地方性法规增设行政处罚的规范基础  

Normative Basis of Additional Administrative Penalties in Local Laws and Regulations

作　　者：严于 王太高[1] Yan Yu;Wang Taigao

机构地区：[1]南京大学法学院,江苏南京210093

出　　处：《新疆社会科学》2024年第5期114-125,181,182,共14页Social Sciences in Xinjiang

基　　金：国家社科基金项目“包容审慎监管的法理逻辑与体系展开研究”的阶段性成果。

摘　　要：法律、行政法规对某一抽象事项已有规定时,地方性法规就具体事项增设行政处罚,包括完整增设与补充增设两种类型。对之进行合法性判断时,应根据地方性法规的规范效力推定立法行为合法,采取合法性推定的教义学方法。《立法法》第82条第1款第2项与《行政处罚法》第12条第1款共同构成地方性法规增设行政处罚的授权基础。《行政处罚法》第12条第3款无法支持地方性法规完整增设行政处罚,也不构成对地方性法规补充增设行政处罚的独立授权。地方性法规增设行政处罚,在不违反消极限制的同时,还应符合积极要件。地方性事务标准是地方性法规增设行政处罚的唯一积极要件,可从纵、横两个维度展开,区分为治理对象特殊性、区域特征差异性与治理能力差异性三个子标准。When laws and administrative regulations already provide for an abstract matter,local regulations add administrative penalties for specific matters,including two forms:complete addition and supplementary addition.In determining the legality of such legislative actions,a presumption of legitimacy should be applied according to the legal effect of local regulations,using the dogmatic approach known as“presumption of legality”.Article 82 paragraph 1 item 2 of the Legislation Law and Article 12 paragraph 1 of the Administrative Penalty Law together provide the legal foundation for authorizing local regulations to introduce administrative penalties.Article 12 paragraph 3 of the Administrative Penalty Law cannot support the complete addition of administrative penalties by local regulations,nor does it constitute an independent basis for authorizing such additions.The introduction of administrative penalties in local laws and regulations must satisfy certain positive requirements while not violating negative constraints.The standard of“local affairs”is the only positive criterion for introducing administrative penalties in local laws and regulations.This standard can be analyzed from two dimensions--vertical and horizontal--and can be further subdivided into three criteria:the particularity of governance subjects,the uniqueness of regional characteristics,and the variation in governance capacities.

关 键 词：地方性法规 行政处罚设定权 合法性推定 地方性事务 

分 类 号：D922.11[政治法律—宪法学与行政法学]