【作者】 田自勇；

【导师】 张继良；

【作者基本信息】 河北师范大学 ， 马克思主义基本原理， 2014， 博士

【摘要】 人民代表大会制度是我国的根本政治制度，是实现人民当家作主的根本制度保证和最高形式，是发展社会主义民主政治的重要内容。党的十八大报告指出：支持和保证人民通过人民代表大会行使国家权力，善于使党的主张通过法定程序成为国家意志，支持人大及其常委会充分发挥国家权力机关作用，依法行使立法、监督、决定、任免等职权。党的十八届三中全会《关于全面深化改革若干重大问题的决定》进一步指出：要推动人民代表大会制度与时俱进，推进人民代表大会制度理论和实践创新，发挥人民代表大会制度的根本政治制度作用，健全人大讨论、决定重大事项制度。这都为进一步加强人民代表大会制度理论研究，促进人民代表大会制度发挥应有的重要作用，指明了新的方向，提出了新的要求。根据宪法法律的规定，我们通常把人民代表大会的职权归纳为四项：立法权、重大事项决定权、监督权和人事任免权。立法权是较大的市及其以上级别的人大及其常委会享有的一项法定职权，重大事项决定权、监督权和人事任免权是各级人大、县级以上人大常委会都享有的法定职权。在多年的实践中，立法权和监督权是人大行使比较多的职权，相对行使的比较到位，也有专门的法律予以保障。在目前条件下，人事任免权在法律程序上的意义更大一些。唯有重大事项决定权在各级人大、县级以上人大常委会普遍行使的较弱、不充分、不到位。从全国人大及其常委会来看，仅行使了宪法列举规定的重大事项决定权，对其他重大事项进行讨论并作出决定的情况很少。从地方人大来看，重大事项决定权的行使更加缺位。宪法和地方组织法赋予了县级以上地方人大及其常委会在经济、政治、文化、教育、科学、体育等领域广泛的决定权，而在实践中，地方人大及其常委会仅就法律明确列举的事项以及法定的程序性事项，行使了决定权，对经济社会发展及其他方面的实体性重大事务进行讨论并作出决定的数量十分有限，比如，山西省人大常委会近30年来，共作出相关决议、决定仅37项，平均一年不到2项，河北省人大常委会近30年来，对实体性问题作出决定的数量平均每年在2项左右。重大事项决定权是宪法、地方组织法赋予人民代表大会、人大常委会讨论决定国家或本区域重大事务的一项基本职权、重要职权，是直接体现国家权力机关性质和作用的一项职权，具有广泛的适用性，特别是对于没有立法权的地方人大，重大事项决定权是其代表人民意志对本地区一些重大事务进行决断的最直接、最有效的手段。然而，人大重大事项决定权的重要性与其实际行使状况形成较大反差。重大事项决定权行使的不到位、不充分，其一，意味着原本属于国家权力机关的部分重大事项决定权被侵蚀；其二，造成应以人民和国家的名义决定的一些重大事项而没有经人民代表大会审议决定，降低了人民代表大会作为国家权力机关的权威，并且由于重大事项决定权的行使存在短板，又制约了国家权力机关整体作用的发挥；其三，反映了党的执政方式和领导方式以及国家决策体制方面还没有真正步入法治的轨道。总之，一定意义上可以说，重大事项决定权制度是人民代表大会制度中的一个争议最大、问题最多、最难实施的制度。正是基于这一制度存在的以上诸多问题，以及党对推进人民代表大会制度与时俱进的时代新要求，本文展开对人民代表大会重大事项决定权制度的阐述。论文的基本脉络为：阐明制度的基本理论问题，考察制度的实施状况，揭示其存在的突出问题，分析相关国外制度的启示，提出改革与完善的建议。全文分为引言、正文、结论三部分。引言主要说明了论文选题的意义，国内外研究现状，研究思路，研究方法，论文框架，论文的创新和不足之处。结论总体概括了人民代表大会重大事项决定权制度的性质、意义，以及改革与完善的主要思路和措施。正文分为五章。第一章，人民代表大会重大事项决定权制度的一般理论。本章目的在于阐明重大事项决定权制度的相关基本理论问题，使人们对人民代表大会重大事项决定权制度有一个基本概念认识，这部分内容包括：重大事项决定权制度的内涵、法理特征、主要理论渊源、法律关系、种类，以及重大事项决定权与人大其他职权之间的关系。第二章，人民代表大会重大事项决定权制度的当代价值与功能。本章从五个方面阐述了人大重大事项决定权制度的当代价值与功能：重大事项决定权制度是加强与改善党的领导的重要方法，是实现党的执政方式现代化的重要途径，是促进人大自身发展的新突破口，是化解社会突出矛盾和问题的有效办法，是发挥地方自主权的重要机制等，以上内容进一步深化了对人民代表大会重大事项决定权制度在当前推进社会主义民主政治发展和依法治国中的重大作用的认识。第三章，人民代表大会重大事项决定权制度法律规定的历史沿革。本章按照历史发展进程，简要考察了革命年代党领导建立的不同政权形式下，重大事项决定权制度的形成与演变，包括作为人民代表大会重大事项决定权制度原型的俄国苏维埃制度的形成及苏维埃重大事项决定职权的概况，党领导建立的苏维埃政权、议会民主制、参议会制、中央人民政府委员会和人民代表会议制下的重大事项决定权制度。然后，考察了新中国宪法与相关法律对人民代表大会重大事项决定权制度的规定及演变，整体呈现了人民代表大会重大事项决定权制度的历史原貌，形成对这一制度的全面深刻认识，为在新时期更好地改进、完善、用好这一制度提供了认识论前提，奠定了实践基础。第四章，人民代表大会重大事项决定权制度的实施状况、存在问题及原因分析。首先，从初步实施、实施变化、废置、恢复、不断完善五个阶段考察了全国人大重大事项决定权制度的实施状况。之后，以H省人大常委会为例，考察了地方人大重大事项决定权制度的实施状况，分析了其行使重大事项决定权的特点，简述了市县乡人大重大事项决定权制度的实施，分析了地方人大行使预算审批权的基本情况。根据上述实证考察，分析人民代表大会重大事项决定权制度实施中存在的突出问题及原因，包括：传统体制的延续与法治观念的缺失、缺乏专门法律保障、缺乏明确的判定标准、缺乏可操作的启动程序、人大自身建设的不足，等等。特别是实证分析了H省关于讨论决定重大事项的地方性法规存在的问题。第五章，人民代表大会重大事项决定权制度的改革与完善。首先，选取了英国、美国、德国这三个具有代表性的国家作为考察对象，阐明了英国议会、美国国会、德国议会关于重大事项决定权制度的实施程序及有益启示。然后，从立法、实施程序、国家决策权力运行机制与人大自身建设等四个方面，详细阐述了人民代表大会重大事项决定权制度改革与完善的理论构想与具体措施。在立法方面，分为两个层面作了阐述，一是加强全国人大及其常委会关于财税权的立法，原因在于，对政府财权的控制和监督是人大最为重大的决定事项之一，通过控制财权也可以一定程度上达到对政府部分其他重大行为的控制和监督，因此，需要通过财政立法的改革与完善，加强人大财政权的行使。此外，目前我国的财税立法授权过渡，财税法律体系混乱，需要全国人大及其常委会收回国家的财税立法权，规范财政立法，形成统一的财政立法体系，为人民代表大会重大事项财政审批权提供科学的法律依据。二是修改与完善地方人大重大事项决定权立法,提出了地方性法规的修改建议。在实施程序方面，提出七个程序方面的改革建议：完善启动程序，引入辩论制度，部分实行“三审制”，完善听证制度，改进特别调查制度，完善监督检查与责任追究制度，改革与完善预算决定制度。在国家决策权力的运行机制方面，重点提出执政党的权力要回归法治坐标，调整和优化党的领导方式，更多地通过人大实现党的领导，最终形成“党发起动议、人大作出决策、政府加以执行”的权力运行机制。最后提出了加强人大及其常委会自身建设方面的内容，如：优化人大常委会组成人员结构，改进人大常委会会期制度，改进人大常委会服务制度，建立与完善人民代表、常委会委员与人民群众的联系制度，等等。更多还原

【Abstract】 The People’s Congress System is China’s fundamental political system, the fundamentalguarantee and the highest form of realizing the wishes that the people are the masters of thecountry, and the important content of developing socialist democratic politics. The18thNational Congress of the Communist Party of China report points out: Supporting andguaranteeing people’s execution of national power through the people’s congress, well makingParty’s views turn into national wills through legal procedures, and supporting the people’scongress and its standing committee to fully play a role as the organ of state power, andlegally execute such powers as legislation, supervision, decision, and appointment anddismissal.“Decisions on Several Significant Issues of Deepening the Reform in an All-roundWay” at the Third Plenary Session of the18thCentral Committee of the CPC further pointsout: Pushing forward the people’s congress system for advancing with the times, promotingtheoretical and practical innovations of the people’s congress system, playing the people’scongress role as the fundamental political system, and improving the people’s congress systemof making discussions and decisions on significant matters. All of these point out neworientations, and advance new requirements for further strengthening the theoretical study ofthe people’s congress system, and promoting the people’s congress system to play its ownimportant role.In accordance with stipulations in the Constitution and laws, we usually summarize thepeople’s congress power into four items: Legislative power, decision-making power onsignificant matters, supervision power, and power of appointment and dismissal. Thelegislative power is a legal power enjoyed by the People’s Congress and its standingcommittee at municipality level and above; the decision-making power on significant matters,the supervision power, and the power of appointment and dismissal are legal powers enjoyedpeople’s congresses at all levels, and the standing committee of the people’s congress atcounty level and above. In practices of many years, the legislative power and the supervisionpower are main powers executed by the people’s congress, which have good execution andspecial laws for guarantee. In present conditions, the power of appointment and dismissal hasmore significance in respect of legal procedures. Only the decision-making power on significant matters has poor and inadequate execution universally at people’s congresses at alllevels, the standing committee of the people’s congress at county level and above. TheNational People’s Congress and its standing committee merely executes the decision-makingpower on significant matters enumerated and stipulated in the Constitution, and seldom makesdiscussions and decisions on other significant matters. At local people’s congresses, theexecution of the decision-making power on significant matters is more absent. TheConstitution and the Local Organization Law endow local people’s congresses and theirstanding committees at county level and above with extensive decision-making powers ineconomy, politics, culture, education, science, sports, etc.; yet in practice, local people’scongresses and their standing committees execute decision-making powers merely in respectof matters clearly enumerated in law and legal procedural matters, and seldom makesdiscussions and decisions on significant matters of entity in economic and social developmentand other fields, for example, the Standing Committee of the People’s Congress of ShanxiProvince has made merely a total of37relevant resolutions/decisions over the past30years,1fewer than two yearly on an average basis, and the Standing Committee of the People’sCongress of Hebei Province has made two decisions on issues of entity yearly on an averagebasis over the past30years.The decision-making power on significant matters is a basic and important power ofmaking discussions and decisions on national or local significant matters that the Constitutionand the Local Organization Law endow the people’s congress and its standing committee, anda power that directly represents the nature and role of the organ of state power, which has anextensive applicability, and particularly for local people’s congresses without the legislativepower, the decision-making power on significant matters is the most direct and effectivemeans for them to make decisions on some local significant matters on behalf of people’swills. However, the importance of the people’s congress decision-making power on significantmatters has a big contrast with its actual execution. The decision-making power on significantmatters has poor and inadequate execution, which (1) means that part of the decision-makingpower on significant matters originally belonging to the organ of state power has been eroded(2) results in the fact that some significant matters that should be resolved in the name ofpeople and country have not been through discussions and decisions at the people’s congress, which has lowered the authority of the people’s congress as the organ of state power, andowing to weaknesses existing in execution of the decision-making power on significantmatters, also constrained overall performance of the organ of state power (3) reflects thatParty ruling and leadership modes and the state decision-making system have not reallystepped onto rule-of-law track yet. In a certain sense, the system of decision-making power onsignificant matters is one that has the biggest dispute, most problems, and most difficulties inimplementation in the people’s congress system. Just on the basis of above problems existingin this system, and Party’s new requirements for the people’s congress system advancing withthe times, this paper expounds the People’s Congress System of Decision-making Power onSignificant Matters. The basic framework of this paper is: Expounding basic theories of thissystem; examining implementation of this system; revealing its main problems existing;analyzing enlightenments of relevant overseas systems; putting forward proposals on reformand improvement. The whole paper falls into three parts of Introduction, Text, andConclusions. Introduction mainly specifies significance of the paper topic-establishment,present situations of domestic and overseas studies, study thoughts, study methods, paperframework, paper innovations and defects. Conclusions summarize the nature andsignificance of the People’s Congress System of Decision-making Power on SignificantMatters, as well as main thoughts and measures of reform and improvement. Text falls intofive chapters.Chapter1is the general theory of the People’s Congress System of Decision-makingPower on Significant Matters. This Chapter aims at specifying basic theories concerning theSystem of Decision-making Power on Significant Matters, and giving an overall andsystematic knowledge of the People’s Congress System of Decision-making Power onSignificant Matters, including connotation, characteristics, main theoretical sources, legalrelations, categories, as well as relationships between the Decision-making Power onSignificant Matters and other powers of the People’s Congress.Chapter2is the contemporary value and function of the People’s Congress System ofDecision-making Power on Significant Matters. This Chapter discuss five aspect of thecontemporary value and function of the People’s Congress System of Decision-making Poweron Significant Matters:the System of Decision-making Power on Significant Matters is the important method to strengthen and improve the leadership of the Party, is the important wayto realize modernization of governance of the Party, is the new breakthrough point toaccelebrate the self-development of the People’s Congress, is the effective way to solve theobvious contradictions and problems in the society, is the important mechanism to play thelocal autonomous right. The above contents will deepen further the people’s understanding tothe important role of the System of the Decision-making Power on Significant Matters as aimportant constitution system in developing socialist democratic politics and governing thestate by law.Chapter3is the history of law on the System of the decision-making on significantmatters power. The Chapter, according to the history development process, first makes a briefreview of the formation and evolution of the System of Decision-making Power onSignificant Matters in different forms of regimes established under Party’s leadership in therevolutionary era, which includes general situations of the formation of the Russian Sovietsystem as the prototype for the People’s Congress System of Decision-making Power onSignificant Matters, the Soviet decision-making power on significant matters, and the Systemof Decision-making Power on Significant Matters under the Soviet regime, the parliamentarydemocracy system, the Senate system, the central people’s government commission and thePeople’s Congress System established under Party’s leadership. Then through reviewingexpression and evolution of the new China’s constitution and other law on theDecision-making Power on Significant Matters of the People’s Congress, it presents overallthe historic character of the System of the Decision-making Power on Significant Matters, andto deepen the overall understanding of it,and to offer the premise of epistemology and lay thepractice foundation for preferably improving,perfecting,using the system.Chapter4is the implementation situation, existing problem and analysis of causes of theSystem of the decision-making power on significant matters.Firstly,it reviews implementationsituation of the National People’s Congress System of Decision-making Power on SignificantMatters from five phases of initial implementation, implementation changes, annulment,restoration, and constant improvement. After this, it takes the Standing Committee of thePeople’s Congress of H Province as an example to review implementation of the localpeople’s congress system of decision-making power on significant matters, analyzes its characteristics of execution decision-making power on significant matters, and briefly statesimplementation of municipality/county/township people’s congress system ofdecision-making power on significant matters, with the emphasis on an analysis of basicdetails of execution of budget approval power of local people’s congresses. On the basis ofabove empirical reviews, it analyzes main problems existing in implementation of thePeople’s Congress System of Decision-making Power on Significant Matters and their causes,including continuation of traditional systems and absence of rule-of-law concept, noavailability of special law guarantee and clear criteria of judgment and workable start-upprocedures, as well as defects existing in the People’s Congress self-building, etc.. Particularlyit makes an empirical analysis of problems existing in H Province’s local laws and regulationsconcerning discussions and decisions on significant matters.Chapter5is reform and improvement of the People’s Congress System ofDecision-making Power on Significant Matters. Firstly, it takes the representative EnglandAmerica and Germeny as subjects of study, and to state the implement procedure and usefulenlightenment of the British Parliament,the U.S.Congress,the German Parliament on theSystem of the Decision-making Power on Significant Matters. Then the chapter expoundstheoretical conceptions and specific measures of reform and improvement of the People’sCongress System of Decision-making Power on Significant Matters in four aspects oflegislation, operational mechanisms of state decision-making power, implementingprocedures and the people’s congress self-building. It makes clear statements at two layers inrespect of legislation. One is to strengthen the legislation by the National People’s Congressand its standing committee concerning power of finance and taxation because control andsupervision of governmental finance power is one of most significant decision-makingmatters of the people’s congress, and also control and supervision of part of othergovernmental significant practices may be realized to some extent through control of financepower; therefore, there is a need to strengthen execution of finance power of the people’scongress through reform and improvement of finance legislation. In addition, China’s presentlegislation of finance and taxation has the problem of excessive authorization and confusionin legal systems of finance and taxation, and thus there is a need for the National People’sCongress and its standing committee to recover the state legislation power of finance and taxation, regulate finance legislation, establish a unified system of finance legislation, andprovide scientific legal basis for finance approval power of the people’s congress onsignificant matters. The other is to revise and improve the legislation of local people’scongresses on decision-making power on significant matters, and advance basic requirementsand principles that should be followed in legislation, and on this basis, put forward a revisedproposal draft of “Regulations of the Standing Committee of the People’s Congress of HProvince on Making Discussions and Decisions on Significant Matters”. In respect ofimplementing procedures, it advances seven proposals of reform of procedures: Improving thestart-up procedure; introducing the argument system; partially implementing “Three ReviewSystem”; improving the hearing system; bettering the special investigation system; improvingthe system of supervision/examination and accountability; reforming and improving thesystem of budget decision. In respect of the operation mechanism of state decision-makingpower, it advances the main points of returning the ruling party power to the right rule-of-lawtrack, reforming Party leadership modes, turning the focus of Party leadership fromgovernments to the people’s congress, and finally forming the power operation mechanism of“Party initiates motions, the people’s congress makes decisions, and governments implementthem”. Finally, it advances contents of strengthening the self-building of the people’s congressand its standing committee, such as: Optimizing the composition of the standing committee ofthe people’s congress; improving the meeting duration system of the standing committee ofthe people’s congress; bettering the service system of the standing committee of the people’scongress; setting up and improving the system of connection between people’s representatives,members of standing committees, and ordinary people; etc..更多还原