【作者】 方堃；

【导师】 何勤华；

【作者基本信息】 华东政法大学 ， 法律史， 2012， 博士

【摘要】 三权分立和权力制衡一直是美国宪政史中绕不开的话题，这种分权制衡，既包括了联邦与各州之间关于权力的划分，也包括了联邦政府内部立法、行政和司法这三种权力之间的划分。但从19世纪后半段开始，美国联邦行政管制开始兴起、膨胀，并极大了冲击了原有的权力制衡的体系。而在这一过程中，独立管制委员会——这个不属于联邦政府原有三权之中任何一权规制的“无头第四部门”无疑是一个助推器。正是由于其不断发展、壮大，才推动着美国联邦行政管制的发展，促使了二战以前国家行政管制的迅速扩张。由于把持着美国的经济命脉，时至今日，独立管制委员会依然是美国行政管制权力中一支极为重要的力量。尽管从新政以后，由于总统权力的扩张，使得独立管制委员会在美国联邦整个行政管制机构中的地位已不如之前那般显赫，委员会其自身的弊端也开始显现出来。但无论批评之声曾经何等强烈，其自身需要怎样的改革，至少在今日，美国社会依然非常习惯于由独立管制委员会在联邦行政管制中去发挥其专业的经济管制功用。正是从这个意义上，研究美国独立管制委员会，既可以反映出联邦政府行政管制是怎样兴起和膨胀的，又可以反映出行政管制的这种不同于传统三权的混合权力在经济管制等领域中应当扮演怎样的角色，而独立管制委员会这种“无头第四部门”的怪胎形式，通过其兴衰的历史演进，又值得人们进一步地深思：管制需要怎样的机构形式，如何通过一种机制的确立，使得行政管制的权能既能够发挥其在经济管制等方面的效率，又可以防止其权力不被滥用。因此，如果要对美国行政管制进行深入研究，独立管制委员会这个“无头第四部门”应当是一个必须要参考的样本。文章所要做的努力，就是通过对独立管制委员会的历史梳理，通过对独立管制委员会这种美国特色（集准立法、行政和准司法权力于一身的“无头第四部门”）的勾勒，力求展现出美国行政管制机构兴起、发展、膨胀以及相关改革的形态，表现出美国社会对于行政管制是如何认识的，而独立管制委员会又在这一过程中发挥了怎样的作用。按此设想，本文除导论和结论外，分七章对于独立管制委员会的历史演进进行了梳理。在导论对于独立管制委员会模式简要说明以后，正文部分便开始了对于独立管制委员会历史进程的梳理。文章的第一章首先对独立管制委员会的基本概念进行了界定，对其“无头第四部门”的特性；机制的特色，权力的大小等基本要素都进行了说明，通过这些梳理，能清晰地反映出独立管制委员会在美国行政管制机制中的重要性以及其的“美国特色”。第二章论述的是联邦行政管制是怎样产生的，独立管制委员会这个“无头第四部门”为什么会出现。本章讨论了在铁路危机之下州际商业委员会的产生背景和产生过程，并对其早期的发展进行了梳理。笔者认为：1887年的《州际商业法》以及其所成立州际商业委员会只是各方利益妥协的权宜之计，但州际商业委员会的形成却如同一颗没有发芽的种子，直到十余年后才由西奥多·罗斯福总统意识到了其价值并将其发掘出来，而州际商业委员会的出现，可以视为美国联邦政府行政管制权力确立的一个标志。第三章论述的是独立管制委员会是怎样兴起的。本章讨论的是在20世纪前20年美国进步时代的背景之下独立管制委员会的发展。作者首先分析了进步时代对于美国社会传统自由主义经济体制的冲击，指出了无序的经济需要联邦政府对此进行强有力的监管，独立管制委员会能够兴起是有其时代背景的，进而又通过对于美联储、联邦贸易委员会等一批独立管制委员会成立的勾划，展现出那个时期独立管制委员会这个“无头第四部门”作为美国经济管制的主体力量，是如何推动联邦行政管制权力扩张的。第四章论述的是新政时期的独立管制委员会。本章分析了独立管制委员会随着总统权力的膨胀而逐渐扩张并达到了顶峰的过程。本章首先分析了行政管制扩大、福利国家形成的背景，并特别提到了在这一个过程当中总统是如何排除联邦最高法院等因素的干扰，开始主导美国行政管制的；随后又对这一时期证券交易委员会、联邦劳工委员会等机构的成立进行了梳理。笔者认为：独立管制委员会是伴随着美国行政管制的膨胀而膨胀的，但本章同时也特别指出：新政时期在行政管制大幅扩张的背景下，独立管制委员会这个“无头第四部门”的膨胀也是其衰败的开始，特别是当总统在汉弗莱案中插手独立管制委员会的企图被挫败之后，开始主导行政管制的总统便不再满足于通过独立管制委员会来主导行政管制权力，羽翼渐丰的总统已经有了属于自己的一套行政机构，独立管制委员会在联邦行政管制中的地位无形中开始下降。第五章论述的是在美国社会恢复常态下的独立管制委员会的重组与转型。本章首先简要论述了从新政和二战再到战争结束后这一个美国社会从非常态走向常态的过程中涉及行政权规制的几个标志性事件：布朗洛委员会报告、《美国联邦行政程序法》的颁布以及战后初期对美国社会涉及机构改革产生重大影响的两次胡佛委员会报告。这些都意在说明在美国非常态的时期结束之后，对日益庞大的行政机构进行改革，进行规制已经成了社会的共识，独立管制委员会由于在美国行政权中的重要地位也成为了要求改革的焦点。随后，本章重点对涉及独立管制委员会的两份报告——《兰迪斯报告》和《艾什报告》进行了评析，这两份报告系统地论述了各大独立管制委员会面临的重要问题，并由此引发了肯尼迪政府对独立管制委员会的全面改组等行动。第六章论述的是在20世纪70年代美国社会出现一系列问题时独立管制委员会的相应改革。本章首先论述了尼克松政府时期一类不同于独立管制委员会的新机构——独立行政机关的出现，其的出现表明独立管制委员会的种种问题已经令要求提高效率的“帝王总统”尼克松难以容忍，机构的改革已经刻不容缓，再加上70年代美国的滞涨危机，担负经济管制任务的许多独立管制委员会不得不寻求改革。本章选取了职业健康与安全委员会、联邦核能委和联邦能源委这三个各具代表性的改革模式进行了分析，意在说明管制的方式并没有统一的模式，独立管制委员会也可以有多种形态，但无论模式和形态怎样，其核心都要保证管制效率的提高。第七章论述的是70年代后期以来在美国社会降低管制潮流当中独立管制委员会的衰落。本章首先论述了美国社会当时降低管制和新自由主义思潮兴起的背景，并特别指出了在当时降低管制潮流中总统希望通过管理和预算局等机构全面参与管制事项的趋势。文章进而选取了两个富有代表性的独立管制委员会在这一个降低管制的潮流当中的命运进行分析：一个是当时不断被人诟病，最需要进行改革的民航委员会；另一个则是百年老字号——州际商业委员会，通过这两个独立管制委员会的撤销，笔者意在说明：在降低管制的浪潮中，独立管制委员会这个“无头第四部门”的地位显然大不如前。但笔者也同时分析了在这一时段表现突出的美联储，这个反例却也表明：虽然无论管制的政策如何，美国社会都不会再允许出现类似州际商业委员会这种独立王国式的管制机构，独立管制委员会的地位也大为降低，但如果现在判断其由此必然消失，倒也为时尚早。在上述七章对于独立管制委员会的百年历史进行梳理和分析后，笔者将独立管制委员会置于政治结构和经济管制这两个环境中试图得出一些结论。在政治架构中，独立管制委员会最富有特色的便是其“无头第四部门”的特性，笔者认为：独立管制委员会这个“无头第四部门”是在联邦政府传统权力未能涉及的情况下各方利益妥协的结果，独立管制委员会的出现，以及随后美国行政管制的膨胀，虽然对旧有的三权分立体制产生了较大的冲击，但却并没有破坏联邦政府权力制衡的情况。独立管制委员会也并不可能绝对独立，在今后的发展中，其也需要与传统的三权部门之间加强协调，相互形成稳定的制约机制。而在经济管制领域，在降低管制的背景下，独立管制委员会曾经面临着被撤销的危机，而这种趋势又是否会被延续？笔者认为：美国社会更注重的是一种功能主义而非形式主义，因此，比起管制机构的设置，美国社会更为关心的便是管制效果的好坏。虽然二战以后，独立管制委员会的设置已经不再如半个世纪之前是美国管制经济领域机构设置的潮流，但只要管制效果得当，人们就不会介意管制机构的模式到底是怎么样的。再往前进一步，笔者也粗浅地联想到：对于当前大部制改革的中国，改革的目标并不是要按照独立管制委员会或是其他西方机构的模式把我们的机构改成什么样，而是能否根据我们的国情设计出合理的制度，使其能够发挥出其应有的功效，如果文章对于美国独立管制委员会的介绍能引起一些对这方面的思考的话，那将是大有裨益的。更多还原

【Abstract】 Separation of powers and checks and balances of powers are always impotantissues in the American constitional system.It includes not only the division of powersbetween the federal and states, but also the division of powers between legislative,executive and judicial in the federal government.But since the later of the19thcentury,federal administrative power has greatly impacted the traditional system of checksand balances powers in American. During this rapid process, the IndependentRegulatory Commissions, the headless fourth branch which is not belong to anybranch of traditional powers undoubtedly played an important role, because of itsdevelopment, can the American Administrative power be expansion until the WorldWar Ⅱ.Because of controlling the economic lifeline of the United States, theIndependent Regulatory Commission is still in an extremely important composition inthe U.S. administrative power today. After the New Deal, due to the expansion ofexecutive power, the Independent Regulatory Commission dose not have the sameprominent status as it before, the Committee’s own drawbacks also began to expose,but American society is still accustomed to be regulated by the professionalindependent Regulatory Commissions, regardless of the great criticism. In this sense,according to studying on the Independent Regulatory Commissions, not only canreflect the rise and expansion of the U.S. administrative power, but also can reflect the administrative power should play what role in the economic regulation areas.Whilestudying on the Independent Regulatory Commissions——the headless fourth branch——through its rise and fall, it also makes people to consider: How to establish aright system to make the regulation more appropriate, make it not only be able towork well, but also to prevent its powers are abused. Therefore, the IndependentRegulatory Commission is a reference sample in researching the administrative powerin the U.S.This article striving to show the rise and the change about the U.S.administrativepower through the description of the history of the Independent RegulatoryCommissions. It will expose how to understand the regulation by administrativepower in the American society, and the Independent Regulatory Commissions playedwhat kind of a role in this process.Besides an introduction and a conclusion, thisarticle divides seven chapters to discourse.After the introduction about the mode of such characteristics as well as basicconcepts of the Independent Regulatory Commissions, this essay will start to dealwith the historical process of the Independent Regulatory Commissions.The Chapter Idefines the basic concept about the Independent Regulatory Commissions firstly: thecharacteristics of the headless fourth branch; the functions of the mechanism, thepowers of the Independent Regulatory Commissions and so on. Through these, wecan realize the importance about the Independent Regulatory Commissions in thefederal administration clearly.Chapter Ⅱ discourses that the federal administrative power generated, answersthe question why the Independent Regulatory Commissions——the headless fourthbranch can be appeared. By combing the background and development of theInterstate Commerce Commission in the early era, The Chapter II said that though theInterstate Commerce Act of1887and the founding of the Interstate CommerceCommission are only the temporary compromises of the interests of all parties, but theformation of the Interstate Commerce Commission as a no germination of seed untilmore than ten years uncovered by President Theodore Roosevelt, who awared of itsvalue.While the emergence of the Interstate Commerce Commission, can be regarded as a sign that the U.S. federal administrative power established.Chapter Ⅲ discusses the rise of Independent Regulatory Commission. Thischapter discusses the development of an independent Regulatory Commission in theProgressive Era of the20th century. It first analyzes the Progressive Era to impact thetraditional liberal economic system in American society, and points out that thedisorder of the economic needs a strong regulation by the federal government. Then itoutlines the emergence of the Federal Reserve, the Federal Trade Commission and anumber of other independent regulatory commissions, showing as the main force,howthe Independent Regulation Commissions can promote the expansion of the federaladministrative power.The Chapter Ⅳ discusses the Independent Regulatory Commissions in the NewDeal period. This chapter analyzes the process about the Independent RegulatoryCommission gradually expanded and reached the peak with the expansion ofpresidential power.Firstly, it outlines the background of the formation of the welfarestate, and specifically mentioned how the president can successfully control thisprocess and exclude the interference by the Federal Supreme Court.Then it discoursesthe establishment of some Independent Regulation Commissions like the Securitiesand Exchange Commission and the Federal Labor Commission, It thoughts that theexpansion of Independent Regulatory Commission along with the development ofadministrative power, but this chapter especially highlighted: in the New Deal era,theclimax of the Independent Regulatory Commission is also the time that beginning todecline, especially with failure when the president want to intervene the headlessfourth branch in the Humphrey case, the President will no longer be satisfied to leadthe administrative powers only by the Independent Regulatory Commissions, thepresident began to have his own administrative agencies, the status of the IndependentRegulatory Commissions in the federal administrative power began to decline.The chapter Ⅴ deals with the restructuring and transformation of the IndependentRegulatory Commissions after the World War II. This chapter firstly discusses twolandmark events about the regulation of administrative power briefly: one is theBrownlow Committee’s report and the other is the publishment of Federal Administrative Procedure Act, then followed by two Hoover Commission’s reportwhich discussed the American society that foces on the changes about theIndependent Regulatory Commissions. This chapter also emphasizes on twoimportant Reports, the one is the Regulatory Agencies to the President-Elect, the otheris a very famous report about the Independent Regulatory Commissions in the Nixonera——A New Regulatory Agencies. Both are pointing out the difficulties about themain Independent Regulatory Commissions. Finally, this chapter anlayses theorganization plans which made by Kennedy’s Government.In Chapter Ⅵ, It discusses the reforms about the Independent RegulatoryCommissions in the1970s.This chapter firstly discusses about EPA, as an independentexecutive agency that is a new form about regulatory. Then this chapter selected sometypical commissions like the Occupational Health and Safety Commission, theFederal Nuclear Energy Commission and the Federal Energy Commission to analyse,in order to express that there may be no uniform model of an angecy to regulateeconomic, the Independent Regulatory Commission can also have a variety of formsto enhance the efficiency.In Chapter Ⅶ, It expresses the decline of the Independent RegulatoryCommissions with the trend in American society since the late1970s. This chapterfirstly discusses the background about reduce control and the rise of Neo-liberalism inAmerican society, and then select two typical Independent Regulatory Commissionsto analysis: one is the Civil Aviation Board, which is constantly being criticized afterthe World War Ⅱ; the other is the Interstate Commerce Commission, which hadestablishment over a hundred years. It intended to be illustrative the decay of theIndependent Regulatory Commissions.But this Chapter also analyses the FederalReserve that it operated very well at the turn of the century. According to thesecommissions, It is hard to say that the Independent Regulatory Commissions will bedisappeared or not, but it is certain that: Whatever can the regulatory policy change inthe future, It will not allow a similar Independent Regulatory Commission like theInterstate Commerce Commission in American society.After analyzing in the above chapters about the Independent Regulatory Commissions over hundred years, it can be draw some conclusions. In the politicalstructure, this essay want to say that the most distinctive of the IndependentRegulatory Commission is a headless fourth branch characteristics, the headlessfourth branch is the result of a compromise that involved in the interests of all partiesbecause of the empty in the traditional powers of the federal government.Theemergence of the Independent Regulatory Commission, and the expansion of thefederal administrative power, though impact greatly on the traditional separation ofpowers system, It did not destroy the checks and balances of powers in the federalgovernment. Independent regulatory commissions are never absolutely independent.Inthe future, It needs to strengthen coordination with the traditional three branches toform a stable and restraint mechanisms. In the field of economic regulation, the trendof reducing regulation will be the continuation? As far as I am concerned, Americansociety is always paying more attention to functionalism rather than formalism, thus,the American society is more concerned about the efficiency. After World War II, theestablishment of Independent Regulatory Commissions is no longer a trend, but if wehave proper measures, people will not mind the mode of the regulatory agencies.Nowadays, China also make the reform about administrative agencies, the goal ofreform is not to become the independent regulatory commissions or other Westerninstitutions, but make our agencies can be more efficiency in accordance with ournational conditions. If this article about the Independent Regulatory Commissions willsparks some reflection in this area that is the main purpose for the author.更多还原