【作者】 王丽；

【导师】 姚建宗；

【作者基本信息】 吉林大学 ， 法学理论， 2015， 博士

【摘要】 我国的改革开放已逾30多年，由于中国的改革开放没有现成的经验和模式可以搬用，因而在激活利益细胞的同时，也加剧了各种利益矛盾。地方立法是各地调整利益关系的主要方式之一。从1979年至今30年来，地方立法作为国家立法体制中的一个重要组成部分，在改革开放中与时俱进，给地方经济社会生活带来重大而积极的影响。正因如此，扩展地方立法权成为大势所趋。党的十八届四中全会决定提出，依法赋予设区的市地方立法权;2015年3月15日，十二届人大三次会议通过立法法修订草案，全国284个设区市均可行使地方立法权，地方立法权适用范围覆盖全国至设区市。怎样在地方立法利益衡量的过程中，确定利益的轻重、主次、先后之别，并对各种利益给予合理的兼顾，对地方立法者而言绝对是个难题。地方立法者在进行利益衡量时，必须树立和而不同、互利共赢的思维，统筹协调利益分配所涉及的各个方面；必须保持中立乃至超然的态度，充分考虑利益平衡的原则、标准和方法，提供利益表达渠道和利益博弈平台。能否处理好各种利益关系，不仅考量地方立法者的政治智慧，同时，也决定着地方立法的质量高低。围绕“地方立法的利益衡量问题”，本文第一章探讨法律与利益的一般关系，首先揭示了利益是法律的本源和实质内容。其次对利益调整的法律机制进行了探究，从法律权利、法律义务和法律责任三方面揭示了法律如何以自己的方式来对利益进行调整。最后从立法作为利益的法律调整的基本方式的角度进入考察，先对立法的本质内涵进行论证，论证立法的实质是利益表达、利益确认、利益平衡和利益格局的重整。而立法的基本方式则是利益衡量。这是本文的理论基础。接下来，本文从应然性和实然性角度出发，阐释了地方立法利益衡量的“实然状态”、“应然状态”及从“实然状态”到“应然状态”的路径。第三章“地方立法中利益衡量的基本原则”和第四章“地方立法中的利益衡量的基本方法”这两部分的内容，是使用了价值分析方法对地方立法利益衡量问题的“应然状态”进行了探讨和论证。第三章中的基本原则包括法治原则、人权保障原则、平等对待原则、民主原则、统筹兼顾原则和比例原则。这是利益衡量者在对利益进行调整，对权利义务进行实质分配时应当遵循的依据和标准；第四章的内容是“地方立法中的利益衡量的基本方法”。以利益识别、利益排序以及利益选择三个环节步步推进。第一步是对利益进行识别，包括对利益的定量识别和定性识别；第二步是对利益进行排序。这里又包括以利益本身之重要性程度为标准的利益排序和以利益主体为标准的利益排序；最后一步是地方立法中的利益选择，分为不等量利益矛盾中的利益选择和等量利益矛盾中的利益选择。通过对地方立法利益衡量基本原则和基本方法的确立，大致搭建了地方立法利益衡量的价值体系和方法论体系，尤其是将利益衡量的基本方法通过一系列的规则予以量化，提供了利益衡量操作上的指引，有助于解决目前地方立法研究和决策中的一大难题——即立法价值目标的多样性与实证化、制度化的矛盾。本文第二章“地方立法中的利益诉求与利益矛盾”和第五章“地方立法中利益衡量存在的主要问题”则主要从实然性角度出发，剖析和论证了地方利益衡量的现状和利益衡量中存在的主要问题。主要的利益矛盾有个体利益与公共利益的矛盾、部门利益与部门利益之间的矛盾、环境利益与经济利益之间的矛盾、地方利益与中央利益之间的矛盾以及精神利益之间的矛盾。存在的主要问题是，地方立法中公共权力的扩张问题；地方立法中的部门利益的扩张问题；地方立法中的多元利益的统筹协调问题以及地方立法利益衡量中的度的把握问题。通过对地方立法实践中的利益诉求、利益矛盾和利益衡量中存在的具体问题的研究，梳理出规律性的认识，掌握地方立法利益衡量实践的全程和概貌。从“实然”到“应然”之间，应当搭建一座抵达目标的桥梁。第六章所讲“地方立法中利益衡量的实践改进”就是这座桥梁，即在对地方立法利益衡量单边性和民主性、利益衡量者“知识有限性”与“衡量知识综合性”、超前性与实效性三对矛盾进行深刻剖析的基础上，提出有针对性的整改措施和抵达目标的有效途径。它们是：利益主体的参与，专家的介入以及利益衡量方案的检测与完善。在目前在地方立法利益衡量研究领域，研究成果不算丰富，甚至流于零星和粗浅，很多的研究也是单侧面的情形下，本论文以“利益衡量”为核心，从多角度进入进行剖析和论证，理论和实践相结合，观点和事例相观照，将这些年蓬勃、活跃的地方立法状态予以生动的呈现，较为系统、全面、整体地揭示了地方立法利益衡量的全貌，提出了地方立法利益衡量需要遵循的原则和方法，对完善地方立法利益衡量的实践进路进行了探索，较好地弥补了现有的研究空白。并寄望对地方立法的具体利益衡量活动有所裨益，使利益衡量的结果能够限制公权力，兼顾冲突权利，保障弱势权利，达致和谐社会的价值共识，并得到最大范围的认可和遵守。更多还原

【Abstract】 Has more than30years of reform and opening-up in China, because China’sreform and opening up have no ready-made experience and model can copy, andtherefore the activation cell of interest at the same time, also contributed to the variousinterests contradiction. Local legislation is one of the most important way to adjust theinterest relationship around. Since1979for30years, local legislation as an importantpart in the national legislation system, to keep pace with The Times, in the reform andopening up to local economic and social life have significant and positive influence.Because of this, expand the local legislative power to become the trend of The Times.Eighteen the fourth plenary session of the party’s decision, in accordance with thegiven place in the legislative power; On March15,2015, the12th National People’sCongress meeting three times by a draft amendment to the legislative law, thecountry’s284a city divided into districts may exercise the local legislative power, thelocal legislative power scope covering the whole country to the city divided intodistricts. How to measure in the process of interest, determine the weight of theinterests, primary and secondary, successively, and reasonable consideration to avariety of interests, is a difficult problem for local legislators. Local lawmakers oninterest measure, must set up and the different, mutually beneficial and win-winthinking, to coordinate all aspects of the interest distribution involved; Must remainneutral and detached attitude, give full consideration to the principle of balancing ofinterests, standards and methods, and provide interests expression channels and gameplatform. Can deal with all kinds of interest relations, not only consider locallawmakers political wisdom, at the same time, also determines the quality of locallegislation.The interests of the measure about “local legislation”, this article first chapterdiscusses the interests of the law and the general relationship, first revealed the interest is the source and substance of the law. Of the second for the adjustment of theinterests of the legal mechanism that, from a legal rights, legal obligations, and legalresponsibility three aspect reveals how the law in their own way to adjust the interests.Finally from the interests of the legislation as a law adjust the Angle of the basic wayto enter, the essential connotation of legislative, first argument legislation is theessence of interest expression, interest pattern recognition, balancing of interests andinterests of reforming. The basic mode of legislation is interest measure. This is thetheoretical basis of this article. Next, this article from the perspective of ought to beand reality, illustrates the interest measure of local legislation, the state of “reality”,“natural state” and from “reality” to “ought to” path. The third chapter“the basicprinciple of benefit measure” in the local legislation and the fourth chapter“interestmeasure the basic method of local legislation” the two parts of content, is the use ofthe value analysis method to the problems of local legislation interest measure“oughtto be status” were discussed and demonstrated. The third chapter the basic principlesincluding the principle of the rule of law, human rights protection principle, equalityprinciple, democracy principle, principle and proportion principle of making overallplans. This is interests in measure to adjust, to substance distribution on the rights andobligations shall follow the standard and basis; The fourth chapter is “the basic waysof interest measure of local legislation”. To interest recognition, interest and interestselection, three links the advancing step by step. The first step is for identification ofinterests, including quantitative and qualitative recognition of interests; The secondstep is to sort of interests. Here again the importance of including profit itself a degreeas the standard sort of interests and the interests of the interests of the main body forthe standard sort; The last step is to benefit of local legislation choice, divided intodifferent amounts interests contradiction of choice and same interests contradiction ofchoice. Benefit measure based on local legislation the establishment of basicprinciples and basic methods, rough set up interest measure the value of the locallegislation system and methodology system, especially the interest measure the basicmethod is quantified by a series of rules, interest measurement provides guidance onthe operation, help solve the local legislation is a difficult problem in research and decision making-the legislative value target of the contradiction between diversityand evidence-based and institutionalized. In this paper, the second chapter “theinterests of local legislation and interests contradiction” and the fifth chapter “themain problems of interest measurement in local legislation” mainly from solid sexperspective, analyzes and demonstrates the current situation of local interests tomeasure interest measurement and the main problems existing in. The interests of themain contradiction with the contradiction between individual interests and publicinterests, the contradiction between the department and departmental interests, thecontradiction between environmental interests and economic interests, thecontradiction between local interests and the interests and the contradiction betweenthe spiritual interests. The main problem is that the local legislation in the expansionof public power; The expansion of the departmental benefit of local legislation;Multiple interests overall coordination problems of local legislation and locallegislative interest measure the degree of assurance. By means of local legislationpractice interests appeal, interests conflicts and measure of specific problems in theresearch, the regularity of teasing out, master in the whole process of the benefitmeasure local legislation practice and interviews. From “reality” to “ought” between,should build a bridge of arrived at the target. Chapter6of“local legislation in thepractice of the benefit measure improvement” is the bridge, is in the interests of locallegislation measures unilateral and democracy, interest measure is “the knowledgelimitation” and “measuring knowledge comprehensive” three pairs of contradictions,advanced and practical effectiveness on the basis of profound analysis, targetedimprovement measures are put forward and the effective ways to reach target. Theyare: the participation of stakeholders, the expert intervention and interest measurescheme of testing and improvement.In the field of current research to measure the interests of local legislation,research results is not rich, sporadic and shallow, and even a lot of research is also onethe situation,“the measure of interests” as the core, this paper analyzes and frommultiple perspectives into the argument, the combination of theory and practice, ideas and examples, the vigorous and active over the years the local lawmaking status to bevivid, a systematic, comprehensive and overall interest measurement reveals that thelocal legislation of the whole, put forward the interests of local legislation needed tofollow the principle and method of measure, measure to perfecting the locallegislation interests has explored into the practice of road, to make up the blank of theexisting research. And hope that the specific interests of local legislation beneficialmeasure activity, make the result of the benefit measure to restrict the public power,both conflict of rights, and protect the rights of the weak, to achieve the harmonioussociety’s value consensus, and get the biggest range of recognition and abide by it.更多还原