备案审查意见作为溯及既往立法的合宪性理由  

On the Recording and Review Opinion as the Constitutional Gr ound for Retroactive Legislation

作　　者：姜秉曦 JIANG Bingxi

机构地区：[1]南京大学法学院,江苏南京210008

出　　处：《政治与法律》2024年第11期97-112,共16页Political Science and Law

基　　金：国家社会科学基金青年项目“法典编纂中溯及既往立法的合宪性审查研究”(项目编号:24CFX005)的研究成果。

摘　　要：备案审查溯及力制度的规范建构不仅需要关注“备案审查结果的溯及力”问题,而且应关注“备案审查立法的溯及力”问题。后者的问题核心在于制定机关能否根据备案审查意见赋予纠正后的规范性文件以溯及既往的效力。立足于法不溯及既往原则,备案审查意见构成信赖不值得保护的重要理由,奠定了制定机关溯及既往立法的合宪性基础。然而,不同类型的溯及既往立法因其对公民信赖利益干预程度的不同,须以不同类型的备案审查意见为依据,并接受不同强度、基准的合宪性审查。其中,突破既判力的溯及既往立法,理论上应绝对禁止,只能在极端例外的情形下基于撤销决定或法律解释作出,并须接受重大性与迫切性双重基准的合宪性审查。真正的溯及既往立法应以禁止为原则、容许为例外,可基于撤销决定、法律解释或确认违宪违法决定作出,同时须接受重大性基准的审查。不真正的溯及既往立法则以容许为原则、禁止为例外,不仅向所有类型的备案审查意见开放,而且其审查基准所要求的“重大性”被放宽到了关于优势公共利益的证成。The normative construction of the system of retroactive effect in the recording and review requires attention not only to the issue of the“retroactive effect of the result of the recording and review”,but also to the issue of the“retroactive effect of the legislation based on the recording and review”.The core of the latter issue lies in whether the legislature can endow the corrected normative document with retroactive effect according to the recording and review opinion.Based on the principle of non-retroactivity,the recording and review opinion constitutes an important reason for the reliance not meriting protection,thus laying the constitutional foundation for retroactive legislation made by the legislature.However,different types of retroactive legislation,due to their different degrees of interference in citizens’reliance interests,must be subjected to constitutional review with different degrees of strictness and benchmarks on basis of different types of recording and review opinions.Among them,retroactive legislation that breaks through the res judicata should theoretically be absolutely prohibited,and can only be made on the basis of annulment decision or legal interpretation in extremely exceptional cases and subject to constitutional review based on the dual benchmarks of materiality and urgency.Genuine retroactive legislation should normally be prohibited as a principle and permitted as an exception,and may be made on basis of annulment decision,legal interpretation or decision of confirming unconstitutionality or unlawfulness and be subject to review based on the benchmark of materiality.Non-genuine retroactive legislation is permissible as a principle and prohibited as an exception,thus it is open to all types of recording and review opinions,and furthermore the“materiality”required in the benchmark of review is also relaxed to the proof of preponderance of public interest.

关 键 词：备案审查 溯及力 法不溯及既往 合宪性审查 

分 类 号：DF2[政治法律—宪法学与行政法学]