通过个案建构规则——基于美国行政裁决个案的研究

Constructing Rules Through Individual Cases: An Investigation Centered on American Administrative Adjudication

行政裁决是美国行政机构的有效治理利器。行政机构可以通过裁决形成政策风向标。在规制实践中,行政机构时常通过某些具体裁决作为公布特定政策的工具。个案裁决的政策适用范围有限,不产生普遍约束力和广泛适用性;但成为制定宽泛政策的风向标,对其他已决个案或未发生的类似个案提供柔性指引。行政机构可以通过个案裁决建构规则体系。行政机构的裁决决定对法律或司法判例之约束进行一定程度的修正,部分裁决甚至会突破法律或司法判例的强制性规定,并在一定程度上形成具有普遍约束力和广泛适用性的规则。行政机构之所以可以通过个案裁决建构规则体系,原因在于行政机构具有某些“固有权威”,这些“固有权威”由官方知识、实践知识与经验、法律背景或立法性事实等构成。

Administrative adjudication is an effective governance tool for U.S.administrative agencies,which can shape policies through adjudication.In regulatory practice,administrative agencies often use certain adjudications as tools to publish certain policies that have limited application scope and do not produce universal binding force and broad applicability,but may provide guidance for other outstanding cases or similar cases that have not occurred.In addition to the unbiased enforcement of the law,the adjudication may amend the law or judicial precedents to a certain extent,or even break through its mandatory provisions,and form rules with universal binding and broad applicability to a certain extent.Official knowledge,practical knowledge and experience,legal background or legislative facts,etc.may all be used as theoretical basis and become the"inherent authority"for administrative agencies to formulate rules through adjudication.