedentopf (ed.) (n30 above),
559 et seq.; Detlef Merten/Rainer Pitschas/Matthias Niedobitek, Neue Tendenzen
im offentlichen Dienst, Speyerer Forschungsberichte Vol.J89 , (Speyer: Forschungsinstitut fur Offentliche Verwaltung, 2nd edition 1999); Landesregierung NordrheinWesrfalen, Zukunft des offentlichen Dienstes - offentlicher Dienst der Zukunft. Bericht
der von der Landesregierung Nordrhein-Westfalen eingesetzten Kommission, (2003,
>http://www.modeme-verwaltung.nrw.de/data/
bestell/pdf /1084981037 -5714114.
pdf< (as at 12th of April 2005). Speziell zur Polizei etwa Johannes Feest and
Rudiger Lautmann (eds.), Die Polizei, Soziologische Studien und Forschungsberichte,
(Opladen: Westdeurscher Verlag 1971); Manfred Brusten, Johannes Feest and
Rudiger Lautmann (eds.), Die Polizei, eine Institution offentlicher Gewalt. Analysen,
Kritik, empirische Daten, (Neuwied: Luchterhand 1975).
128Christoph Hommerich, Die Anwaltschaft unter Expansionsdruck. Analyse der Berufssituation junger Rechtsanwiiltinnen und Rechtsanwiilte, (Kbln: Bundesanzeiger
1988); Carola Schumann, ,Anwaltliche Rechtsproduktion als Aushandlungsprozess', in: Bryde/Hoffmann-Riem (n 77 above), 39 et seq.; Christoph Hommerich/
Hanns Prutting, Das BerufsbikJ. des Syndikusanwalts, (Bonn: Deutscher Anwaltverlag 1998); Knut Jungjohann/Reinhart W. Wettmann, Inanspruchnahme anwaltlicher Leistungen. Zugangsschwellen, Beratungsbedarf und Anwaltsimage, (Kbln: Bundesanzeiger 1989); Wasilewski (n81 above); Thomas Roethe, Strukturprinzipien
professionalisierten anwaltlichen Handelns. Eine hermeneutische Rekonstruktion anwaltlicher Scheidungsberatungen, (Baden-Baden: Nomos 1994).
129Cf the references in n 125 above.

conduct of such actors, research into the sociology of science becomes important.
Single facets of the scope of decision are also relevant from a perspective
of science of steeringYo Thus, all legally relevant factors of steering can be
integrated into the analysis. These factors of steering can be particularly
important, if steering is not only related to complying with legal limits but
also to orientation towards creative elements of suitability of aims and optimisation of interests and to other overall objectives, such as a sound management of resources (including efficiency),Ul the assurance of acceptance 132
and the suitability of implementation133
and the likeY4 Especially in public
130

131

132

133

134

On the possible connection between the science of steering and the research on
governance cf: Hoffmann-Riem (n54 above).
Wolfgang Hoffmann-Riem and Eberhard Schmidt-ABmann (eds.), Effizienz als
Herausfarderung an das Verwaltungsrecht, (Baden-Baden: Nomos 1998). In general
Horst Eidenmuller, Effizienz als Rechtsprinzip. Maglichkeiten und Grenzen der akonomischen Analyse des Rechts, (Tubingen: Mohr Siebeck 1995); Schafer/Ott
(n66).
Cf Doris Lucke, Akzeptanz. Legitimitiit in der "Abstimmungsgesellschaft", (Opladen:
Leske + Budrich 1995); Thomas Wurtenberger, Die Akzeptanz von Verwaltungsemscheidungen, (Baden-Baden: Nomos 1996). In the past already Niklas Luhmann,
Legitimation durch Verfahren, (Neuwied: Luchterhand 1969).
Mayntz (n 117 above); id. (ed.) Implementation politischer Programme, Vol. I: Empirische Farschungsberichte, 1980, and Vol. 2: Ansatze zur Theoriebildung, (Opladen:
Westdeutscher Verlag 1983); Hellmut Wollmann (ed.), Politik im Dickicht der
Burokratie. Beitrage zur Implementationsfarschung, (Opladen: We'stdeutscher Verlag
1980); Dieter Grimm (ed.), Wachsende Staatsaufgaben - sinkende Steuerungsfahigkeit
des Rechts, (Baden-Baden Nomos 1990); Thomas Raiser and Rudiger Voigt (ed.),
Durchsetzung und Wirkung von Rechtsemscheidungen. Die Bedeutung der Implementations- und der Wirkungsfarschung fur die Rechtswissenschaft, (Baden-Baden: Nomos
1990); Hagen Hof and Gertrude Lubbe- Wolff (eds.), Wirkungsfarschung zum Recht,
Vol. 1: Wirkungen und Erfolgsbedingungen von Gesetzen, (Baden-Baden: Nomos
1999); Hermann Hill and Hagen Hof (eds.), Wirkungsforschung zum Recht, Vol. 2:
Verwaltung als Adressat und Akteur, (Baden-Baden: Nomos 2000); Leonie Breunung, Die Vollzugsarganisation als Entscheidungsfaktar des Verwaltungshandelns. Eine
empirische Unrersuchung zum "vereinfachten Genehmigungsverfahren"
nach dem
BImSchG, (Baden-Baden: Nomos 2000). Cf further Wolfgang Hoffmann-Riem,
,Zur notwendigen Verbindung von Rechtssoziologie und Implementationsforschung', in: id. et at. (eds.), Rechtssoziologie in der Deutschen Demokratischen Republik und in der Bundesrepublik Deutschland, (Baden-Baden: Nomos 1990), 126 et
seq.
On the different dimensions of rightness d: Wolfgang Hoffmann-Riem, ,Methoden einer anwendungsorientierten Verwaltungsrechtswissenschaft', in: SchmidtABmann/Hoffmann-Riem (n89 above), 9 at 46 et seq.

administration
with its for the most part complex relationship
tion and coordination,
structures and processes of interaction
cular importance.135

of co-operaare of parti-

It is important for the application of law as well as for administrative

sciences
not only to know whether and how intended effects can be achieved, but
also whether unintended or even dysfunctional side effects are created.136 In
that sense it is not only important to find out which consequences have to be
considered (area of normatively relevant consequences), 137but also which
consequences really arise (area of effects).
It is an essential question of socio-legal research, if and to what extent law
influences behaviour,138 including the sub-question which incentives might
be beneficial.139 In this context, but separately, the question needs to be
asked, whether the effects expected by the legal norms really arise. Sociolegal research on the effectiveness of the lawl40 has taken this view for a long
135On cooperarive acrion, in particular in public administration cf: Arthur Benz,
Kooperarive Verwaltung. Funkrionen, Voraussetzungen und Folgen, (Baden-Baden:
Nomos 1994) with further references. On the risks of such conduct cf: id. and
Ulrich von Alemann (eds.), Zwischen Kooperation und Korruption. Abweichendes
Verhalten in der Verwaltung, (Baden-Baden: Nomos 1992) as well as the references
in n 39 above.
136A reaction to this is the demand for an assessment of the consequences of laws
(Gesetzesfolgensabschatzung). Cf Carl Bohret/Werner Hugger, Tesr und Prufung
von Gesetzenrwurfen. Anleirungen zur Vorabkonrrolle und Verbesserung van Rechrsvorschrifren, (Koln: Heymanns 1980); Wolfgang Zeh, ,Gesetzesfolgenabschatzung',
in: Werner Jann et at. (eds.), Polirikund Verwalrung auf dem Weg in die rransindustrie/le Gesellschaft. Carl Bohrer zum 65. Geburtstag, (Baden-Baden: Nomos 1998),
365 er seq.
Thereto part 2. c) above.
138On a theory of law related to conduct (Verhaltenstheorie des Rechts) cf: for the
recent literature: Martin Fiihr, Eigen-Verantworrung im Rechrssraat, (Berlin: Duncker & Humblot 2003); with further refences Hof (n55 above); Baehr (n47
above), 44 et seq., 52 et seq.
139Suggestions can also be found in institutional economics, cf the references in n 59,
63 and 64. On the capacity of economics in the application of law to influence
conduct (verhaltensteuernde Rechtsanwendung) see also: Janson (n66).
140 Cf Manfred Rehbinder and Helmut Schelsky (eds.), Zur Effekriviriirdes Rechrs,
}ahrbuch fur Rechrssoziologie und Rechrstheorie, Vol. Ill, (Dusseldorf: Bertelsmann
Universitats-Verlag 1972); Klaus F. Rohl, ,Rechtsgeltung und Rechtswirksamkeit',
(1971) 26 }uristen-Zeitung 576 et seq.; Rainer Holtschneider, Normenflut und
137

time. It has also been asked to what extent special instruments of implementation can be applied and can help to cause the intended consequences,
such as the application of means of control or of positive and negative
sanctions.\4\ The afore-mentioned
research into implementation\4Z in administrative sciences has particularly ana lysed to what extent there are
deficits of implementation
and how the legal system deals with them. The
starting point was the discussion about deficits in implementing environmental law. The study of implementation
tried to detect the course of the
decision-making process especially within the administration, the impact of
different factors of decision and the interaction between the normative
programme and results achieved, but also the kind of preparation of the
norms and their application, and to elaborate models of explanation with
sufficient complexity. In this respect, pre-effects of decisions and their implementation on later decisions were analysed.14J Furthermore, the perspective of implementation was not only related to the implementation of actual
decisions, but focused more comprehensively on the importance of the general likelihood of implementation.
If one is to assume responsibility for consequences, it is particularly important to understand how consequences are created. The change in focus is
expressed by the replacement of research limited to the result of technology
in recent years by research into the genesis of technology.\44 A parallel for

141

142
143
\44

Rechtsversagen. Wie wirksarn sind rechtliche Regelungen?, (Baden-Baden: Nomos

1992); Thomas Gawron/Ralf Rogowski, ,Effektivitat, Implementation und Evaluation. Wirkungsanalyse am Beispiel von Entscheidunge~ des Bundesverfassungsgerichts', (1996) 17 Zeitschrift fur Rechtssoziologie 177 et seq.; Baehr (n47 above),
25 et seq. Cf further Hagen Hof and Gertrude Li.ibbe-Wolff (eds.), Wirkungsforschung zurn Recht I. Wirkungen und Erfolgsbedingungen von Gesetzen, (Baden-Baden:
Nomos 1999); Hans-Hermann Hill and Hagen Hof (eds.), Wirkungsforschung zurn
Recht II. Verwaltung als Adressat und Akteur, (Baden-Baden: Nomos 2000); Hagen
Hof and Martin Schulte (eds.), Wirkungsforschung zurn Recht III. Folgen von Gerichtsentscheidungen, (Baden-Baden: Nomos 2001); Ulrich Karpen and Hagen Hof
(eds.), Wirkungsforschung zurn Recht IV Moglichkeiten einer Institutionalisierung der
Wirkungskonrrolle von Gesetzen, (Baden-Baden: Nomos 2003) as well as Hellmut
Wollmann, ,Evaluation von Folgenforschung', in: Karl-Peter Sommermann (ed.),
Folgen von Folgenforschung, (Speyer: Forschungsinstitut fur Offendiche Verwaltung
2002), 56 et seq. Cf. also the references in n 117 above.
On this R6hl (n 74 above), 229 et seq.; Baehr (n48 above), 30 et seq., 55 et seq.
and passim.
Cf the references in n 117 and 133 above.
On this part 4. below.
Cf Werner Rammert, Entstehung und Entwicklung der Technik - Der Stand der
Forschung zur Technikgenese in Deutschland, (1992) 32 Journal fur Sozialforschung
177 et seq.; id. and Gotthard Bechmann (eds.), Technik und Gesellschaft, Vol. 7:

those applying the law is when they attempt to carry out a precautionary,
accompanying
and follow-up analysis of consequences
which discloses opportunities for learning as well as for intervention
in the course of consequences.

Decisions by single administrative

entities are also influenced by the existence of a controlling entity. Such authorities are not only the courts and
special authorities of control within the administration
but also the general
public.145
Insofar as state institutions are vested with control functions, one has to
bear in mind that they are using the legal norm as a standard for control and
thus partly with a different emphasis from using it as a norm steering behaviour.146 In legal reasoning the main effort made by administrators
is to make
decisions resistant to appeal. Consequently, the effort to look for acceptance
by those concerned by administrative acts is often less significant - though it
may be of great importance that the procedure is looked on as fair and that
there is a chance for acceptance of the result, which may be a prerequisite for
implementation.

Law and legal practice are interlinked in a recursive process of learning.147

The actors acquire know-how in particular when they decide specific cases.
Insofar as we are dealing with organisations, learning can be integrated into
the knowledge structure of an organisation, e. g. into the informal adminis-

145

146

147

Konstruktion und Evolution von Technik, (Frankfurt am Main: Campus Verlag

1994).
Cf Detlef Frehsee, Gabi Loschper and Karl F. Schumann (eds.), Strafrecht, soziale
Kontrolle, soziale Disziplinierung, jahrbuch zur Rechtssoziologie und Rechtstheorie,
Vol. 15, (Opladen: Westdeutscher Verlag 1993).
On the difference between norms as norms steering behaviour and norms to
control ef: Robert Alexy, ,Verfassungsrecht und einfaches Recht - Verfassungsgerichtsbarkeit und Fachgerichtsbarkeit', (2002) 61 Veroffentlichungen der Vereinigung
der Deutschen Staatsrechtslehrer 7 et seq.
On those links in general ef: Wolfgang Krohn, ,Rekursive Lemprozesse', in: Werner Rammert and Gotthard Bechmann (eds.), Technik und Gesellschaft, Vol. 9:
Innovation - Prozesse, Produkte, Politik, (Frankfurt am Main: Campus Verlag 1997),
65 et seq.

trative cultures.148 Know-how can also be institutionalised, e. g. by the design

of administrative circulars.
The legal relevance of the area of learning is recognised by the legal
system, e. g. by the fact that many statutes provide for evaluation, improvement and revision.!49 The application of knowledge is connected to the
acquisition of knowledge. Accordingly, there is literature on "learning
law" .l50 A potential for learning is to be found in particular in those decisions
that have a precedential effect and that may often act as an example. IS!We
should bear in mind that decisions of highest federal authorities, such as the
federal antitrust authority, as well as the most important decisions of administrative courts, in particular of the Bundesverwaltungsgericht
(federal administrative court1S2) are regularly published. In that respect research into
the effectiveness of Anglo-Saxon case law becomes more and more important for an understanding of the German legal system.

148

149

150

151

152

Cf Werner Jann, Staatliche Programme und "Verwaltungskultur".

Bekampfung des
Drogenmif3lYrauchs und der ]ugendarbeitslosigkeit in Schweden, Groj3britannien u. der
Bundesrepublik Deutschland im Vergleich, (Opladen: Westdeutscher Verlag 1983);
Sebastian Schuh, Organisationskultur. Integration eines Konzepts in die empirische
Forschung, (Wiesbaden: Deutscher Universirats-Verlag 1989); Martin Staab, ,Verwaltungskultur im Wandel der Staatsfunkcionen', (1995) 41 Verwaltungsrundschau
12 K and the conceptual considerations by Sven Rbmer-Hillebrecht, Verwaltungskultur. Ein holistischer Modellentwurf administrativer Lebensstile, (Baden-Baden: Nomos 1998).
Cf Werner Bernd, Legislative Prognosen und Nachbesserungspflichten, (diss. iur.,
Mainz 1989); Stefan Huster, ,Die Beobachtungspflicht des Gesetzgebers', (2003)
24 Zeitschrift fur Rechtssoziologie 3 et seq.
Cf Karl-Heinz Ladeur, Postmoderne Rechtstheorie. Selbstreferenz - Selbstorganisation
- Prozeduralisierung, (Berlin: Duncker & Humblot, 2nd edition 1995), 103 et seq.;
Calliess (n 122 above), 121 et seq.; Martin Eifert, ,Regulierte Selbstregulierung und
die lernende Verwaltung', Regulierte Selbstregulierung als Steuerungskonzept des Gewiihrleistungsstaates. Ergebnisse des Symposiums aus Anlass des 60. Geburtstags von
Wolfgang Hoffmann-Riem, Die Verwaltung, Beiheft No.4 (2001), 137 et seq.; Ivo
Appel, ,Methodik des Umgangs mit Ungewissheit', in: Schmidt-ABmann and
Hoffmann-Riem (n 88 above), 327 at351 et seq. He names inter alia flexibilisation,
temporalisation, futurisation of law.
Cf the compilation of administrative court decisions by Ingo Richter/Gunnar
Folke Schuppert, Casebook Verwaltungsrecht, (Munchen: Beck, 3rd edition 2000).
E. g. decisions of the Bundesverwaltungsgericht, Entscheidungen des Bundesverwaltungsgerichts 34, 301 - discretion regarding planning (Planungsermessen); 52,
122 - requirement of consideration (Rucksichtnahmegebot); Bundesverwaltungsgericht, (1974) 27 Die 6f[entliche Verwaltung 380 - modifying condition (modifizierende Auflage).

The approach to reality and thus to diagnostic and prognostic knowledge153 and above all dealing with the uncertain154 also has to be "learnt". If
diagnostic and prognostic knowledge is to develop an impact on later decisions, it is important to preserve respective know-how in "bricks" for "building" future decisions. The aim should be to obtain data of reality of a certain
quality which allows for those applying the law to do away with additional
work of concretisation
in further processes of application of law. This should
be done in the knowledge that those applying the law cannot usually develop
data relevant to the concrete act applying the law themselves, but are
dependent on knowledge that has been processed previously by legal practice
and legal academics.155 Legal doctrine (Rechtsdogmatik)
156 can open access
to such processed knowledge, which can also open access to empirical data.
Nevertheless, one cannot expect the impossible from those who apply the
law. Facing the large number of decisions they depend on methods which
relieve them as much as possible from uncertainty about available empirical
data or diagnostic relationships. The elaboration of standard methods applicable in standard procedures, in standard situations by standard actors157 is
of practical importance and normatively justified, given that at the same
time opportunities remain to identify situations that differ from the standard
case.158 The task of legal scholars is to prepare factual knowledge for standard
153 Cf part 2. b) above.

Rechtliches Risikomanagement. Form,

Funktion und Leistungsfahigkeit des Rechts in der Risikogesellschaft, (Berlin: Duncker
& Humblot 1999); Arno Scherzberg and Oliver Lepsius, ,Risikosteuerung durch

154 Cf inter alia the articles in Alfons Bora (ed.),

Verwaltungsrecht

- Ermoglichung

oder Begrenzung

von Innovationen?',

(2004)

63 Veroffentlichungen der Vereinigung der Deutschen Staatsrechtslehrer 63 (2004), 213

et seq. and 264 et seq. sowie Hoffmann-Riem (n88 above), 63 et seq.
155 On this necessity cf: Dorothea

wissenschaft',

in: Stephan

schaft - Kommunikation,
24 at 30 et seq.
156 Legal doctrines

and Stephan

Ulbrich

institutions,

und Rechts-

(eds.), Recht - Gesell-

Festschrift fur Klaus F. Rohl, (Baden-Baden:

are an arsenal of concepts,

is used to systematise
ment available

Jansen, ,Soziologie, Rechtssoziologie

Machura

Nomos 2003),

principles and rules which

the legal order and which has recognised patterns of argu-

which are considered

as components

They can be used to justify the interpretation

of the positive legal order.

and application

of law without

having to be newly justified on each occasion.

157 Cf VoBkuhle (n 118 above),
158

86.

On the indicative function of the above-mentioned

and TA Uirm) and the resulting obligation

technical

directions

to justify any deviation

(TA Luft

from the limits

therein: decision of the Bundesverwaltungsgericht,

Entscheidungen des
Bundesverwaltungsgerichts 55, 250 and Bundesverwaltungsgericht,
(1988) 7 Neue
Zeitschrift fur Verwaltungsrecht, 824. In general on the notion of administrative
defined

regulations

concretising

norms (normkonkretisierender

Verwaltungsvorschriften)

situations. The inclusion of such knowledge in legal doctrine is a way to its

generalised use. Information on the reality of a norm should be and can be
included in legal doctrine. Under the rule of law this can only be accepted if
the respective constructions remain sufficiently open to give way if necessary
to new (enlarged) insights. Learning (administrative)
law in that sense depends upon a learning administration and on learning scholars.
Social legal research as well as research into public administration in the
broader sense has made their contribution to such learning processes. Even if
it cannot always be identified, we can at least presume that without administrative scientific and legal sociological efforts the insight into the structure
of legal application, into the factors having an impact on them and, above
all, into that part of social reality which is relevant for the application of the
law would be different. Nevertheless, the potential use of the social sciences
for analytical understanding and improvement of the quality of legal work
has by no means been fully explored.
cf Bundesverfassungsgericht, Entscheidungen des Bundesverfassungsgerichts 80, 257
at 265. Further the decisions by EC}, Case C-131/88, Commission v. Germany
[1991J ECR 1-825; Case C-43/90, Commission v. Germany [19921 EeR 1-1909.