权力清单与责任清单的衔接性及其制度选择

论文总字数：21971字

摘 要

理论上多作为独立概念表达出现的权力清单与责任清单在实践中往往一并存在。我国行政机关权力清单与责任清单的衔接性程度分为低、中、高三个等级，分别对应分离型、相对独立型、紧密型的权力清单与责任清单衔接模式。此种“三分天下”局面的形成，不乏制度、技术、成本、理念等因素的游离与干扰。分离型衔接模式下权力清单独占鳌头，责任清单有名无实，有违“权责一致”的行政法基本原则；紧密型衔接模式下责任清单的编制过度依赖权力清单编制逻辑而处于难以自洽的尴尬境地。与此二者不同，相对独立型衔接模式下的责任清单在权力清单之外单独编制，责任事项系统规范，同时责任清单的职责内容与权力清单实现了衔接，因此具有重大意义，应成为权力清单与责任清单衔接性的制度选择。在制度完善方面，相对独立型衔接模式下的权力清单应在贯彻依法行政原则、激活评价机制的基础上，将所有行政权力类型化；责任清单应选择职责追责型的内部构造模式，并在此基础上进一步优化。由此实现二者的完美衔接。

关键词：权力清单 责任清单 衔接性 相对独立型衔接模式

ABSTRACT

The power list and the responsibility list that generally appear as independent concepts often exist together in practice. The degree of cohesiveness between the power list and the responsibility list of China's administrative organs is divided into three levels: low, medium and high. They respectively correspond to separate, relatively independent and compact connection mode of the power list and the responsibility list. The formation of such a ‘three-point world’ situation is due to the dissociation and interference of factors such as system, technology, cost and concept. In the separate connection mode, the power list is dominant, and the responsibility list remain in name only. It violates the basic principle of parity of authority and responsibility of administrative law; The preparation of the responsibility list in the compact connection mode relies too much on the logic of power list compilation, which leads the responsibility list to an embarrassing situation where the responsibility list can hardly testify itself. Different from the two, the responsibility list under the relatively independent connection mode is compiled separately from the power list, and the responsibility items are systematical and normative. At the same time, the obligation content of the responsibility list is connected with the power list. Therefore, the relatively independent connection mode is of theoretical and practical significance and it should become the institutional choice for the cohesiveness of the power list and the responsibility list. In the internal structure, the power list in the relatively independent mode should make all administrative powers typed on the base of the implementation of the principle of legal administration and the activation of the evaluation mechanism; The responsibility list should choose the internal structure mode which include both obligation and accountability and make further optimization on the base of this choice. The perfect connection of the power list and the responsibility list will be achieved then.

Key words: Power List; Responsibility List; Cohesiveness; Relatively independent connection mode

目 录

摘 要 …………………………………………………………………………………………Ⅰ

Abstract …………………………………………………………………………………………Ⅱ

一、问题的起源 ……………………………………………………………………………… 1

二、权力清单与责任清单衔接性的实证考察及其解释 …………………………………… 1

（一）我国行政机关权力清单与责任清单衔接性的三种型态 …………………………… 1

（二）外部型态多样的原因 ………………………………………………………………… 2

1.制度因素 ………………………………………………………………………………… 2

2.技术因素 ………………………………………………………………………………… 3

3.成本因素 ………………………………………………………………………………… 3

4.理念因素 ………………………………………………………………………………… 3

三、避免走向极端：分离型、紧密型衔接模式的弊端 …………………………………… 4

（一）分离型衔接模式顾此失彼 …………………………………………………………… 4

（二）紧密型衔接模式难以自洽 …………………………………………………………… 4

（三）传统文化的渗透：中庸之道 ………………………………………………………… 6

四、相对独立型衔接模式的意义 …………………………………………………………… 7

（一）促进责任政府建设 …………………………………………………………………… 7

（二）减少行政推诿 ………………………………………………………………………… 8

（三）遥相呼应：权责一致原则之遵循 …………………………………………………… 8

五、相对独立型衔接模式的内部构造及其完善 …………………………………………… 9

（一）权力清单的内部构造及其完善 ……………………………………………………… 9

（二）责任清单的内部构造及其完善 ………………………………………………………11

1.完成责任清单与权力清单的对接 ………………………………………………………11

2.完善责任清单的内部构造……………………………………………………………… 11

六、结语 ………………………………………………………………………………………13

参考文献……………………………………………………………………………………… 15

致谢…………………………………………………………………………………………… 16

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