【作者】 刘莹；

【导师】 郎志恒；

【作者基本信息】 郑州大学 ， 宪法学与行政法学， 2024， 硕士

【摘要】 随着我国监察体制改革的深入推进,当前国家监察领域的相关制度已基本成形,地方监察规范性文件是监察机关行使监察职能的重要依据,对相关文件进行合理有效的监督,离不开监察规范性文件备案审查机制的构建,这也是当前备案审查工作深入开展的题中之义。由于地方监察规范性文件政治、法律二元属性的交互性,实际工作开展中对相关文件类型辨别存在困难。因此明确相关文件的概念,采用形式性、实质性、整体性的“三阶”认定标准,对相关文件进行区分,是开展地方监察规范性文件备案审查的前置性要求。同时基于地方监察规范性文件政治性、法律性、时代性等特殊性,契合我国备案审查的客观要求以及提升监察工作法治化水平的现实需求,为开展地方监察规范性文件备案审查的研究开展提供充分的论证依据。从文件备案审查的范围与标准、审查组织与方式以及审查的程序和监督等方面入手,对当前地方监察规范性文件备案审查的制度形态作出总体概述。在对相关情况把握的基础上,对各地当前备案审查实践中存在的问题进行分析。如备案审查的范围、标准不明;审查主体审查意识和审查能力欠缺导致的审查主动性弱、审查流于形式、纠错刚性不足;备案审查的衔接中人大与监委衔接不足,党规和国法衔接不畅等。当前面临的相关问题,亟需在体制机制上有所突破,破解监察规范性文件备案审查过程中的难题。对于健全地方监察规范性文件备案审查机制的构想,首先,明确了以人大备案审查为核心并以监察系统内部备案审查为辅的构建原则。继而通过厘清受案范围和排除范围;考虑到监察体制改革后党政合署办公的新形势,多数监察规范性文件依据党内法规制定,体现党的直接领导,因此必须明确政治性、合法合规性、合理性、规范性的统一审查标准;选择依职权审查、依申请审查、移送审查、专项审查、联合审查五种审查方式的来对监察规范性文件备案审查进行系统化构建。如何准确识别相关规范性文件;具备双重性质的纪检监察规范性文件主要涉及党内事务时如何处理;地方人大备案审查系统如何审查合规性标准;通过备案审查和通过衔接联动的移送审查如何进行,这些地方监察规范性文件备案审查系统化构建过程中产生的问题,都必须依托于完善的衔接机制来解决。最后,对完善备案审查衔接机制提出相关建议,主要通过确立以人大为主导的衔接沟通、探索多元参与的文件识别路径、强化审查意见的调和以及搭建信息共享平台来共同打造较为周密的备案审查机制。更多还原

【Abstract】 With the in-depth promotion of China’s supervision system reform,the current national supervision system has basically taken shape,the local supervision normative documents is an important basis for the supervision organs to exercise the supervision function,the supervision of the relevant documents for reasonable and effective supervision,cannot be separated from the supervision of the normative documents for the record to review the mechanism of the construction of the current record review of the work of the in-depth development of the meaning of the title.Due to the interaction of political and legal attributes of the local supervisory normative documents,it is difficult to identify the types of relevant documents in the actual work.Therefore,to clarify the concept of the relevant documents,the use of formal elements,content elements,the system of coherent "three-order" identification criteria,to distinguish between the relevant documents,is to carry out the local supervision of normative documents for the record review of the pre-requirements.Based on the local supervision normative documents of political,legal,period and other special characteristics,fit the objective requirements of China’s record review and enhance the supervision of the rule of law level of the reality of the demand for the development of the local supervision of the normative documents for the record review of the research to provide a sufficient basis for argumentation.Starting from the scope and standards of the document filing review,review organization and methods,as well as review procedures and supervision,etc.,to make a general overview of the current local supervision normative documents filing review of the system form.The current filing review of local problems in the practice of analysis.Such as the scope of the record review,the standard is not clear;review of the main review awareness and review of the lack of ability to review the review of the initiative is weak,the review of the formality,the rigidity of the correction of errors is insufficient;record review of the interface between the NPC and the Supervisory Committee of the articulation is insufficient,the party rules and the state law is not well articulated,and so on.Currently facing the relevant problems,there is an urgent need to make a breakthrough in the institutional mechanism,to crack the supervision of normative documents for the record review process.For the conception of sound local supervision normative documents filing review mechanism,first of all,clear to the National People’s Congress filing review as the core and supervision system internal filing review as a supplement to the construction principle.Then,by clarifying the scope of acceptance and exclusion;considering the new situation of party and government co-location after the reform of the supervision system,most of the supervisory normative documents are formulated based on the party’s internal regulations and embody the direct leadership of the party,so it is necessary to make clear the unified review standards of politics,legal compliance,reasonableness,and standardization;and choosing the review of the five review modes,namely reviewing on the basis of competence,reviewing on the basis of application,transferring to review,reviewing on special occasions,and joint reviewing.to systematize the construction of the filing review of monitoring normative documents.How to accurately identify the relevant normative documents;how to deal with the disciplinary inspection and supervision normative documents with dual nature which mainly involve the internal affairs of the party;how to review the compliance standard by the local people’s congress filing review system;how to carry out the review by filing review and transfer review through articulation linkage,these problems arising from the process of systematic construction of filing review of the local supervisory normative documents have to be relied on the perfect articulation mechanism to Solution.Finally,relevant suggestions are made to improve the articulation mechanism of filing review,mainly through the establishment of articulation communication led by the National People’s Congress,exploring the path of identification of documents with diversified participation,strengthening the reconciliation of review opinions,and building an information-sharing platform to jointly create a more thorough filing review mechanism.更多还原