【作者】 陈光；

【导师】 汪全胜；

【作者基本信息】 山东大学 ， 法学理论， 2011， 博士

【摘要】 近年来,随着我国区域经济、社会一体化进程的加快,尤其是区域发展总体战略和主体功能区战略的提出和实施,新的区域发展规划不断推出,各种形式的区域合作层出不穷,有力地促进了区域内部各种资源的整合,增强了各区域发展的协调性和内聚力。区域发展离不开立法与法律。学者们非常重视区域合作与发展过程中有关立法和法律问题的研究,尤其就该如何满足区域合作与发展所需法制这一重要的理论和实践问题,进行了较多地思考和探讨。区域立法就是在这样的背景中被提出来的。本文同样以区域立法为题,综合运用实证分析、比较研究和规范分析等方法,并借助经济学、社会学和管理学等相关理论,对构成区域立法的关键要素——协调机制,进行了系统地构建和研究。期望通过这一努力,能真正有效地推动区域立法实践广泛开展并走向深入,以此为我国区域经济、社会一体化的发展提供系统而有效的法制保障。包括导论在内,文章共有六大部分内容。其中,导论部分就选题的背景和意义、区域立法和区域立法协调机制的国内外研究状况,以及本文的研究方法分别做了较为具体的阐述。区域合作与发展可以在国际和国内两个层面上展开,就一国范围而言,许多国家都曾经或正在采取区域性发展战略或模式,我国也不例外。区域合作与发展所需法制的供给应主要靠区域立法来实现。本文将区域立法定位为一种区域内地方合作立法的模式。而若要保障这一模式下的区域立法有效开展,需要借助于相应的立法协调机制。但是,究竟该建立哪些区域立法协调机制,以及该如何建立等,国内很少有学者对此进行系统而深入地研究,国外的相关研究也缺乏直接的相关性。因此,做好相关研究,对于建立和完善区域立法理论,推动区域立法实践具有重要的理论价值和实践意义。第一章为区域立法协调机制的基础理论阐述,以及对区域立法实践进行考察思考。在研究区域立法协调机制之前,首先应该对“区域”和“区域立法”这两个概念进行界定。根据研究的需要,本文对“区域”进行了三次界定,并设置了两个标准：经济标准和法律标准。区域立法的具体含义是指特定区域内地方立法机关,基于区域性事务管理或服务的法律需求,所进行的合作立法。区域立法包括四个要素：立法主体、立法权、立法程序和立法协调机制。如何从理论上回答区域立法何以可能,是研究区域立法和建构区域立法协调机制必需解决的首要问题。对此,文章分析指出,在满足区域发展法制需求方面,中央立法和地方立法都存在难以克服的缺陷,产生自现行立法体制框架下的区域立法或可担此重任。区域立法的实质是地方治理权的合作,而这一合作能够成行可从政治学、经济学和社会学的视角予以证立。当然,区域立法在当前还面临着许多制度问题,如缺乏合法性依据、与现行立法体制的融合,以及地方立法权配置不均衡等问题,需要加以改进。任何立法都离不开协调。我国《立法法》中设置了许多关于立法协调的条款,由此也形成了基本的立法协调机制体系。区域立法兼有立法和合作双重属性,协调更是必不可少。区域立法协调包括立法主体的协调、立法文本内容的协调、立法程序的协调、立法体系的协调,以及立法与现实和发展需要的协调等内容。区域立法协调也要通过相应的协调机制来实现。区域立法协调机制的构建,既要以《立法法》等所规定的立法协调机制为基础,又要兼顾区域立法的特点,尤其要注重对立法合作的协调。区域立法协调机制的完善与否同区域立法实践状况直接相关。区域立法在我国尚处于实践探索中,尴尬与希望并存。构建区域立法协调机制,一方面要借鉴现有区域合作协调机制,另一方面要解决好有关理论和制度问题。第二章重点考察了欧盟立法和美国区域合作中的有关协调经验。欧盟立法在此主要指的是由欧盟立法机构进行的立法,亦称二级立法或派生立法。欧盟立法中的协调机制主要有权限界分机制、磋商机制、调解机制、有差别的表决机制,以及公众参与机制等。由于立法体制等方面的差异,在区域政策或法律的制定方面,我们无法通过与我国区域立法所采取的立法模式相比照的方式获得有关经验,但美国在区域政府之间的合作过程中,积累了非常丰富和有效的协调机制,如政府间契约和区域委员会等,这些都可以为区域立法协调所借鉴。对欧盟立法和美国区域合作协调经验的借鉴包括理念和制度两个方面。其中,可借鉴的理念包括权力让渡和共享理念、契约理念,以及协调的制度化理念。对于我国的区域立法协调而言,权力让渡与共享理念至少应该反映在两个方面：一是区域内各地方立法机关在进行立法合作时,愿意在哪些领域及多大程度上实现立法权区域内共享；二是在构建和运行有关区域立法协调机制时,社会组织或有关社会主体在其中出于怎样的地位,将会发挥多大的作用。契约理念内含的两个基本原则,即合作原则和平等原则,同样具有重要的借鉴意义。制度借鉴方面,除了一些具体的协调机制外,本文重点探讨了区域立法协调委员会的设立与运行问题。区域立法协调委员会的基本职能是协调区域立法或从事与区域立法协调有关的工作,具体包括三个方面：一是专门针对区域立法活动的协调；二是承载某些区域立法协调机制的运作；三是与区域立法有关的其他协调工作。第三章至第五章分别针对区域立法准备阶段、确立阶段和完善阶段各自的工作内容或任务,较为系统地构建起了我国区域立法协调机制体系。文章中不仅指出了有关协调机制对于区域立法的协调意义所在,还就各项机制如何操作或运作从制度上予以明确设置。具体而言,围绕区域立法准备阶段的主要工作或任务,文章认为,可以通过省(市)际协议、区域立法规划和区域立法起草论证这样三种机制,来协调区域立法准备阶段的有关活动。其中,省(市)际协议的签订,可以为区域立法提供方针指导,明确立法调整的对象或内容。签订省(市)际协议需要经过发出合作意向、达成合意、拟定协议草案等步骤。区域立法中的省(市)际协议存在制度缺陷,需要加以改进。通过区域立法规划,将某些区域立法项目提上正式的立法日程,在真正迈出区域立法活动第一步的同时,也协调了区域立法活动自身、区域立法理论与实践之间、区域立法同现实和发展需要之间的关系。对于区域立法规划的编制,文章从编制主体、依据和内容,以及基本步骤三个方面进行了探讨,提出了相应的建议。区域立法起草论证指向区域立法规划中所确定的立法项目的起草时机和条件,通过论证,可以很好地为接下来的区域立法起草活动等提供决策依据。区域立法确立阶段需要协调的对象或内容较多,包括立法主体、文本内容和立法程序三个方面的协调。为此,文章分别针对区域立法主体行为、文本内容和立法程序设置了相应的协调机制。其中,区域立法联席会议、立法调解和公众参与这三种机制用于协调区域立法职权主体之间,以及职权主体与参与主体之间的行为关系。而委托起草、利益共享与补偿、民间规范认可和文本预先审查这四种机制则可以有效地协调区域立法文本内容的确定。用来协调区域立法程序的机制则包括同步提案或送审机制、表决期限机制和协商加入机制等。在有针对性地构建相关机制,指出其所能发挥的协调意义及其实施步骤的同时,文章还对其中的部分协调机制——区域立法联席会议和公众参与机制的理论或实践现状进行了反思。区域立法活动如果顺利完成,其结果是生成相应的区域性法文件,具体表现为区域性法规和区域性规章两种法律形式。区域性法文件实施过程也即区域立法进入完善阶段。在这一阶段,区域立法可能会由于立法主体自身的原因,或者立法适用者的原因,或者区域经济、社会已经发展变化的原因等,而出现立法冲突、立法空白或相关条款含义不明,以及立法同区域社会现实和发展需要之间过分脱节等现象。这些都需要借助相应的协调机制予以协调。文章就其中的区域立法冲突解决机制、立法解释机制,以及区域立法后评估机制进行了探讨。冲突解决机制具体又包括效力位阶原则、特别法优先于一般法适用原则等内容,其协调意义主要表现在两个方面：体系性协调和现实性协调。区域立法解释又可分为释义型解释和寻据型解释,它在协调区域立法文本体系及与社会现实和发展需要之间的关系方面发挥着重要作用。区域立法在实施一段时间后,立法主体应该及时地对其实施效果进行评估,发现其中的问题并作出评估回应——修改、补充、解释或废止等。可见,区域立法后评估是协调区域立法主体在立法完善阶段的行为,以及增进区域立法同社会现实和发展需要之间协调性的重要机制。实际上,本文对区域立法协调机制的系统构建与研究,不仅着眼于每项机制的内容、协调意义及其操作步骤,也为我国今后区域立法的开展与实施提供了一种相对细致、可行的制度框架,这可能是本文最主要的理论贡献。更多还原

【Abstract】 In recent years, along with the speed up of regional economic and society integration, especially the proposing of master strategy for regional development and strategy of development priority zones new regional development plans are continually pushed out and all kinds of regional cooperation emerge in endlessly, which strangely promote the resources integration in all the regions, and enhance the regional development coordination and cohesion. Regional development cannot leave the legislation and laws. The scholars attach great importance to the research on the legislation and laws in the process of regional cooperation and development, especially on question of how to meet the legal needs of regional cooperation and development which already have many thinking and discussion. Regional legislation has been come up in this background. The article also talked about regional legislation, which structured and studied regional legislation coordination mechanisms systematically by means of empirical analysis, comparative study and normative analysis, and by virtue of economic, sociological and management theories. We hope that regional legislation practice can be extensively carried out and head deeply through the efforts in order to provide systematic and effective law safeguard for the regional economic and social integration.The article comprised of six parts besides introduction. The background and significance of the selected title, domestic and overseas research status of regional legislation and the coordination mechanisms, as well as the study methods are respectively stated concretely in the introductory part. Regional cooperation and development may come true both at home and at aboard. Considering a national range, many countries already have taken or are taking the regional development strategy or pattern besides our country. The supply of legal system needed by regional cooperation and development should rely on regional legislation mainly. Regional legislation is located as the pattern of local legislative cooperation in the article. In order to make regional legislation of this pattern come true, some legislative coordination mechanisms should be resorted to. However, some questions such as what coordination mechanisms should be constructed and how to construct are stilled lack of systematic and deep research in domestic. The overseas relative research also lacked direct relevance. Therefore, it has important theoretical value and practice significance to do the relevant research well for building up and perfect the regional legislation theory and promoting the regional legislation practice.Chapter One is about the fundamental theory of regional legislation coordination and investigation and thinking about regional legislation practice. Before the research on regional legislation coordination mechanisms, the two concepts "Region" and "Regional legislation" should be firstly defined. The article make three defining about "Region" and set up two standards which are economic and legal standard according to the needs of research. The concrete meaning of regional legislation is the local legislatures in certain region cooperate in legislation basis on the legal needs of regional affairs management or service. Regional legislation contains four elements which are legislative body, legislative power, legislative procedure and legislative coordination mechanism.How to answer in theory why regional legislation is possible is the first question to resolve for the research on regional legislation and construction of regional legislation coordination mechanisms. Withal, the article points out that both central and local legislation have overcoming hard defects to meet the legal needs of regional development, but regional legislation originating on current legislative system frame may take the burden. The essence of regional legislation is the cooperation of local governance power, which cooperation is possible can gain justification from the view angles of political science, economics and sociological science. Of course, regional legislation have many institutional problems now such as lack of legitimacy basis, combining with current legislation system, as well as imbalance allocation of local legislative powers, which all need to improve.Any legislation cannot leave the coordination. Many clauses about legislative coordination are set in the Legislative Law of our country, and then the fundamental legislation coordination system formed. Regional legislation has double attributes of legislation and cooperation. Coordination is essential. Regional legislation coordination contains the coordination of legislative bodies, legislative text contents, legislative procedure, legislative system and the coordination between legislation and the needs of regional reality and development. Regional legislation coordination should be carried out through relevant coordination mechanisms. The construction of regional legislation coordination needs to base on the legislation coordination regulated in the Legislative Law and give attention to the features of regional legislation, especially pay attention to the coordination of legislative cooperation. The perfection or not is directly related with the practice of regional legislation. Regional legislation still stays at practice. Embarrassment and hope coexist. It needs to draw lessons from current regional cooperation mechanisms in one hand, and in another hand to resolve relevant theory and institution problems to construct the regional legislation coordination mechanisms.The coordination experiences of EU legislation and American regional cooperation are mainly investigated in Chapter Two. Here EU legislation means the legislation made by EU legislature, which also is called secondary legislation or subsequent legislation. The coordination mechanisms in the EU legislation contain power-distinguishing mechanism, consultation mechanism, mediation mechanism, different-voting mechanism and public participation mechanism and so on. As the difference in legislative system, we cannot get some experiences by comparing with the legislative pattern of our regional legislation directly in the policy or law making. But some ample and effective coordination mechanisms in American regional governmental cooperation are accumulated, which can be lessoned by regional legislation, such as governmental agreement and regional committee.The coordination experiences drawing on from EU legislation and American regional cooperation contain two dimensions both in ideas and in institutions. The ideas contain power releasing and sharing idea, contract idea and coordination institutionalizing idea. For regional legislation of our country, the power releasing and sharing idea reflects in two dimensions, one of which is local legislatures in certain regional would like to share legislative power in what fields and how much when cooperating., the other of which is the social organizations or social subjects are in what kinds of position and produce how much effect when the regional legislation coordination mechanisms are built and operating. The contract idea has two principles which are cooperation principle and equality principle. They also have important reference significance. As for institution reference, the article mainly discussed the set-up and operation of regional legislation coordination committee besides some concrete coordination mechanisms. The basic function of the regional legislation coordination mechanisms is to specialize in the regional legislation coordination or the affairs related to the regional legislation coordination. Specifically, the function contains three dimensions:the coordination on account of regional legislation, loading some regional legislation mechanisms’operation and some other coordination work related to regional legislation. Regional legislation mechanism system of our country is constructed systematically, respectively aiming at preparatory stage, establishment and perfect stage of regional legislation in Chapter Three to Chapter Five. The article not only point out the coordination significance of coordination mechanisms to regional legislation, but also set up the institution of how the mechanisms operate.Specifically, around the main work or task of regional legislative preparatory stage, the article argue that we can refer to inter-provincial (inter-city) agreement mechanism, regional legislative programming mechanism and regional legislative drawing demonstration mechanism to coordinate relevant activities in regional legislative preparatory stage. The signing of inter-provincial (inter-city) agreement can provide guideline for regional legislation and clear the legislative target or contents. The signing inter-provincial (inter-city) agreement need go through relevant steps, such as conveying the cooperation intent, reaching the minds and draft the agreement signing. Inter-provincial (inter-city) agreement of regional legislation has institutional defects that need to improve. Regional legislative programming can be used to bring some regional legislative programs on the agenda, which can coordinate the regional legislative activity itself, and the relationship between regional legislative theory and practice, as well as the regional legislation and the needs of reality and development, meanwhile it means regional legislation taking the first step. The regional legislative programming is discussed from compilation bodies, basis and contents, as well as fundamental steps, some advices are given. Regional legislative drawing argument points at the timing and conditions of the legislative programs that are determined in the regional legislative programming. Through the demonstration, decision basis can be provided for the next regional legislative drawing.There are more objects or contents that need to coordinate in the regional legislative establishment stage, such as legislative bodies, contents of text and legislative procedure. The relevant coordination mechanisms pointing at the activities of regional legislative bodies, contents of text and legislative procedure are set up. Regional legislative joint conference, legislative mediation and public participation can be used to coordinate the relationships among regional legislative authority bodies, as well as between the authority body and participation body. Four mechanisms such as delegated drafting, benefit sharing and compensating, folk norm confirming mechanism and preview of text can be used to coordinate the text contents of regional legislation effectively. The mechanisms used to coordinate regional legislative procedure contain synchronous proposal or approval, voting time limit and joining through consulting. Meanwhile the relevant mechanisms are constructed correspondingly and the coordination significance and the operating steps are pointed out, the some of the mechanisms, such as regional legislative joint conference and public participation mechanism are rethought from theory and practice in the article.If regional legislation carries out smoothly, relevant regional legal documents are produced, showing in detail regional law and regional regulation. The putting into effect of regional legal documents means that regional legislation come into the perfect stage. In this stage, regional legislation may appear legislative conflicts, legislative blank or ambiguous clause, and the legislation out of the needs of regional social reality and development because of legislative body itself or legislative user or the change of regional economy and society. These all need to coordinate by relevant coordination mechanisms.The mechanisms of regional legislative conflict-resolution, legislative interpretation, folk norm confirming and regional legislative aveluation are discussed in the article. The conflict-resolution mechanism of regional legislation contains the principle of effect-grade, and the principle of special law prior to general law, and so on, the coordination of which contains systematic and realistic coordination. Regional legislative interpretation can be divided defining-type and finding-basis-type legislative interpretation. Both of them play an important role in the coordination of the relationship between regional legislative document system and the needs of social reality and development. The legislative body should aveluate the carryout effect of regional legislation and find the problems and make relevant aveluation responds such as modification, supplement, interpretation or abolishment when regional legislation is carried out for some time. Then regional legislative aveluation is an important coordination mechanism to coordinate the activity of regional legislative bodies in legislative perfect stage and to promote the coordination between regional legislation and the needs of social reality and development.In fact, the systematic construction and research on regional legislation coordination mechanisms is not only view to the contents, coordination significance and the operating steps of each mechanism, but also to provide a institutional framework for the future launching and carryout of regional legislation of our country. That is possibly the main attribution of this article.更多还原