国会控制授权的竞争

IF 2.2 2区 社会学 Q1 LAW Texas Law Review Pub Date : 2002-08-21 DOI:10.2139/SSRN.324482
J. Deshazo, J. Freeman
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Contrary to the conventional view, committee members sometimes defy majority preferences rather than reinforce them. This split occurs because individual committee members, to further their own interests, vie for control over agencies, both with each other and with past enacting majorities. Just as Congress creates a principal-agent problem when it delegates administrative power to agencies, so does it create an internal accountability problem when it delegates oversight power to committees. Indeed, one delegation might exacerbate the other. 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引用次数: 19

摘要

在通过立法时,国会通常会将相当大的自由裁量权委托给行政机构。为了控制其权力的授予,国会主要依靠两种工具:限制机构自由裁量权的法定语言和国会委员会的事后监督。研究这些控制形式的政治学家对它们的相对有效性持不同意见,但他们倾向于假设委员会代表国会工作,以确保机构始终忠于多数人的偏好。因此,在传统的理解中,监督权力的内部授权给国会委员会有助于规范从国会到行政机构的外部授权。我们认为,这种内部授权的使用是一种赌博。与传统观点相反,委员会成员有时无视多数人的偏好,而不是强化它们。之所以出现这种分裂,是因为委员会的个别成员为了增进自己的利益,相互之间以及与过去的多数党议员争夺对机构的控制权。正如国会在将行政权力委托给各机构时造成了委托代理问题一样,它在将监督权委托给各委员会时也造成了内部问责问题。事实上,一个代表团可能会使另一个代表团恶化。总之,这种“双重授权”造成了一个重大风险,即国会的次多数最终将以一种不仅是制定多数无法预见的方式指导机构实施法规,而且由于对委员会的控制不完善,也不会得到当前多数的批准我们称前一个问题为“脱节的多数主义”,因为当国会多数席位随着时间的推移而发生变化时,就会出现这种问题。借用亚历山大·比克尔(Alexander Bickel)对司法机构的著名描述,我们把后一个问题称为次多数主义困难在本文中,我们挑战国会对授权的控制的无差别观点,这种观点假设监督委员会将执行国会多数人的意愿我们的论点是在三十年来有关政府机构是否对国会充分负责的辩论的背景下提出的。虽然一些学者认为国会有效地控制了机构的自由裁量权,但另一些人坚持认为,尽管国会努力约束它们,但机构仍然基本上是自主的使这一学术研究活跃起来的担忧是,那些不受直接选举制裁、拥有监督者所缺乏的信息优势的机构,将出于自身利益、脆弱性或无能而偏离其法定义务为了减轻这种风险,国会严重依赖其委员会。因为这些委员会的成员都是大国会的成员和代表,评论人士倾向于把他们视为两套偏好完美地结合在一起。因此,当一个机构被指控失控或被认为失控时,一般的假设是,受到指责的机构既违反了监督委员会的规定,也违反了这些委员会所代表的更大的国会。此外,评论人士往往不区分立法多数的意愿和后来的国会或委员会的偏好。其结果是,人们倾向于将不同负责人的利益与负责机构监督的国会委员会成员的偏好混为一谈。我们认为,在这种情况下,委托人和代理人之间可能存在跨期竞争,但尚未得到充分探讨。具体来说,机构对国会忠诚的要求增加了至少三个主体之间竞争的可能性:制定多数、现任多数和监督委员会现任成员。在我们看来,最好将国会视为竞争对手的集合,他们争夺对授权给各机构的权力的控制权。…
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The Congressional Competition to Control Delegated Power
I. Introduction When passing legislation, Congress routinely delegates considerable discretionary authority to administrative agencies. To control its grant of power, Congress relies primarily on two instruments: statutory language limiting agency discretion and ex post oversight by congressional committees. Political scientists who study these forms of control disagree about their relative effectiveness, but they tend to assume that committees work on behalf of Congress to see that agencies remain faithful to the majority's preferences. Thus, in the conventional understanding, the internal delegation of oversight authority to congressional committees helps to regulate the external delegation of authority from Congress to administrative agencies. We argue that this use of internal delegation is a gamble. Contrary to the conventional view, committee members sometimes defy majority preferences rather than reinforce them. This split occurs because individual committee members, to further their own interests, vie for control over agencies, both with each other and with past enacting majorities. Just as Congress creates a principal-agent problem when it delegates administrative power to agencies, so does it create an internal accountability problem when it delegates oversight power to committees. Indeed, one delegation might exacerbate the other. Together, this "double delegation" creates a significant risk that sub-majorities of Congress will ultimately direct agency implementation of statutes in a way not only unforeseen by the enacting majority, which expresses its preferences in law, but also unapproved by the current majority due to imperfect control over committees.1 We call the former problem "disjointed majoritarianism"2 because it arises when congressional majorities shift over time. Playing off Alexander Bickel's famous characterization of the judiciary, we call the latter problem the sub-majoritarian difficulty.3 In this Article, we challenge the undifferentiated view of congressional control over delegated power, which assumes that oversight committees will enforce the wishes of a congressional majority.4 Our argument arises against the backdrop of three decades of debate over whether agencies are sufficiently accountable to Congress. While some scholars argue that Congress effectively controls agency discretion,5 others insist that agencies remain substantially autonomous despite congressional efforts to rein them in.6 The worry animating this scholarship is that agencies, insulated from direct electoral sanction and equipped with informational advantages their overseers lack, will drift from their statutory obligations out of self-interest, vulnerability, or ineptitude.7 To mitigate this risk, Congress relies heavily on its committees. Because members of these committees are members of, and deputies for, the larger Congress, commentators tend to treat them as if the two sets of preferences perfectly align. As a result, when an agency is accused of being out of control or deemed a runaway, the general assumption is that the impugned agency has defied both its oversight committees and the larger Congress those committees represent. Further, commentators tend not to differentiate between the wishes of the enacting majority on the one hand, and the preferences of later Congresses or later committees on the other. The result is a tendency to conflate the interests of the different principals with the preferences of the members of congressional committees charged with agency oversight. We believe there may be an intertemporal competition between the principals and agents in this scenario that has yet to be fully explored. Specifically, the demand for agency fidelity to Congress raises the potential for competition among at least three principals: the enacting majority, the current majority, and the current members of oversight committees. In our view, Congress is best viewed as a collection of rivals who vie for control over power delegated to agencies. …
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期刊介绍: The Texas Law Review is a national and international leader in legal scholarship. Texas Law Review is an independent journal, edited and published entirely by students at the University of Texas School of Law. Our seven issues per year contain articles by professors, judges, and practitioners; reviews of important recent books from recognized experts, essays, commentaries; and student written notes. Texas Law Review is currently the ninth most cited legal periodical in federal and state cases in the United States and the thirteenth most cited by legal journals.
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