讨论公安行政处罚告知程序的理论渊源

刘成江


　　一、公安行政处罚告知程序的宪政法基础
　　公安行政处罚告知程序的宪政法基础是行政处罚当事人在行政处罚法律关系中的主体法律地位。它直接导源于现代宪政理论中国家对人权的尊重和保护的理念。人权与宪政是近代政治的全部内容，宪政就是民主政治，是通过宪法实现和保障的民主政治。民主政治建立在主权在民的理论基础之上，它的宗旨是保障和实现人权。战后这一宪政理念的高扬对现代行政法产生了巨大的影响，导致了现代行政法的主题发生了深刻的变化。这一变化所结出的宪政硕果之一就是行政程序法的产生与发达。行政程序法的基本理念是，行政相对人不再是行政主体的行政权可任意支配的客体，而是一个具有独立利益、且不可任意支配的主体，是限制行政主体滥用职权的有效力量。在行政程序法中创设告知程序，既是对当事人人格尊重的具体体现，也是防止行政主体滥用职权的法律机制。
　　二、公安行政处罚告知程序的程序法基础
　　在现代社会，法治的实现过程主要是一个程序化过程：其一，法治的本质决定了法治的原则主要是程序原则；其二，法治的实现过程依赖于程序，没有程序就没有法治。法治的核心理念是“法律至上”，对于政府权力而言，这意味着在法治状态下，静态的政府权力受到法律的“边际约束”；动态的政府权力受到法律的控制。但是，政府权力同时又是法律授予的。在这一意义上，法治理念似乎暗示，必须先授予权力，然后必须对权力予以必要的制约。这看似矛盾，其实不然。因为法治所强调的对权力进行制约的核心，不在于从实体上对法律授予的政府权力进行制约，而主要是从程序上要求政府权力必须理性地而非恣意地或专断地行使。行政权的扩张以及由此而来的行政权对社会生活的各个领域全方位的渗透，一方面是现代社会的现实需要，另一方面，行政权的膨胀也对现代社会中的个人权利与自由带来潜在或现实的威胁。权力必须受到制约，这是法治的基本要求。如果说，在自由资本主义时期，对权力的制约主要靠实体的限制，即“管的越少的政府就是越好的政府”的话，那么在现代社会不得不在实体上赋予政府以强大权力的情况下，对这种权力的制约在更大程度上必须诉诸程序，“程序的控制之所以重要，就是因为在实体上不得不赋予行政机关很大的权力”通过行政程序对权力的行使进行事前和事中的监督和制约，防止行政权的滥用，促进行政权行使的效率，平衡行政权和相对方权利之间的关系，保障相对方的合法权益，已成为现代法治社会的一个重要特征。将政府权力纳入具有理性结构的程序之中，并运用程序制度来防止权力行使过程中的恣意和专断，是整个法治过程中人们一直不断努力的重心所在。公安行政处罚告知程序实质即行政程序的确立是公安机关依法行政，正确行使行政权力，保障当事人的合法权益的重要保证，是社会主义法制建设的进一步完善，是社会主义民主制度在法律上的表现。
　　三、公安行政处罚告知程序的行政知情权基础
　　所谓行政知情权，就是公民依法通过各种途径和形式获取，知晓行政活动的宗旨、原则、依据、程序及其结果的权利。它是公民民主政治权利的重要组成部分，也是表现行政公开的突出权利，体现了现代民主与文明的基本要求。
　　现代法治国家普遍确认了公民的行政知情权，并且确立了保障公民行政知情权的法律制度。
　　1946年联合国通过的第59号决议宣布：知情权为基本人权之一。
　　1949年《德意志联邦共和国基本法》第5条第1款规定：“人人有自由采访可允许报道的消息的权利”；第42条第1款规定：“联邦议院的会议公开举行。”这是较早确认知情权的一部宪法。德国于1966年制定的《行政程序法标准草案》和1976年制定的《行政程序法》都规定：在影响当事人权利的行政处分作出前，应当给予当事人陈述事实的机会，当事人在法律允许的情况下有查阅案件卷宗材料的请求权，给予当事人表明意见的机会，从而确立了公民的行政知情权。
　　日本在1962年公布了《行政不服审查法》，确立了一种“教示”制度，即行政厅在作出可以提出不服申诉的处分时，应主动或通过申请给当事人以“教示”，告知受处分人是否可以申诉，向哪一机关申诉、申诉的期限等以及教示错误要承担的相应责任。
　　以上各国有关行政知情权的立法，其共同之处在于对行政知情权的确认与保护是通过行政处分中的告知或听政程序的规定来加以体现的。也就是为了确认和保护公民的行政知情权，法律通过设立告知程序来加以保障。行政机关在对行政管理相对人作出影响其权利的行政处罚时，都应当给予当事人陈述事实的机会，告知与行政处罚有关的内容、理由、依据及其应享有的权利。


北安市人民法院 刘成江
对外贸易经济合作部


中华人民共和国出口货物原产地规则(附英文)
1992年5月1日，对外经济贸易部

第一条 为了加强对出口货物原产地工作的管理，促进对外经济贸易的发展，制定本规则。
第二条 中华人民共和国出口货物原产地证明书（以下简称原产地证）是证明有关出口货物原产地为中华人民共和国的证明文件。＃13第三条 国家对外经济贸易主管部门对全国出口货物原产地工作实施统一监督管理。
省、自治区、直辖市人民政府对外经济贸易主管部门负责协调本行政区域内的出口货物原产地工作。
第四条 国家进出口商品检验部门设在地方的进出口商品检验机构、中国国际贸易促进委员会及其分会以及国家对外经济贸易主管部门指定的其他机构，按照国家对外经济贸易主管部门的规定签发原产地证。
第五条 在中华人民共和国境内依法设立，享有对外贸易经营权的企业，从事“来料加工”、“来样加工”、“来件装配”和“补偿贸易”业务的企业，外商投资企业，可以根据需要向本规则第四条规定的签发机构申请领取原产地证。
第六条 符合下列标准之一的出口货物，其原产地为中华人民共和国：
（一）全部在中华人民共和国境内生产或者制造的产品，包括：
1、从中华人民共和国领土和大陆架提取的矿产品；
2、在中华人民共和国境内收获或者采集的植物及其产品；
3、在中华人民共和国境内繁殖和饲养的动物及其产品；
4、在中华人民共和国境内狩猎或者捕捞获得的产品；
5、由中华人民共和国船只或者其他工具从海洋获得的海产品和其他产品及其加工制成的产品；
6、在中华人民共和国境内制造、加工过程中回收的废物和废料及在中华人民共和国境内收集的其他废旧物品；
7、在中华人民共和国境内完全用上述产品以及其他非进口原料加工制成的产品。
（二）部分或者全部使用进口原料、零部件，在中华人民共和国境内进行主要的及最后的制造、加工工序，使其外形、性质、形态或者用途产生实质性改变的产品。制造、加工工序清单，按照以制造、加工工序为主，辅以构成比例的原则，由国家对外经济贸易主管部门商国务院有关部门制定、调整。
第七条 申请领取原产地证的出口货物，应当符合原产地标准；不符合原产地标准的，签发机构应当拒绝签发原产地证。
第八条 申请领取和签发原产地证的程序由国家对外经济贸易主管部门规定。
第九条 企业违反本规则，有下列行为之一的，国家对外经济贸易主管部门或者国家对外经济贸易主管部门根据省、自治区、直辖市人民政府对外经济贸易主管部门的建议，可以区别情况通报批评、暂停直至取消其申请领取原产地证的资格：
（一）提供虚假材料，骗取原产地证的；
（二）伪造、变造原产地证的；
（三）非法转让原产地证的。
对有前款所列行为的企业的主管人员和直接责任人员，给予行政处分；情节严重，构成犯罪的，依法追究刑事责任。
第十条 签发机构违反规定签发或者拒绝签发原产地证的，国家对外经济贸易主管部门或者国家对外经济贸易主管部门根据省、自治区、直辖市人民政府对外经济贸易主管部门的建议，可以区别情况通报批评或者暂停其原产地证签发权。
签发机构工作人员徇私舞弊、滥用职权或者玩忽职守的，给予行政处分；情节严重，构成犯罪的，依法追究刑事责任。
第十一条 普惠制原产地证依照普惠制给惠国原产地规则办理。
中华人民共和国政府与外国政府签订的双边协议对原产地证的签发有特别规定的，依照协议的规定办理。
第十二条 国家对外经济贸易主管部门根据本规则制定实施办法。
第十三条 本规则由国家对外经济贸易主管部门负责解释。
第十四条 本规则自1992年5月1日起施行。

Rules of the People's Republic of China on the Origin of ExportGoods

(Promulgated on March 8, 1992)

Whole Doc.
Article 1
The Rules are formulated in order to strengthen the management of the
origin of export goods and promote the development of foreign economy and
trade.
Article 2
The certificate of origin for export goods (hereinafter referred to
as certificate of origin) of the People's Republic of China is a document
to certify that the relevant export goods are made or produced in the
People's Republic of China.
Article 3
The State Department in charge of foreign economic relations and
trade exercises the unified supervision and management of the origin of
export goods in the whole country.
The foreign economy and trade departments of the people's governments
of provinces, autonomous regions and cities under the direct
administration of the Central Government are responsible for coordinating
the work concerning the origin of export goods in their own administrative
regions.
Article 4
The State Administration for import and export commodities inspection
and its branches in various localities, the China Council for the
Promotion of International Trade and its branches and other organizations
authorized by the State Department in charge of foreign economic relations
and trade are responsible for signing and issuing certificates of origin
according to the regulations formulated by the State Department in charge
of foreign economic relations and trade.
Article 5
Enterprises established according to law within the territory of the
People's Republic of China and enjoying the rights to conduct foreign
trade, enterprises engaging in processing with supplied materials or
samples, and assembling with supplied parts or in compensation trade, and
foreign-funded enterprises may apply for certificates of origin with the
organizations authorized to sign and issue certificates of origin as
specified in Article 4.
Article 6
The origin of export goods is in the People's Republic of China if
the export goods meet one of the following criteria:
(1) Products made or manufactured fully in the People's Republic of
China, including:
1) mineral products extracted from the territory and the continental
shelves of the People's Republic of China;
2) plants and their products harvested or collected within the
territory of the People's Republic of China;
3) animals and their products multiplied or bred within the territory
of the People's Republic of China;
4) products obtained from hunting or fishing within the territory of
the People's Republic of China;
5) the aquatic and other products or their processed products
obtained from the sea by ships or other means of the People's Republic of
China;
6) wastes and waste materials recycled in the course of production
and processing within the territory of the People's Republic of China and
other discarded and waste materials collected within the territory of the
People's Republic of China;
7) products made or processed fully from the above-mentioned products
and other non-import raw materials within the territory of the People's
Republic of China.
(2) Products containing imported materials or spare parts finished or
processed mainly within the territory of the People's Republic of China,
thus making substantial alterations in the appearance, nature, state or
purposes of the imported materials or spare parts. The list of procedures
of manufacture and process shall be formulated and adjusted by the State
Department in charge of foreign economic relations and trade in
consultation with departments concerned of the State Council according to
the principle of taking the manufacturing and processing procedured as the
main body supplemented by the proportion of composition.
Article 7
The export goods for which the certificates of origin are applied and
issued should meet the criteria of the place of origin. Certificate
issuing organ shall refuse to sign and issue certificates of origin to
goods that not meet the required criteria.
Article 8
The procedures for applying for the issuing certificates of origin
shall be worked out by the State Department in charge of foreign economic
relations and trade.
Article 9
The State Department in charge of foreign economic relations and
trade shall, in accordance with the proposals submitted by the departments
in charge of foreign economic relations and trade of the people's
governments of various provinces, autonomous regions and cities under the
direct administration of the Central Government, make out punishments,
including circulated criticism, suspending or even revoking the
certificates of origin to enterprises, which commit one of the following
actions in violation of the provisions of the Rules:
(1) provide fake materials to obtain certificates of origin by
cheating;
(2) forge or alter the certificates of origin; and
(3) illegally assign the certificates of origin.
The person or persons in charge of the enterprise and those directly
responsib le for the afore-said actions shall be given administrative
punishments and if the cases are serious enough to form a crime, the
criminal responsibility shall be affixed.
Article 10
If the certificate signing and issuing organizations sign and issue
or refuse to issue certificates of origin in violation of the provisions
of the Rules, the State Department in charge of foreign economic relations
and trade shall, on its own or according to the proposals of the
departments in charge of foreign economy and trade of the people's
governments of various provinces, autonomous regions and cities under the
direct administration of the Central Government, give them criticism or
suspend their rights to sign and issue certificates of origin.
Personnel of certificate signing and issuing organizations who try to
seek personal gains by resorting to cheating or abusing their power or
committing dereliction of duty shall be given administrative punishments
and if the cases are serious enough to form a crime, the criminal
responsibilities shall be affixed.
Article 11
The issuing of certificate of origin under the generalized
preferential system shall be handled according to the rules of origin of
the countries giving preferential treatment.
If there are special provisions on the issuing of the certificates of
origin in the bilateral agreements signed by the government of the
People's Republic of China with foreign governments, the provisions of the
agreements shall be followed.
Article 12
The State Department in charge of foreign economic relations and
trade shall formulate measures for implementation according to the
provisions of the Rules.
Article 13
The right of interpretation of the Rules rests with the State
Department in charge of foreign economic relations and trade.
Article 14
The Rules shall come into effect from May 1, 1992.