【作者】 潘北枝；

【导师】 高家伟；

【作者基本信息】 中国政法大学 ， 宪法学与行政法学， 2009， 博士

【摘要】 从传统普通法管制到现代行政管制的转型是一个渐进的过程。独立管制机构的出现是这一进程的开端。如何让大产业为公共利益服务?这是民主政治必须解决的问题,也是1887年议会设置ICC(州际商业委员会)的动力。作为第一个独立管制机构,州际商业委员会为未来独立管制机构的设置确立了基本范式。独立管制机构与政府管制任务的结合形成一种特殊的制度模式——独立管制机制。通过独立管制机构的调试和发展,构建独立管制机构以实现政府管制任务,成为现代管制不同于传统管制之处。普通法管制秩序的守护者是法院,而现代管制的守护者则是行政机关,尤其是独立管制机构。从20世纪60年代开始,管制改革对独立管制机构进行了激烈的攻击。管制改革和降低管制思维成为此后政府决策的主导。联邦能源管制委员会和环境保护局正是在这一背景下组建的新型独立管制机构。除了组织机构的微调,管制模式也在发生变革。这种变化向传统的独立管制机制提出了挑战。独立管制机构是否能够适应新的变化,在降低管制和再管制中作出应有的贡献,这仍是一个留待未来回答的问题。美国独立管制的历史和经验,以及管制改革引介的市场化模式,为世界其他国家建设现代政府机构的努力提供了颇具价值的经验与教训。独立管制机构是在应对新的社会经济问题时产生的。独立管制机构独特的组织机构,包括委员会制,交错任期制,严格的免职条款,对专家的尊重,以及不同形态的管制模型,使得独立管制机构成为十分有效的法律实施工具。降低管制以来的管制实践,为加深对独立管制机制的认识提供了新的视角。作为一种组织形态,其效用的发挥与组织环境密切相关,组织成员与整体政治环境都在影响着组织效用的正常发挥。独立管制机构的有效性,不仅立足于机构的组织,也取决于在变化的政治环境中任命的组织成员。独立管制机构在形态上表现各异。不同形态的独立管制机构可以被用于不同的环境,实现不同的管制任务。所有这些管制机构形态,为正在开展第六次行政机构改革的中国提供了有意义的经验与教训。更多还原

【Abstract】 The transformation from traditional common law regulation to modern administrative state regulation has been a gradual process. The creation of independent regulatory agencies began by asking the question: How can big business be made to serve the public interest in a modern democratic society?This is the question that led to the creation of the Interstate Commerce Commission (ICC) in 1887. As the first Independent Regulatory Agency (IRA), the ICC became the model for future independent regulatory agencies. When a new kind of agency was entrusted with the government’s responsibility to regulate, there arose a unique institution-the IRA. With the development and subsequent modification of the IRA, the responsibility of regulation came to be realized by setting up IRA’s marking a change from traditional common law regulation to modern administrative state regulation to implement the law in the United States. In a word, the watchdog for common law regulation is the court, and the watchdog for modern administrative state regulation are administrative agencies, especially the IRA’s.Beginning in the 1960s, regulation reformers started to attack the IRA’s. The idea of regulatory reform and deregulation dominated government policy. During this period, the Federal Energy Regulatory Commission (FERC) and Environmental Protection Administration (EPA) were created as new kinds of IRA’s drawing upon the ideas of the reformers. The new model involving changes in structure as well as a change from the traditional Control-Command model to a Market-Oriented model. This challenged the idea of regulation by IRAs. It is an open question whether IRA’s will do a better job meeting the challenges of deregulation and re-regulation in the future. The history and experience of IRA regulations in the United States, especially the introduction of reforms based on a Market-Oriented model, provide a valuable lesson for other countries in their efforts to build modern governmental agencies. The IRA is created to meet the new social and economic problems. It is clear that the unique structure, including the committee, the staggered term, the restrict removal provisions, the respect paid to expertise, and different regulatory models, helps the IRA’s become useful law enforcement tools. At the same time, by studying the process of reform based on deregulation, we should recognize that merely modifying the structure cannot easily guarantee the success of administrative commissions or goals set by law. The effectiveness of the IRA depends both on the structure of the agency and the people who are appointed in the changing political environments.It can be concluded that there are several variations in the form of the IRA. The form of the IRA can be varied for different situations and to achieve different goals. All of these forms of regulatory agencies will be valuable to consider with respect to the sixth executive branch reform recently begun in China.更多还原