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论备案审查的效力

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效力问题是备案审查制度的"题眼"所在.根据《备案审查决定》第13、14条,备案审查在"有错必纠"环节以"沟通—书面审查意见—纠正和撤销决定—普遍约束力"4个阶层保证备案审查具有制度刚性.鉴于"纠正和撤销决定"通常备而不用,可以考虑赋予"沟通""提出书面审查意见"以预备程序、"判断预告"的性质,将备案审查这一监督权行使作"督促"和"处置"的整体安排.这要求"沟通""提出书面审查意见"必须以外部化、固定化和法效化的方式予以公开.备案审查具有抽象审查的制度特征,赋予"纠正和撤销决定"以普遍约束力是其体现之一."普遍约束力"需要在对其他规范性文件及其制定机关的约束力、"存在同样问题"的认定、有无对司法个案的约束力等层面具体展开.备案审查决定应以不溯及既往为原则,以溯及既往为例外.中国宪法学在当下应当更加重视"宪法程序法"研究.
The Effect of Recordation Review
China has established a recordation review mechanism to strengthen over-sight of legislative activities and ensure that normative documents are consistent with the Consti-tution and laws.The Standing Committee of the National People's Congress(NPCSC)promul-gated the Decision on Improving and Strengthening the Recordation Review System(hereafter referred to as the Decision)on December 29,2023.There are three categories of decisions made under the recordation review system by the special committees of the NPC and the working bodies of the NPCSC("recordation review authorities"):communications,written review opin-ions,and rectification or annulment decisions.Among them,rectification or annulment deci-sions are the most authoritative and potent methods to correct normative documents that are in-consistent with the Constitution or laws.In actuality,the NPCSC has not yet issued any rectifi-cation or annulment decision so far.In the practice of recordation review,recordation review authorities mainly employ methods of communication with enacting organs or the issuance of written review opinions to address normative documents that contravene the Constitution or laws.It is important for recordation review decisions to have a general binding force.Communications and written review opinions can be regarded as the urging phase in which the recordation review authorities exercise their supervisory powers,while correction or annulment decisions represent the enforcement stage.Based on a systematic and teleological interpretation of Articles 13 and 14 of the Decision,communications and written review opinions should also have general bind-ing force.If so,more standardized and institutional arrangements must be made for the publicity mechanism.In the future,all communications and written review opinions can be recorded,numbered,categorized,and published in the form of bulletins or by other appropriate means.Based on the principle of appropriate functional allocation of state power,constitutional review and recordation review conducted by the NPCSC are necessarily general and abstract,rather than case-specific and concrete as judicial review or review by the constitutional court."Gener-al binding force"first refers to the fact that,after a recordation review decision on a normative document is made,other normative documents having the same problems should also be prompt-ly amended or abolished by their formulating authorities.The binding force of recordation review decisions also hinges on their retroactive effect.Generally,all three types of recordation review decisions should adhere to the principle of non-retroactivity.In principle,corrected or annulled normative documents should not be retroactively applied to administrative decisions and judg-ments that have already come into effect.

张翔

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北京大学法学院

普遍约束力 监督权 溯及力 宪法程序法

2023年度研究阐释党的二十大精神国家社会科学基金重大项目

23ZDA074

2024

环球法律评论
中国社会科学院法学研究所

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CSSCICHSSCD北大核心
影响因子:1.188
ISSN:1009-6728
年,卷(期):2024.46(4)