法规事先审查:原理、基准与程序  

Ex-Ante Legislative Review: Principles, Criteria and Procedures

作　　者：王理万 Wang Liwan

机构地区：[1]中国政法大学人权研究院

出　　处：《地方立法研究》2023年第1期64-77,共14页Local Legislation Journal

基　　金：“中国政法大学钱端升杰出学者支持计划资助项目”;教育部哲学社会科学研究重大课题攻关项目“中国共产党领导法治工作历史进程与经验研究”(21JZD009)的阶段性成果。

摘　　要：确定某类法规纳入事先审查范围,需要考虑其必要性、可行性和分权原则,发挥实际审查效果,同时兼顾立法成本和立法效率。在我国法规事先审查制度中,对自治法规的事先审查旨在提升其效力位阶,保障少数民族合法权益,保持多民族国家的法制统一;对设区的市法规的事先审查基于现阶段设区的市的立法水平的局限性,从而对其立法权力予以适当限制,保持多层级政府间的法制统一。法规的事先审查基准重在其立法权限和立法程序,自治法规还需审查其是否属于自治范围事项以及立法变通事项。法规事先审查形成了“非正式程序中的严格指导”与“正式程序中的宽松审查”相结合的制度安排。在非正式程序中,经由全程参与、广泛咨询和统一审议,提升了法规的合法性、民主性和科学性,使得审查深入至适当性、协调性和技术性层面;在正式程序中,批准虚化为法定的确认步骤,发展出“附修改意见的批准”“退回修改后再提请批准”等多元方式,使得法规事先审查更具弹性空间。When determining an ex-ante review system of a certain type of regulation, authorities should consider its necessity, feasibility, and principle of separation of powers, while balancing the cost and efficiency of legislation. In the ex-ante review system of regulations in China, the ex-ante reviewing of the regulations of autonomous areas aims to enhance the effectiveness of such regulations, protect the rights and interests of ethnic minorities and safeguard uniformity of the legal system of the multi-ethnic country. The ex-ante reviewing of local regulations in the districted city stems from the limited legislative ability of the districted city, and aims to safeguard uniformity of the legal system in multi-level governments. The ex-ante review of local regulations mainly focuses on the legislative authority and procedures, while for the regulations of autonomous areas, the reviewing authorities not only concern the general part but also examine whether the people’s congress of an ethnic autonomous area have the power to develop regulations of autonomous areas and whether those adaptations are within the categories of allowed items. In practice, the ex-ante review has been developed to an approval mechanism that includes “strict guidance during the informal legislative procedure” and “lenient review in the formal legislative procedure”. During the informal legislative procedure, the legitimacy, democracy, and scientificity of regulations are enhanced through the whole process of participation by all sectors of society, extensive consultation of all the public and unified deliberation by the legislative authorities. Whereas in formal legislative procedures, in practice, reviewing agencies have developed multiple methods such as “approval with revision opinions” and “return for revision and then submit for approval”, which makes the ex-ante review system of regulations more flexible.

关 键 词：事先审查 自治法规 设区的市法规 制度原理 审查基准 审查程序 

分 类 号：D921[政治法律—宪法学与行政法学]