作　者：石泽华 秦前红
关键词：执纪执法指导性案例；参照适用；法源性质；适用原则；党内法规；自我革命
摘　要：

纪检监察机关为何及如何参照适用执纪执法指导性案例，是纪检监察领域施行案例指导制度面临的重要课题。执纪执法指导性案例能否被参照适用，取决于它是否具有正当性基础和法源性质。执纪执法指导性案例的制定主体、规范依据和实践功能，为它提供了正当性基础。执纪执法指导性案例虽然不是制定法规范，不属于严格意义的法源，但它的执纪执法要点及指导意义具有辅助性法源的地位。执纪执法指导性案例如何被参照适用，取决于它具有何种效力。结合“合法性—权威性”分析框架，它的合法性效力表现为在内容上为适用机关提供肯定性评价，权威性效力表现为在形式上促使适用机关受到约束。纪检监察机关应当对执纪执法指导性案例施以低于法律法规的尊重态度，即附条件性适用且无权审查，从而区分依据、参照和参考三种适用逻辑。执纪执法指导性案例的具体适用路径包括：在前提层面，以合法性和情景判断为适用标准；在方式层面，遵循全面参照、依附适用和引述说理原则；在结果层面，明确偏离论证义务、不当追责制度和异议反馈的层报认定机制。为了进一步推进该制度规范化、法治化和正规化，未来应以党内法规和法律形式明确执纪执法指导性案例的合法性地位，并在纪检监察法规中明确其规制体系。

 

The Rationale of and Approach to the Referential Application Of Guiding Cases for Discipline and Law Enforcement

Shi Zehua，Qin Qianhong (Wuhan University)

Abstract Why and how disciplinary inspection and supervisory agencies refer to guiding cases for discipline and law enforcement (guiding cases) constitute an important topic on the implementation of the case guidance system in the field of discipline inspection and supervision. Whether guiding cases can be referred to depends on their legitimate bases and the justification as legal sources. The formulating entity, regulatory basis, and practical functions of guiding cases provide them with a legitimate basis. Although guiding cases are not statutory norms or justified as legal sources in the strict sense, their key points for discipline and law enforcement as well as their guiding role make them auxiliary legal sources. How guiding cases are referred to depends on their effectiveness. Based on the "legitimacy-authority" analytical framework, their legitimacy effectiveness is manifested in providing positive evaluations to the competent agencies in terms of content, while their authority effectiveness is manifested in formally constraining the competent agencies. Disciplinary inspection and supervisory agencies should respect guiding cases to a lesser extent than they do laws and regulations, that is, they should apply them conditionally and have no right to review, thereby distinguishing among the three application logics of basis, reference, and consultation. The specific application path for guiding cases includes: in terms of premise, adopting legitimacy and situational judgment as the criteria for application; in terms of method, following the principles of comprehensive reference, dependent application, and citation for reasoning; and in terms of result, clarifying the obligation to justify deviations, the inappropriate deviation accountability system, and the hierarchical reporting and identification mechanism for appeal and feedback. To further promote the standardization, rule of law, and regularization of this system, the legitimacy of guiding cases should be clarified in the form of intra-Party regulations and laws in the future, and their regulatory system should be specified in disciplinary inspection and supervisory regulations.

Key words guiding cases for discipline and law enforcement; reference applicability; justification as legal sources; applicable principle; intra-Party regulations; self-revolution

■作者简介 石泽华，武汉大学法学院副教授，湖北 武汉 430072；秦前红，武汉大学法学院教授。

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