剑走川锋
2005-11-03, 13:43
[原创] 关于“自由裁量权”----不能不知道的真相
剑走川锋
经常泡在坛子里的移友们都听到过“VO拥有‘自由裁量权’”这个说法，也很想知道到底什么是“自由裁量权” ，什么情况下VO会行使“自由裁量权”。它似乎并不只是自评分不够67分的朋友们的一块心病，67分或以上的朋友偶尔也会产生担忧—“我会不会被VO给自由裁量掉了？”
1．什么是“自由裁量权”？
“自由裁量权”的英文正式名称是“Substituted Evaluation”，直译为“替代性评估”，即在VO认为自己给出的评分不足以完全表明申请人能否在加拿大经济自立的时候，依照“移民及难民保护条例 IRPR R76(3)款”所授予的权力，对申请人进行的非常规评估。
IRPR R76 (3) Whether or not the skilled worker has been awarded the minimum number of required points referred to in subsection (2), an officer may substitute for the criteria set out in paragraph (1)(a) their evaluation of the likelihood of the ability of the skilled worker to become economically established in Canada if the number of points awarded is not a sufficient indicator of whether the skilled worker may become economically established in Canada.
This authority may be used if an officer believes the point total is not a sufficient indicator of whether or not the applicant may become economically established in Canada.
2．VO进行自由裁量时，在多大范围内能自主决定哪些因素可以纳入相关考虑因素范围？
VO行使“自由裁量权”时，并无一个事先规定的相关因素列表来限制VO认为的相关因素范围。VO可认为一个或多个因素都是可以影响到申请人是否能在加拿大经济自立的相关因素。
The scope of what an officer might consider as relevant cannot be limited by a prescribed list of factors to be used in support of exercising substituted evaluation. There are any number and combination of considerations that an officer might cite as being pertinent to assessing, as per the wording of R76(3): “. . . the likelihood of the ability of the skilled worker to become economically established in Canada. .
3．VO行使“自由裁量权”的频率如何？
使用频率因签证处而异，由各签证处自行决定。如某签证处认为他们的case中有更多的状况显示申请人所获评分与申请人的经济自立能力之间存在脱节，该签证处可以更多的行使自由裁量权。
Frequency of use will vary from visa office to visa office, as some will find in their caseloads more situations of disconnect between the point total and establishment prospects than will others.
4．分数接近及格分是否就一定促使VO行使自由裁量权？
答案是不一定。需由VO自行识别并用文件记录/证明有哪些事实可说明评估分不足以显示申请人的经济自立能力。
The fact that the applicant “almost attained” a pass mark is not, in itself, grounds to recommend the use of substituted evaluation. Rather, the officer needs to identify and document the facts demonstrating that the points awarded are not a sufficient indicator of the applicant's ability to become economically established in Canada.
5．VO行使“自由裁量权”的程序
分两种情况：
(1)申请者的评估分达到及格线
在此情况下，如果VO决定自由裁量，即行使“否定性的自由裁量权”，
A．需告知申请人自己的疑虑，并给申请人足够的机会对VO的疑虑作出反应。该交流可以通过信函或面试的方式。
B．需获得指定官员的书面同意。
（2）申请者的评估分未达到及格线
在此情况下，如果VO决定自由裁量，即行使“肯定性的自由裁量权”，需获得指定官员的书面同意。
If an officer decides to use substituted evaluation when the applicant did meet the pass mark (i.e., negative substituted evaluation)
• communicate their concerns to the applicant and provide
sufficient opportunity to the applicant to respond to these
concerns, through correspondence or an interview;
• obtain written concurrence from a designated officer.
If an officer decides to use substituted evaluation when the applicant did not meet the pass mark (i.e., positive substituted evaluation)
• obtain written concurrence from a designated officer.
6. “自由裁量权”不得与官方在非常特殊的情况下，基于人道同情而给与准入加拿大的权力相混淆。也不能撤销因安家费不足导致的拒签。
Substituted evaluation is not to be confused with humanitarian and compassionate authority, which enables the Minister or his/her delegates to override inadmissibility and grant admission to Canada in a range of situations involving sufficiently compelling circumstances.
Pursuant to R76(3), substituted evaluation (see Section 11.3) cannot be used to override a refusal due to insufficient funds.
7．可否主动要求VO行使“自由裁量权”？
联邦法庭判例法显示：如果申请人或其代理口头或书面请求VO考虑行使“肯定性自由裁量权”，VO必须仔细研究该案状况。在申请人的案例并不成为需动用“自由裁量权”的迫切案例的时候，VO并无义务进行面试。如VO认为无动用“自由裁量权”的必要，应在审理笔记和拒签信中注明。VO在拒绝行使“肯定性自由裁量权”时，无须征得指定官员的同意。
Federal Court case law indicates that if an applicant or their representative requests orally or in writing that the officer consider exercising these powers in the applicant’s favour, officers must examine the circumstances. There is no requirement that an interview be conducted in all cases when the applicant did not make a compelling case for substituted evaluation. If officers do not consider substituted evaluation appropriate in the circumstances, they should indicate this in file notes and in the refusal letter. Officers do not need the concurrence of the designated officer to deny requests for the use of positive substituted evaluation.
需补充说明的是，技术移民的各甄选标准是客观的且有清晰详尽的定义和说明的。一般情况下，申请人的适合性可由申请表格的内容和相应的佐证材料予以确定。
Selection standards are objective and clearly defined, and eligibility can be assessed in straightforward cases through the information provided on the application for permanent residence forms and the accompanying supporting documentation.
References：
1．IRPR (Immigration and Refugee Protection Regulations)
2. OP 技术移民申请海外审理说明
剑走川锋
经常泡在坛子里的移友们都听到过“VO拥有‘自由裁量权’”这个说法，也很想知道到底什么是“自由裁量权” ，什么情况下VO会行使“自由裁量权”。它似乎并不只是自评分不够67分的朋友们的一块心病，67分或以上的朋友偶尔也会产生担忧—“我会不会被VO给自由裁量掉了？”
1．什么是“自由裁量权”？
“自由裁量权”的英文正式名称是“Substituted Evaluation”，直译为“替代性评估”，即在VO认为自己给出的评分不足以完全表明申请人能否在加拿大经济自立的时候，依照“移民及难民保护条例 IRPR R76(3)款”所授予的权力，对申请人进行的非常规评估。
IRPR R76 (3) Whether or not the skilled worker has been awarded the minimum number of required points referred to in subsection (2), an officer may substitute for the criteria set out in paragraph (1)(a) their evaluation of the likelihood of the ability of the skilled worker to become economically established in Canada if the number of points awarded is not a sufficient indicator of whether the skilled worker may become economically established in Canada.
This authority may be used if an officer believes the point total is not a sufficient indicator of whether or not the applicant may become economically established in Canada.
2．VO进行自由裁量时，在多大范围内能自主决定哪些因素可以纳入相关考虑因素范围？
VO行使“自由裁量权”时，并无一个事先规定的相关因素列表来限制VO认为的相关因素范围。VO可认为一个或多个因素都是可以影响到申请人是否能在加拿大经济自立的相关因素。
The scope of what an officer might consider as relevant cannot be limited by a prescribed list of factors to be used in support of exercising substituted evaluation. There are any number and combination of considerations that an officer might cite as being pertinent to assessing, as per the wording of R76(3): “. . . the likelihood of the ability of the skilled worker to become economically established in Canada. .
3．VO行使“自由裁量权”的频率如何？
使用频率因签证处而异，由各签证处自行决定。如某签证处认为他们的case中有更多的状况显示申请人所获评分与申请人的经济自立能力之间存在脱节，该签证处可以更多的行使自由裁量权。
Frequency of use will vary from visa office to visa office, as some will find in their caseloads more situations of disconnect between the point total and establishment prospects than will others.
4．分数接近及格分是否就一定促使VO行使自由裁量权？
答案是不一定。需由VO自行识别并用文件记录/证明有哪些事实可说明评估分不足以显示申请人的经济自立能力。
The fact that the applicant “almost attained” a pass mark is not, in itself, grounds to recommend the use of substituted evaluation. Rather, the officer needs to identify and document the facts demonstrating that the points awarded are not a sufficient indicator of the applicant's ability to become economically established in Canada.
5．VO行使“自由裁量权”的程序
分两种情况：
(1)申请者的评估分达到及格线
在此情况下，如果VO决定自由裁量，即行使“否定性的自由裁量权”，
A．需告知申请人自己的疑虑，并给申请人足够的机会对VO的疑虑作出反应。该交流可以通过信函或面试的方式。
B．需获得指定官员的书面同意。
（2）申请者的评估分未达到及格线
在此情况下，如果VO决定自由裁量，即行使“肯定性的自由裁量权”，需获得指定官员的书面同意。
If an officer decides to use substituted evaluation when the applicant did meet the pass mark (i.e., negative substituted evaluation)
• communicate their concerns to the applicant and provide
sufficient opportunity to the applicant to respond to these
concerns, through correspondence or an interview;
• obtain written concurrence from a designated officer.
If an officer decides to use substituted evaluation when the applicant did not meet the pass mark (i.e., positive substituted evaluation)
• obtain written concurrence from a designated officer.
6. “自由裁量权”不得与官方在非常特殊的情况下，基于人道同情而给与准入加拿大的权力相混淆。也不能撤销因安家费不足导致的拒签。
Substituted evaluation is not to be confused with humanitarian and compassionate authority, which enables the Minister or his/her delegates to override inadmissibility and grant admission to Canada in a range of situations involving sufficiently compelling circumstances.
Pursuant to R76(3), substituted evaluation (see Section 11.3) cannot be used to override a refusal due to insufficient funds.
7．可否主动要求VO行使“自由裁量权”？
联邦法庭判例法显示：如果申请人或其代理口头或书面请求VO考虑行使“肯定性自由裁量权”，VO必须仔细研究该案状况。在申请人的案例并不成为需动用“自由裁量权”的迫切案例的时候，VO并无义务进行面试。如VO认为无动用“自由裁量权”的必要，应在审理笔记和拒签信中注明。VO在拒绝行使“肯定性自由裁量权”时，无须征得指定官员的同意。
Federal Court case law indicates that if an applicant or their representative requests orally or in writing that the officer consider exercising these powers in the applicant’s favour, officers must examine the circumstances. There is no requirement that an interview be conducted in all cases when the applicant did not make a compelling case for substituted evaluation. If officers do not consider substituted evaluation appropriate in the circumstances, they should indicate this in file notes and in the refusal letter. Officers do not need the concurrence of the designated officer to deny requests for the use of positive substituted evaluation.
需补充说明的是，技术移民的各甄选标准是客观的且有清晰详尽的定义和说明的。一般情况下，申请人的适合性可由申请表格的内容和相应的佐证材料予以确定。
Selection standards are objective and clearly defined, and eligibility can be assessed in straightforward cases through the information provided on the application for permanent residence forms and the accompanying supporting documentation.
References：
1．IRPR (Immigration and Refugee Protection Regulations)
2. OP 技术移民申请海外审理说明