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15. Contracts 15. 合同
2区 法学 Q1 Social Sciences Pub Date : 2018-05-31 DOI: 10.1093/he/9780198804734.003.0015
Timothy Endicott
Contracts are used to structure the legal relationship between government and private service providers. Besides this, contract also forms a new model both for relationships between public agencies, and for the relationship between the government and the people it serves. The challenge for the government is to deliver services with integrity, with equity, and with efficiency. The challenge for administrative law is to provide forms of accountability that do what the law can do to promote those goals. This chapter discusses government by contract and proportionate administration, accountability and efficiency, capacity to contract, and how the law controls government contracts.
合同用于构建政府和私人服务提供者之间的法律关系。除此之外,契约还为公共机构之间的关系以及政府与服务对象之间的关系形成了一种新的模式。政府面临的挑战是如何以诚信、公平和高效的方式提供服务。行政法面临的挑战是提供各种形式的问责制,尽法律所能促进这些目标的实现。本章讨论了契约政府和比例行政、问责制和效率、契约能力以及法律如何控制政府契约。
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引用次数: 0
7. Discretion and deference 7. 谨慎与顺从
2区 法学 Q1 Social Sciences Pub Date : 2018-05-31 DOI: 10.1093/HE/9780198714507.003.0007
Timothy Endicott
This chapter discusses how judges can defer in appropriate ways to administrative authorities on some issues, while still opposing abuses of power. The chapter explains why the courts defer massively to administrative authorities on some issues involving foreign affairs and national security, public expenditure, planning, and legal and political processes. The mere fact that the law has allocated the power to an administrative body gives rise to a presumption that a court should not interfere unless there is a ground for review other than that the court would have reached a decision. The extent to which a court ought to defer is determined by the three reasons for allocating power to an administrative body: the body’s expertise, its political responsibility, and/or its decision-making processes.
本章讨论法官如何在某些问题上以适当的方式服从行政机关,同时仍然反对滥用权力。这一章解释了为什么法院在涉及外交事务和国家安全、公共支出、规划以及法律和政治程序的一些问题上大量推迟行政当局。法律将权力分配给行政机构这一事实本身就产生了一种推定,即法院不应干预,除非有审查的理由,而不是法院已经作出决定。法院应推迟的程度取决于将权力分配给行政机构的三个原因:该机构的专门知识、其政治责任和/或其决策程序。
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引用次数: 0
10. How to sue the government: judicial processes and judicial remedies 10. 如何起诉政府:司法程序和司法救济
2区 法学 Q1 Social Sciences Pub Date : 2018-05-31 DOI: 10.1093/HE/9780198714507.003.0010
Timothy Endicott
This chapter addresses the extraordinary process of judicial review and the remedies available to the court. The process and the remedies are compared to the process and remedies in ordinary claims (which can also be used to control administrative action). In their self-regulation in developing these complex processes, the challenge for judges is to keep things in proportion: the attempt to achieve due process in judicial control of administrative action is essential to the administration of justice. The chapter explains the irony of process, which was introduced in Chapter 4: the courts may need to provide forms of process that are excessive and wasteful in some cases, in order to protect the administration of justice.
本章论述了司法审查的特殊程序和法院可用的补救办法。将程序和补救措施与普通索赔中的程序和补救措施进行比较(后者也可用于控制行政行为)。在发展这些复杂程序的自我调节过程中,法官面临的挑战是保持事物的比例:试图实现对行政行为的司法控制的正当程序对司法行政至关重要。本章解释了第4章中介绍的程序的讽刺意味:法院可能需要提供在某些情况下过度和浪费的程序形式,以保护司法行政。
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引用次数: 0
Fail to Comment at Your Own Risk: Does Issue Exhaustion Have a Place in Judicial Review of Rules? 不评论自担风险:问题穷竭在规则的司法审查中有一席之地吗?
2区 法学 Q1 Social Sciences Pub Date : 2016-09-05 DOI: 10.2139/SSRN.2764937
Jeffrey S. Lubbers
The classic version of the exhaustion-of-remedies requirement generally requires a party to go through all the stages of an administrative adjudication before going to court. However, the doctrine has developed a new permutation, covering situations where a petitioner for judicial review did follow all the steps of the administrative appeals process, but had failed to raise in that process the issues now sought to be litigated in court. In those cases, which have been called “issue exhaustion” cases, the thwarted petitioner will likely be out of luck since normally there is no further opportunity to raise the issue at the agency. In that sense, issue exhaustion bears some resemblance to standing-to-sue cases — a particular litigant is deemed unfit to challenge the agency’s action in court. Unlike remedy exhaustion, however, which only applies to agency adjudication, issue exhaustion can theoretically be applied to agency rulemaking. As this article will show, this has started to become a reality — to the potential detriment of the rulemaking process, if applied in an overbroad fashion.Although only two federal statutes explicitly require issue exhaustion in judicial review of rulemaking, there are many more generic exhaustion statutes that courts have begun to apply to rulemaking challenges. Some of the policy reasons for apply exhaustion principles to review of agency adjudications also apply to reviews of rulemaking, but not all. And there are some drawbacks to applying it to rulemaking challenges in certain types of cases. This paper, prepared for the Administrative Conference of the United States, reviews the relevant statutes, the developing caselaw, and suggests the need for certain limitations to applying issue exhaustion in judicial reviews of rules. The paper provided the foundation for Administrative Conference Statement #19, Issue Exhaustion in Preenforcement Judicial Review of Administrative Rulemaking, Adopted September 25, 2015
用尽救济要求的经典版本通常要求当事人在诉诸法院之前经历行政裁决的所有阶段。但是,这一原则发展了一种新的排列,包括要求司法审查的请愿人确实遵循了行政上诉程序的所有步骤,但未能在该程序中提出现在寻求在法院提起诉讼的问题的情况。在这些被称为“问题用尽”的情况下,被挫败的请愿人可能会不走运,因为通常没有进一步的机会向行政机关提出问题。从这个意义上说,问题穷竭与准备起诉案件有一些相似之处——一个特定的诉讼当事人被认为不适合在法庭上挑战行政机关的行动。然而,与救济穷竭不同的是,救济穷竭在理论上可以适用于机关规则的制定。正如本文将展示的那样,这已经开始成为现实——如果以过于宽泛的方式应用,将对规则制定过程造成潜在的损害。虽然只有两个联邦法规明确要求在对规则制定的司法审查中使用问题穷竭,但法院已经开始应用更多的一般性穷竭法规来应对规则制定的挑战。将穷尽原则应用于审查机构裁决的一些政策理由也适用于审查规则制定,但并非全部。在某些类型的案件中,将其应用于规则制定挑战也存在一些缺陷。本文是为美国行政会议编写的,审查了有关的法规、发展中的判例法,并建议在对规则的司法审查中对适用问题穷竭加以一定的限制。本文为2015年9月25日通过的行政会议第19号声明《行政规则制定执行前司法审查中的权利穷竭》提供了基础
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引用次数: 1
Inter-Agency Learning in US Regulatory Policymaking 美国监管政策制定中的机构间学习
2区 法学 Q1 Social Sciences Pub Date : 2016-07-31 DOI: 10.2139/ssrn.2817073
Miranda Yaver
While a number of scholars have evaluated the strategies driving congressional decisions to delegate regulatory authority to administrative agencies, the literature has been largely restricted to evaluating the relationship between Congress and its administrative agent. I argue that this presents an incomplete picture of implementation given that it is typically carried out by multiple administrative actors that interact in multiple contexts and that share political principals. Such arrangements for overlapping jurisdiction and interagency organizations provide opportunities for agencies to learn from one another about the constraints of the political environment within which they are operating. This paper provides a preliminary examination of the extent to which administrative agencies can learn from other agencies the preferences of shared political principals and use that information to reshape their regulatory strategies. Using original data on Court of Appeals litigation directed at administrative agencies from the 93rd to the 113th Congress, as well as congressional delegation to administrative agencies within the text of the Statutes at Large, I provide preliminary evidence that when an agency observes a closely-linked agency facing legal constraints, it reshapes its own regulatory strategy so as to provoke less costly litigation. The results pave the way toward further, more in-depth examination of the spillover effects of bureaucratic punishment and the ways in which this inter-agency learning takes place over time.
虽然一些学者已经评估了推动国会决定将监管权力下放给行政机构的策略,但文献在很大程度上仅限于评估国会与其行政代理人之间的关系。我认为,这是一幅不完整的执行图景,因为它通常是由在多种情况下相互作用并具有共同政治原则的多个行政行为者执行的。这种管辖权重叠和机构间组织的安排使各机构有机会相互了解它们所处的政治环境的制约因素。本文初步考察了行政机构在多大程度上可以从其他机构那里学习共同政治原则的偏好,并利用这些信息来重塑其监管策略。利用第93届至第113届国会针对行政机构的上诉法院诉讼的原始数据,以及国会对行政机构的授权,我提供了初步证据,当一个机构观察到一个密切相关的机构面临法律约束时,它会重塑自己的监管策略,以引发成本较低的诉讼。这些结果为进一步、更深入地研究官僚惩罚的溢出效应以及这种机构间学习的方式铺平了道路。
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引用次数: 0
Minimally Democratic Administrative Law 最低限度民主行政法
2区 法学 Q1 Social Sciences Pub Date : 2016-02-22 DOI: 10.2139/SSRN.2736426
Jud Mathews
A persistent challenge for the American administrative state is reconciling the vast powers of unelected agencies with our commitment to government by the people. Many features of contemporary administrative law — from the right to participate in agency processes, to the reason-giving requirements on agencies, to the presidential review of rulemaking — have been justified, at least in part, as means to square the realities of agency power with our democratic commitments. At the root of any such effort there lies a theory of democracy, whether fully articulated or only implicit: some conception of what democracy is about, and what democracy requires. While several conceptions of democracy have influenced administrative law over the years, administrative law has never come to terms with a strand of democratic thought that I term democratic minimalism. Democratic minimalists argue that conventional theories of democracy set unrealistic benchmarks to evaluate government practices, because they expect more than is reasonable of citizens, leaders, and institutions. Accordingly, minimalists seek to offer a less ambitious, more attainable account of democratic governance that nonetheless captures core normative commitments. This Article presents the first account of minimally democratic administrative law. The Article identifies the conceptions of democracy that have dominated thinking about administrative law to this point and highlights challenges to them before outlining a competing, minimalist conception of democracy. It then revisits contemporary debates over how courts should review agency action from a minimalist standpoint.
美国行政国家面临的一个长期挑战是如何调和非选举机构的巨大权力与我们对人民政府的承诺。当代行政法的许多特征- -从参与机构程序的权利,到对机构提出理由的要求,到总统对规则制定的审查- -至少在一定程度上被证明是合理的,作为使机构权力的现实与我们的民主承诺相一致的手段。任何这类努力的根源都是一种民主理论,无论是完全明确的还是仅仅隐含的:关于民主是什么以及民主需要什么的一些概念。虽然多年来有几个民主概念影响了行政法,但行政法从未与我称之为民主极简主义的民主思想达成协议。民主极简主义者认为,传统的民主理论为评估政府行为设定了不切实际的基准,因为它们对公民、领导人和机构的期望超出了合理范围。因此,极简主义者寻求提供一种不那么雄心勃勃、更容易实现的民主治理解释,但仍能抓住核心的规范承诺。本文首次提出了最低限度民主行政法。本文确定了迄今为止主导行政法思考的民主概念,并在概述一个竞争性的、极简主义的民主概念之前,强调了它们面临的挑战。然后,它重新审视了当代关于法院应该如何从极简主义的角度审查机构行为的争论。
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引用次数: 4
4. Due process 4. 正当程序
2区 法学 Q1 Social Sciences Pub Date : 2015-04-01 DOI: 10.1093/HE/9780198714507.003.0004
Timothy Endicott
This chapter explains the overlapping ideas of natural justice, procedural fairness, and due process, and discusses the importance of comity between judges and administrative agencies. The elements of process are outlined: notice and disclosure, oral hearings, waiver, reconsideration, and appeals. Proportionality is presented as a general principle of the procedural duties of public authorities, and the chapter explains the three process values: procedural requirements can improve decisions, treat people with respect, and subject the administration to the rule of law. The chapter explains the irony of process: the law must sometimes require procedures that impose disproportionate burdens on administrative authorities, in order to protect due process. The chapter concludes with an explanation of discretion in process and of the potential dangers involved in administrative processes.
本章解释了自然正义、程序公平和正当程序的重叠概念,并讨论了法官与行政机关之间和睦相处的重要性。程序的要素概述:通知和披露,口头听证,放弃,复议和上诉。相称性是公共权力机关程序义务的一般原则,并解释了程序要求可以改善决策、尊重人民和使行政服从法治的三个过程价值。本章解释了程序的讽刺意味:为了保护正当程序,法律有时必须要求对行政当局施加不成比例的负担的程序。本章最后解释了过程中的自由裁量权和行政程序中涉及的潜在危险。
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引用次数: 0
8. Substantive fairness 8. 实质公平
2区 法学 Q1 Social Sciences Pub Date : 2015-04-01 DOI: 10.1093/HE/9780198714507.003.0008
Timothy Endicott
This chapter shows that judges must substitute their own judgment for that of an administrative authority on some issues, in order to give effect to the principle of legality. When there is reason for non-deferential judicial review, deference would mean abandoning the rule of law. The more interventionist grounds on which judges will control the substance of some decisions—relevance, proportionality, and legitimate expectations—may involve little deference, depending on the type of decision and the context in which it is made. Each of the interventionist doctrines gives the judges the opportunity to do justice for a claimant and to improve public administration. For the very same reasons, each doctrine poses a danger that the judges will make themselves into surrogate administrators by overextending the grounds of judicial review
这一章表明,在某些问题上,法官必须以自己的判断代替行政机关的判断,以实现合法性原则。当有理由进行不尊重的司法审查时,尊重就意味着放弃法治。法官控制某些决定的实质——相关性、相称性和合法预期——所依据的更多的干预主义理由可能涉及很少的尊重,这取决于决定的类型和做出决定的背景。每一种干涉主义学说都给法官提供了为原告伸张正义和改善公共行政的机会。出于同样的原因,每一种原则都带来了一种危险,即法官会通过过度扩展司法审查的理由而使自己成为代理行政官
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引用次数: 0
Administrative Law Through the Lens of Immigration Law 移民法视角下的行政法
2区 法学 Q1 Social Sciences Pub Date : 2012-02-23 DOI: 10.2139/SSRN.2009436
Jill E. Family
Immigration law does lag behind in the advancement of public law, but not in all respects. While immigration law is idiosyncratic in many ways, this article finds immigration law in the administrative law mainstream when it comes to its troubles with nonlegislative rules (sometimes called guidance documents). There are concerns throughout administrative law that agencies use such rules to bind regulated parties practically, even if not legally, without the procedural protections of notice and comment. This article analyzes immigration troubles with nonlegislative rules and makes three main contributions. First, it casts new light on the negative effects of guidance documents by viewing administrative law through the lens of immigration law. In immigration law, the cons of guidance documents play out in the context of some of life’s most fundamental questions: where and with whom to live and to work. Second, by showing how administrative law manifests in immigration law, this article concludes that immigration law’s troubles cannot be divorced from the mainstream administrative law debate over nonlegislative rules. Third, this article also evaluates a procedure new to immigration law: the draft memorandum for comment. Through the draft memorandum for comment procedure, the public may comment on draft guidance documents, but is not afforded the full protections of notice and comment rulemaking. While the new procedure is a pragmatic and positive step for immigration law, this article highlights that nonlegislative rules are not the only administrative tool available and argues for greater priority for notice and comment rulemaking in immigration law.
移民法确实落后于公法的进步,但并非在所有方面。虽然移民法在很多方面都是独特的,但本文发现,当涉及到非立法规则(有时被称为指导文件)的麻烦时,移民法是行政法的主流。在整个行政法中都存在这样的担忧,即机构在没有通知和评论的程序保护的情况下,即使不是在法律上,也会利用这些规则来实际约束受监管的各方。本文分析了非立法规则带来的移民问题,主要有三点贡献。首先,通过移民法的视角审视行政法,对指导性文件的负面影响有了新的认识。在移民法中,指导文件的缺点体现在一些最基本的人生问题的背景下:在哪里和谁一起生活和工作。其次,通过行政法在移民法中的体现,本文得出结论:移民法的困境离不开主流行政法对非立法规则的争论。第三,本文还评估了移民法的一个新程序:征求意见备忘录草案。通过征求意见备忘录草案程序,公众可以对指导性文件草案提出意见,但没有得到通知和意见规则制定的充分保障。虽然新程序是移民法的一个务实和积极的步骤,但本文强调,非立法规则不是唯一可用的行政工具,并主张在移民法中更优先考虑通知和评论规则制定。
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引用次数: 1
Avoiding Normative Canons in the Review of Administrative Interpretations of the Law: A Brand X Doctrine of Constitutional Avoidance 行政法律解释审查中的规范性规范回避:一个品牌的宪法回避主义
2区 法学 Q1 Social Sciences Pub Date : 2012-01-01 DOI: 10.2139/SSRN.1909304
Christopher J. Walker
This Article explores the conflicting commands of modern constitutional avoidance (courts must construe ambiguous statutes not only to adopt a constitutional construction but to avoid constructions that raise constitutional questions) and Chevron deference (courts must defer to an agency’s reasonable interpretation of an ambiguous statute it administers). While courts and commentators have suggested that constitutional avoidance trumps Chevron deference (at either step one or two), this Article advocates that modern avoidance should play no role in the review of administrative interpretations of law. Once Congress has empowered an agency to interpret an ambiguous statutory provision, a court cannot simply invalidate the agency’s interpretation and replace it with one the court believes better avoids constitutional questions. Instead, if an agency’s reasonable interpretation raises constitutional questions, a court must determine whether the interpretation is indeed unconstitutional and thus an impermissible interpretation at Chevron step two. This approach constitutes a return to the classical doctrine of constitutional avoidance, and it finds support in the Supreme Court’s decision in National Cable & Telecommunications Ass’n v. Brand X Internet Services. As the Article illustrates in a variety of administrative contexts, this Brand X doctrine of constitutional avoidance is necessary to preserve a proper separation of powers between the courts, the Executive, and Congress. It is also justified under Dean Edward Rubin’s network theory of administrative law.
本文探讨了现代宪法回避(法院必须解释模棱两可的法规,不仅要采用宪法解释,还要避免引起宪法问题的解释)和雪佛龙服从(法院必须服从一个机构对它所管理的模棱两可的法规的合理解释)的相互冲突的命令。虽然法院和评论家认为,宪法回避胜过雪佛龙的服从(在第一步或第二步),但本文主张,现代回避不应在审查行政法律解释中发挥作用。一旦国会授权一个机构解释模棱两可的法律条款,法院就不能简单地使该机构的解释无效,而代之以法院认为更能避免宪法问题的解释。相反,如果一个机构的合理解释引发了宪法问题,法院必须确定该解释是否确实违宪,因此在雪佛龙的第二步中是不允许的解释。这种方法构成了对宪法回避的经典原则的回归,它在最高法院对国家电缆和电信公司诉X品牌互联网服务的裁决中得到了支持。正如该条在各种行政背景下所说明的那样,这种宪法回避的X牌原则对于保持法院、行政部门和国会之间的适当权力分立是必要的。鲁宾院长的行政法网络理论也证明了这一点。
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引用次数: 1
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Administrative Law Review
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