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行政程序改革的顶层机构研究

【作者简介】
苏苗罕,中央财经大学法学院讲师,法学博士,美国行政会议访问研究员。学友南开大学法学院宋华琳副教授对本文初稿提出了建设性的修改建议,谨致谢意。
【注释】例如《湖南省行政程序规定》( 2008年4月 17日公布) 、《汕头市行政程序规定》( 2011年4月 1日公布) 和《山东省行政程序规定》(2011年 6月 22日公布) 。
Reauthorization of the Administrative Conference of the United States: Hearing Before the Subcomm. on Admin. Law and Gov’tl Relations of the Comm. of the Judiciary,House of Representatives,103d Cong. 52- 53( 1994) ( 美利坚大学华盛顿法学院教授 Thomas O. Sargentich 的证言) .
司法部长程序委员会聘请了哥伦比亚大学法学院 Walter Gellhorn 担任其研究主管。
Hearing Before Subcommittee No. 3of the House Committee on the Judiciary,88th Cong. ,2d Sess. ,ser. 10,at 23(1964) .
1951Judicial Conference of the United States Annual Report25- 26.
有关这届总统行政程序会议的人员组成、工作记录和提交建议文本,可以见于1955年3月向总统提交的最终报告。
Report on Regulatory Agencies to the President - Elect 82( 1960) .
Subcomm. on Administrative Practice and Procedure of The Senate Comm. on the Judiciary,86th Cong. ,2d Sess. ,Report 0n Regulatory Agencies to the President - Elect 74( 1960) .
Executive Order No. 10934,26Federal Register 3233( 1961) .
Letter from E. Barrett Prettyman to President John F. Kennedy ( Dec. 17,1962) .
Louis M. Kohlmier,Kennedy Panel Asks Conference Be Formed to Coordinate Business - Regulating Units,Wall St.J. ,Jan. 7,1963,at 2.
Editorial,Administrative Helpmeet,Wash. Post,Jan. 21,1963,at A14.
The Administrative Conference Act,5U. SC. 591- 596. 1980 年代,我国全国人大法工委“中国行政立法研究组”曾经组织将该法译成中文,参见马龙译,周忠海校: 《( 美国) 行政会议法》。
See Second Supplemental Appropriations Act of 1968,Pub. L. No. 90 - 392,82Stat. 307(1968) . 国会之所以延迟拨付预算经费,是因为总统没有及时任命行政会议主席。
See Treasury,Postal Serv. ,and General Gov’t Appropriations for Fiscal Year 1995: Hearings on H181- 31Before the Subcomm. of the Comm. on Appropriations,103d Cong. at 1( 1994) ; 140 Cong. Rec. H4453,H4495( June 15,1994) .
Toni M. Fine,A Legislative Analysis of the Demise of the Administrative Conference of the United States,30 Ariz. St.L. J. 101- 102( 1998) .
Toni M. Fine,A Legislative Analysis of the Demise of the Administrative Conference of the United States,30 Ariz. St.L. J. 91- 92( 1998) .
即所谓的“行政法法官集中使用制度”。Recommendation 92- 7: The Federal Administrative Judiciary,1C. F.R. § 305. 92- 7(1993) . 支持该建议的研究,可以参见 Paul R. Verkuil,Reflections upon the Federal Administrative Judiciary,39UCLA L. Rev. 1341(1992) ; 中文文献的有关讨论,可以参见王静: 《美国行政法法官集中使用制度研究》,载《行政法学研究》2009年第 2期。
Toni M. Fine,A Legislative Analysis of the Demise of the Administrative Conference of the United States,30 Ariz. St.L. J. 59- 61( 1998) .
Marshall J. Breger,The Administrative Conference of the United States: A Quarter Century Perspective,53U. Pitt. L.Rev. 824,826( 1992) .
Betty Jo Christian,Penny - Wise and Pound - Foolish: The Demise of the Administrative Conference,30 Ariz. St. L.J. 17(1998) .
Reauthorization of the Administrative Conference of the United States Before the Subcomm. on Commercial and Administrative Law of the House Comm. on the Judiciary,104th Cong. 31( 1995) ( statement of C. Boyden Gray) .
5USC Sec. 591(1) .
5USC Sec. 591(2) - (5) .
Skidmore v. Swift & Co. ,323U. S. 134,140 (1944) .
Loren A. Smith,The Aging of Administrative Law: The Administrative Conference Reaches Early Retirement,30 Ariz. St. L. J. 181( 1998) .
这 14家联邦行政机关是消费者金融保护局、环境保护局、平等就业机会委员会、联邦存款保险公司、联邦住房金融管理局、总务行政局、功绩制保护委员会( Merit Systems Protection Board) 、国家档案记录管理局、政府伦理办公室、管理预算局、人事管理办公室、科技政策办公室、小企业管理局和社会保障管理局。
Note,The Administrative Conference Act,53Geo. L. J. 472(1965) .
5U.S.C.593.
1C.F.R.302( 5) .
来源: http: / /www. acus. gov/about/the - assembly/liaison - representative/,2012年4月 24日访问。
与行政会议的成员区别在于其只能发言,不能投票。美国现任最高法院大法官 Stephen Breyer 曾在担任联邦第一巡回法院法官期间代表美国司法会议( the Judicial Conference of the United States) 出任联络员。
ABA Section of Administrative Law and Practice Program: The Administrative Conference of the United States Where Do We Go From Here?,8T. M. Cooley L. Rev. 153,162- 163,166,169( 1991) .
Lubbers 教授曾在 1982- 1995年间担任行政会议研究主任,其论文曾被翻译成中文。参见[美]杰弗里.吕贝尔斯: 《美国管制革新的方法》,鄢超译,苏苗罕校,载《行政法学研究》2009年第 3期。
来源: http: //www. acus. gov/about/the - assembly/senior - fellow/,2012年4月 24日访问。
5U.S.C.593( b) ( 1) .
5U.S.C.595( b) .
Marshall J. Breger,The Administrative Conference of The United States: A Quarter Century Perspective,53U. Pitt.L. Rev. 813( 1992) .
Section 302. 3( a) of the Administrative Conference Bylaws.
Bylaws of the Administrative Conference of the United States,1C. F. R. 302(3) .
来源 http: / /www. acus. gov/contact/staff - directory/,2012年4月 24日访问。
OMB Circular No. A - 63( Mar. 1974rev. ) ,para. 8b,39Fed. Reg. 12390( 1974) .
来源: http: / /www. livestream. com/private/administrativeconferenceoftheus; http: / /www. youtube. com/acusgov,2012年4月 24日访问。
1C. F. R. 302( 6) .
5U. S. C. 595( C) .
See Sally Katzen,The Role of the Administrative Conference in Improving the Regulatory Process,8Admin. L. J.Am. U. 649,665( 1994) .
See e. g. ,Home Box Office,Inc. v. F. C. C. ,567F. 2d 9,57n. 130 ( CADC 1977) ; Darby v. Cisneros,509U. S.137,152- 53n. 13( 1993) ; Baltimore Gas & Elec. Co. v. NRDC,462U. S. 87,100 ( 1983) ; Harrison v. PPG Indus. ,Inc.446U. S. 578,591( 1980) ; Braden v. 30th Judicial Circuit Court of Ky. ,410 U. S. 484,500 n. 17( 1973) ; Texas Food Indus.Ass’n v. Department of Agric. ,81F. 3d 578,584( 5th Cir. 1996) ; Southwest Marine,Inc. v. United States,43F. 3d 420,423n. 5( 9th Cir. 1994) ; McGregor Printing Corp. v. Kemp,20 F. 3d 1188,1194n. 6( D. C. Cir. 1994) ; Woolsey v. NTSB,993F.2d 516,519( 5th Cir. 1993) ; National Truck Equip. Ass’n v. NHTSA,972F. 2d 669,672( 6th Cir. 1992) ; Clark v. Busey,959F. 2d 808,813( 9th Cir. 1992) ; Balazoski v. INS,932F. 2d 638,642n. 2( 7th Cir. 1991) ; Hodge v. Department of Justice,929F. 2d 153,158( 5th Cir. 1991) ; Wisconsin Elec. Power Co. v. Reilly,893F. 2d 901,908( 7th Cir. 1990) ; Continental Training Serv. Inc. v. Cavazos,893F. 2d 877,885nn. 10,11( 7th Cir. 1990) ; Owens v. Brock,860 F. 2d 1363,13666th Cir.1988) ; Ruiz v. INS,838F. 2d 1020,1024( 9th Cir. 1988) ( en banc) ; Johnston v. NRC,766F. 2d 1182,1185n.2( 7th Cir. 1985) ; Association of Data Processing Serv. Org. ,Inc. v. Federal Reserve Sys. ,745F. 2d 677,684( D. C. Cir.1984) ; Petry v. Block,737F. 2d 1193,1201( D. C. Cir. 1984) ; Sierra Club v. Costle,657F. 2d 298,395n. 469,404( D. C.Cir. 1981) ; Virginia Elec. & Power Co. v. EPA,655F. 2d 534,540 n. * ( 4th Cir. 1981) ( Phillips,J. concurring) ; MCI Tel.Corp. v. FCC,627F. 2d 322,334n. 58( D. C. Cir. 1980) ; Chrysler Corp. v. EPA,600 F. 2d 904,912( D. C. Cir. 1979) ; PPGIndus. ,Inc. v. Harrison,587F. 2d 237,244n. 6( 5th Cir. 1979) .
509U. S. 137,152n. 13( 1993) .
466U. S. 471n. 10 ( 1984) .
See,e. g. ,Comprehensive Regulatory Reform Act of 1995: Hearings on S. 343Before the Subcomm. on Admin. Oversight and the Courts of the Senate Comm. on the Judiciary,104th Cong. ( 1995) ( statement of Thomasina V. Rogers,ACUSChair) ; Regulatory Flexibility Amendments Act of 1993: Hearings on the House Comm. on the Judiciary,102d Cong. ( 1993)( statement of Jeffrey S. Lubbers,ACUS Research Director) ; Letter from Gary J. Edles,ACUS Gen. Counsel to Staff Dir. ,Sen.Comm. on Banking,Housing and Urban Affairs ( June 2,1992) ,reprinted in 138Cong. Rec. S9353( July 1,1992) .
See,e. g. ,5U. S. C. § § 504( c) ( 1) ,552b( g) .
See,e. g. ,The Manual for Administrative Law Judges ( 3d ed. 1993) ; A Guide to Federal Agency Rulemaking ( 2ded. 1991) ; An Interpretive Guide to the Government in the Sunshine Act ( 1978) ; Federal Administrative Procedure Sourcebook( 2d ed. 1992) ; Negotiated Rulemaking Sourcebook ( 2d ed. 1995) ; Sourcebook: Federal Agency Use of Alternative Means of Dispute Resolution ( 1987) . 所有这些书籍均由政府出版办公室( GPO) 出版和销售。
文献目录,可参见 Administrative Conference of the United States: A Bibliography,1968- 1995,来源: http: / /www. law. fsu. edu / library / admin / acus / pdf / acusbib. pdf,2012年4月25日访问。
See Reauthorization of the Administrative Conference: Hearing on Proposed Legislation Authorizing Funds for the Administrative Conference of the United States for Fiscal Years 1995through 1996before the Senate Subcomm. on Admin. Oversight and the Courts of the Comm. on the Judiciary,104th Cong. 50 ( 1995) .
Thomas O. Sargentich,The Case for The Reauthorization of the Administrative Conference of the United States,8Admin. L. J. Am. U. 690( 1994) .
See Administrative Conference of the United States,Recommendation 87- 6: State Level Determinations in Social Security Disability Cases,1987ACUS 30 ( proposing new procedures for disability determination including face - to - face meetings) ; Administrative Conference of the United States,Recommendation 87- 7: A New Role for the Social Security Appeal Council,1987ACUS 36; see also Allen E. Schoenberger,State Disability Services’Procedures for Determining and Redetermining Social Security Claims for the Social Security Administration,1987ACUS 579( supporting ACUS Recommendation 87- 6) ;Charles E. Koch,Jr. & David A. Koplow,The Fourth Bite at the Apple: A Study of the Operation and Utility of the Social SecurityAdministration’s Appeals Council,1987ACUS 625,reprinted in 17Fla. St. U. L. Rev. 199( 1990) ( supporting ACUS Recommendation 87- 7) . See generally Administrative Conference of the United States,Recommendation 90 - 4: Social Security Disability Program Appeals Process: Supplementary Recommendation,1990 ACUS 17( proposing modified appeals process in Social Security Administration disability cases) ; Frank R. Bloch,Report and Recommendations on the Social Security Administration’s Appeal Process,1990 ACUS 307(supporting ACUS Recommendation 90 - 4) .
Administrative Conference of the United States,Recommendation 87- 8: National Coverage Determinations under the Medicare Program,1987ACUS 43; Administrative Conference of the United States,Recommendation 90 - 8: Rulemaking and Policymaking in the Medicaid Program,1990 ACUS 35; Eleanor D. Kinney,National Coverage Policy Under the Medicare Program: Problems and Proposals for Change,1987ACUS 833,reprinted in 32St. Louis U. L. J. 869(1988) ,and Eleanor D. Kinney,Rule and Policy Making for the Medicaid Program: A Challenge to Federalism,1990 ACUS 677,reprinted in 51Ohio St. L.J. 855(1990) .
Administrative Conference of the United States,Recommendation 91- 4: National Vaccine Injury Compensation Program,1991ACUS 27; see Wendy K. Mariner,Innovation and Challenge: The First Year of the National Vaccine Injury Compensation Program,1991ACUS 409( commenting on ACUS recommendation 91- 4) .
5U. S. C. § 595(c) (3) .
H. R. Rep. No. 103- 854,at 5(1994) .
5U. S. C. 593(c) (2011) .
See White Paper,Cost Savings Generated by the Administrative Conference of the United States,at 3( copy on file with the Committee) ,citing ACUS Report to House of Representatives: Questions Submitted For The Record By The Committee On Appropriations ( Mar. 27,1995) ( copy on file with ACUS) .
Reauthorization of the Administrative Conference of the United States: Hearing Before the Subcomm. on Admin. Law and Gov’tl Relations of the Comm. of the Judiciary,H. R. ,103d Cong. 10 ( 1994) ( Statement of Sally Katzen) .
Loren A. Smith,The Aging of Administrative Law: The Administrative Conference Reaches Early Retirement,30 Ariz. St. L. J. 183( 1998) .
例如,行政会议目前正在开展的“《食品安全现代化法》上的第三方认证机制”( Third - Party Certification in FSMA) ; Recommendation2011– 3: Compliance Standards for Government Contractor Employees—Personal Conflicts of Interest and Use of Certain Non - Public Information,76Federal Register 48792( 2011) .
Recommendation 2011- 1: Legal Considerations in e - Rulemaking,76Federal Register 48789(2011) ; Recommendation 2011- 4: Agency Use of Video Hearings: Best Practices and Possibilities for Expansion,76Federal Register 48795(2011) .
来源: http: //www. acus. gov/research/the - conference - current - projects/,2012年4月25日访问。
Bernard Schwartz,Some Crucial Issues in Administrative Law,28Tulsa Law Journal 793(1993) .
1986ACUS Annual Report,Chairman’s Foreword at ix.
根据英国《2007年裁判所、法院与执行法》( the Tribunals,Courts and Enforcement Act 2007) 设立,取代了过去的行政裁判所委员会( the Council on Tribunals) 。它负责监督各类行政裁判所的运作,并向其提供改革程序规则的建议。参见郑磊、沈开举: 《英国行政裁判所的最新改革及其启示》,载《行政法学研究》2009年第3期。有关英美经验的比较,可以参见 Charles D. Ablard,Some Comparisons between the Council on Tribunals and the Administrative Conference of the United States,24Am. J. Comp. L. 73( 1976) 。
根据澳大利亚《1975年行政上诉裁判所法》设立,负责监督所有审查行政行为的机构,包括监察专员、法院和行政上诉裁判所。行政审查委员会是向司法部长报告工作的独立咨询机构,向其提供应当审查的行政行为的程序和类型是否充分的建议。See John Griffiths,Australian Administrative Law: Institutions,Reforms and Impact,63Pub. Admin. 445,449( 1985) .
法国国政院承担的咨询职能是为政府起草法案、法令和特定条例提供咨询意见,同时回答政府有关法律事务的询问,应政府请求或者主动对行政或者公共政策事务进行研究。在 2008年宪法改革之后,国政院还在某些情况下为议会两院议员起草的法案提供咨询。See The Conseil d’état: An Overview,pp. 1- 2,来源: http: / /www. conseil - etat. fr/cde / media / document / ce_uk_23122010. pdf,2012年4月25日访问。
研究组正式成员有 14人,主要来自高等院校、科研机构和实践部门,组长江平,副组长罗豪才、应松年,其余成员为朱维究、姜明安、肖峋、高帆、费宗袆、张耀宗、方彦、张焕光、王向明、皮纯协和郭阳。陶希晋、龚祥瑞等担任顾问,陶希晋的秘书高志新承担小组秘书工作。参见邱春艳: 《鲜为人知的行政立法研究组》,载《法制早报》2006年 10 月 30日期第 5-7版。
董炯: 《政府管制研究———美国行政法学发展新趋势评介》,载《行政法学研究》1998年第4期。
Margaret Gilhooley,The Administrative Conference and the Progress of Food and Drug Reform,30 Ariz. St. L. J. 129(1998) .
参见宋华琳: 《关注真实世界的行政法研究》,载《法制与社会发展》2003年第4期。


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