行政机关责任编制规则的法治重构

论文总字数：19137字

摘 要

2017年5月9日国务院办公厅颁布《开展基层政务公开标准化规范化试点工作方案》，其中明确要求“依据权责清单进行全面梳理，确保公开事项分类科学、指向明确”。然而，诸多实践和理论上的问题阻碍责任清单的统一，也限制其制度作用的充分发挥。以31个省级政府公布的责任清单范本及其他相关文件为对象，从责任清单的编制依据、编制主体、编制程序和编制内容四个方面入手，着重对采取独立型责任清单形式的14个省级政府的实践样态开展深入的观察分析，指出其存在的问题。之后，结合学界相关研究成果，反思责任清单制度理论上的缺陷与不足，对责任清单的概念、性质等本体论问题给出理论方案。在前两部分讨论的基础上，给出责任清单制度的完善方案：行政机关制定的规范性文件、“三定”方案应作为责任清单的编制依据；通过备案审查和事后审查相结合的方式对编制主体正当性进行补正；从行政正当程序理论出发，完善编制程序中的过程公开与专家参与；结合罗尔斯的正义论理论，对编制内容进行法学建构。以期对我国责任清单制度的完善有所裨益，推进法治政府、法治国家建设。

关键词：责任清单；编制规则；法治方案

Abstract

On May 9, 2017, the General Office of the State Council promulgated the "Working Plan for the Implementation of Standardization of Open Administrative Practices at the Grass-roots Level", which explicitly requires "to comprehensively sort out according to the power and responsibility list to ensure that the public matters have scientific classifications, clear directions." However, many practical and theoretical problems hinder the unification of the list of responsibilities and limit the full play of this institutional role. This article targeted at the regulatory documents related to the responsibility list and the samples promoted by 31 provincial governments, starting from the four dimensions of the compilation basis, the main body, the process and the content about the responsibility list, focusing on a comprehensive and systematic empirical observation of the practices of the 14 provincial governments which take the form of an independent liability list and pointing out their existing problems. Afterwards, in light of the relevant research results of the academic community, we reflected the issues that the lack of public law theory about the liability list system, and offered some theoretical solutions to the ontological issues such as the concept and nature of the responsibility list. On the basis of the discussion about the first two parts, a rule-of-law program for reconstructing the liability list system was given: the regulatory documents formulated by the administrative authorities and the “three-defining” program should be used as the compilation basis of the liability list; correcting the legitimacy of the compiling body through a combination of filing review and post examination; perfecting the open procedures and the expert participation during the establishment process from the theory of administrative due process; establishing a legal construction on the system content combining Rawls' Theory of Justice. It is helpful to improve the system of China's responsibility list and promote the construction of a government under the rule of law and a country under the rule of law.

Key words: Responsibility list；Compiling rules；Rule of law program

目 录

摘 要 I

Abstract II

引 言 1

一、责任清单编制规则的实践样态及其问题 1

（一）编制依据 1

（二）编制主体 2

（三）编制程序 3

（四）编制内容 4

二、逻辑起点：责任清单概念和性质辨证 5

（一）责任清单的概念 5

1、责任清单的内涵 5

2、责任清单的外延 7

（二）责任清单的性质 7

1、信息公开说 7

2、规范性文件说 7

3、行政自制规范说 7

三、重构责任清单编制规则的法治方案 9

（一）编制依据 9

（二）编制主体 10

（三）编制程序 11

（四）编制内容 12

结 语 13

参考文献 14

致谢 15

引 言

近年来随着改革的深入，公众对国家治理能力尤其是政府服务水平有了更高的期待。基于此，中共中央、国务院创造性的提出建立权责清单制度，逐步达到“法无授权不可为、法定职责必须为”以更好的推进依法行政、建设法治国家。2015年中共中央办公厅、国务院办公厅公布《关于推行地方各级政府工作部门权力清单制度的指导意见》（以下简称《指导意见》），权力清单的顶层设计得以浮出水面，但如何编制责任清单尚不明晰。至今，责任清单的顶层布局仍未出台。顶层设计的缺失很大程度上造成了责任清单制度操作上的难题：地方政府责任清单的编制内容、程序等方面各不相同。毫无疑问，这损害了法律制度的体系性与严谨性。另外，责任清单制度的理论建构同样存在缺失，目前学界多立足于行政学、行政管理学等学科进行制度研究，责任清单制度的法学理论研究特别是公法学理论研究还尚显浅薄。显而易见，编制责任清单属行政行为，亦应在建设法治政府、法治目标的涵摄之下，因此，法学学科理论研究亦是责任清单制度完善的前提保障。

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