美国行政法中政策声明制定程序及启示  

Rulemaking Process of Policy Statement in America’s Administrative Law and Enlightenment

作　　者：宋华琳[1] 赵景尧 Song Hualin;Zhao Jingyao

机构地区：[1]南开大学法学院

出　　处：《行政与法》2024年第5期1-19,共19页Administration and Law

基　　金：国家社科基金重大项目“突发重大公共卫生事件防控的法治体系研究”,项目编号:20&ZD188。

摘　　要：我国行政管理中存在大量的指导性文件,其在法律效力和功能上与美国的政策声明相似。政策声明是美国行政规则体系中的重要组成部分。在法律效力方面,政策声明不具有法律拘束力和法律效果,但可能产生事实上的拘束效果。在制定程序方面,政策声明虽豁免适用《联邦行政程序法》第553节规定的通告评论程序,但在实践中经历了加强程序控制、反思过度正式化的程序、关注制定程序电子化和灵活性的发展历程,折射出美国国家机关持续在行政效率与民主价值之间寻求平衡的努力。在类型化的基础上,政策声明的制定可能经历启动、拟定草案、审查、公众评论、公布最终规则和后评估等具体环节。政策声明制定程序受到法院的一定控制,法院可以对行政机关拒绝公众请愿的决定、通告评论、公布最终规则等重要程序进行审查。可借鉴美国政策声明制定程序的规范要求与实践经验,完善我国指导性文件的制定程序,注重指导性文件制定程序的规范性与灵活性,通过前评估与后评估程序发挥行政自我拘束作用。There are a large number of guidance documents in China’s administrative practice,which are similar in legal effect and function to policy statements in the US.Policy statements play an important role in the administrative rule system in the United States.In terms of legal effect,they don’t have the force or effect of law,but may produce a de facto binding effect.In terms of making procedures,they are exempt from the procedure of notice-and-comment provided in§553 of the APA.In practice,policy statements have undergone a development process from strengthening procedural control,rethinking overdue procedures to focusing on the electronicization and flexibility of rulemaking procedures,which reflects the continuing struggle of the US state to strike a balance between administrative efficiency and democracy.On the basis of the categorization of policy statements,the rulemaking procedures may go through specific steps such as initiation,drafting,review,public comment,publication of final rules,and post-evaluation.Meanwhile,the procedures of policy statements are subject to judicial review by the courts,which may review important procedures such as agencies’decisions to reject public petitions,notice-and-comment,and publication of final rules.Therefore,the legal norms and practical experience of the policy statements can be used for reference to improve China’s guidance documents developing.We should concentrate on the standardization and flexibility of the developing process of guidance documents,and play the role of administrative self-restraint through pre-assessment and post-assessment procedures.

关 键 词：政策声明 规则制定 公众参与 司法审查 

分 类 号：D63[政治法律—政治学] F49[政治法律—中外政治制度]