Transcript 联帮政府的立法规划和制定

The Planning and Making of
Federal Government Legislation 联邦政府立法规划和制定
Presentation for the CanadaChina Legislative Cooperation
Project
June 19 and 20, 2008
中加立法合作项目-中加立法技术研讨会
2008年6月19-20日
Edgar Schmidt
Legislative Process Expert
埃德加.史密特，法律程序专家
Overview 提纲
1.
Introduction 介绍
2.
Planning and making Acts (primary legislation) 规划和制定法（初级立法）
3.
Policy development 发展制定政策
b. Presentation of policy to government 向政府汇报政策
c. Preparation of bill 准备议案
d. Cabinet approval of bill 内阁批准议案
e. Consideration of bill in Parliament 议会审议议案
f. Coming into force of Act 法律生效
Planning and making regulations (subordinate legislation) 法规规划和制定
a.
（二级立法）
4.
Final notes 最后注解
2
Introduction – what legislation is our focus?
介绍—何种立法是我们的重点
–
The focus of this presentation is federal government-sponsored
Acts and regulations 本讲座的重点是联邦政府资助的法律和法规
–
Other forms of law-making include
其他法律制定形式包括：
Other federal Acts arising from
来自其他渠道的联邦法律
private members’ public bills
个人的公共议案
– private bills 个人议案
–
 Legislation
其他行政区域立法
of other jurisdictions
Provinces 省
– Municipalities 市
– international bodies 国际部门
–
3
Planning and making Acts – Policy development 法律规划和制定-政策发展
Sources of policy 政策来源

Speech from the Throne (often initially based on an election platform) 御前宣言（一
般建立在竞选政纲基础上）

Budgets 预算

Cabinet ministers 内阁部长

Parliamentarians 议员

The public 公众
– industry or business organizations 工商业组织
– professional bodies 专业机构
– Academics 学术界
– individual citizens 公民

Federal public administration 联邦政府
– Civil servants 公务员
– Administrative agencies 行政部门

Commissions or studies 委员会或学术机构
– permanent (e.g. Canadian Human Rights Commission)永久性（加拿大人权委员
会）
– occasional (e.g. Romanow Commission on the Future of Health Care in
Canada) 临时（加拿大罗马那关注未来医疗卫生委员会）

Courts and tribunals 法庭

Agents of Parliament (Chief Electoral Officer, Auditor General, Privacy Commissioner,
etc.) 议会机构/人员（总选举事务主任，审计总长，私务委员）
4
Planning and making Acts – Policy development 法规规划和制定-政策发展
Some of the steps 一些步骤

Background policy development
背景政策发展
–
Exploration of issue / problem 研究问题
–
Studies, surveys, statistical analyses 调研，调查，统计分析
–
Identification of Options 确定政策选择
Consultation 咨询
 Interested persons or groups and public generally 感兴趣的个人或群体和公众
 Departmental legal services unit 政府部门法律服务部
 Privy Council Office [Legislation & House Planning, Machinery of
Government (if applicable)] 枢密院办公室（立法和议会规划，政府机器）
 Treasury Board Regulatory Affairs (regulation-making powers)
–
财务委员会法案室（法规制定权力）




Other departments 其他政府部门
Other governments 其他政府
Ministerial approval 部长批准
Participation in central planning process – call letter 参与 中央集中规划程
序-征询意见信
–
getting a place on the government agenda 列入政府议事日程
5
Planning and making Acts – Presentation of Policy 法律规划和制定-政策陈述
Main Steps 主要步骤

Sponsoring department prepares a draft Memorandum to Cabinet (MC),
hosts interdepartmental meeting, revises MC 资助部门起草内阁备忘录草案，召开
部门间会议，修改内阁备忘录

Senior management and sponsoring minister approve MC 高级管理层和出资
部门部长批准内阁备忘录

Minister signs MC and it is sent to Privy Council Office (PCO) 部长签署内阁
备忘录，提交枢密院办公厅

Appropriate policy committee considers MC, issues Cabinet Committee
Report (CR) 相应政策委员会审议该内阁备忘录，发表内阁委员会报告

Full Cabinet or Priorities and Planning Committee considers CR and
PCO issues Record of Decision (RD) 内阁全体或重点和规划委员会审议内阁委员会报
告，枢密院办公厅法发布决议纪录
(Policy committee, Priorities and Planning or full Cabinet may approve
the proposal, reject it or require that it be modified 政策委员会， 重点和规
划委员会或内阁全体可以批准，拒绝或要求进一步修改提案)

PCO sends copies to all ministers, deputies and Legislation section 枢密
6
院办公厅将文件下发给所有部门，委员和立法部门）
Planning and making Acts – Presentation of Policy 法律规划和制定-政策陈述

Main document used for
proposals involving
legislation:立法提案中使用的主要文件
Memorandum to
Cabinet
Mémoire au
Cabinet
THE
LEGISLATIVE
PROCESS: …
LE PROCESSUS
LÉGISLATIF : …
September 17,
2007
17 septembre
2007
Minister of …
Ministre …
Memorandum to Cabinet
内阁备忘录

Purpose: to provide Cabinet
with the information it needs to
make a sound decisions about
the proposal 目的：向内阁提供所需信息，使
之能够就提案作出正确决定
7
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
Memorandum to Cabinet 内阁备忘录
•
Ministerial Recommendations 部长建议
•
Background/Analysis 背景/分析
•
Annexes 附件
•
Memorandum to
Cabinet
Mémoire au
Cabinet
THE
LEGISLATIVE
PROCESS: …
LE PROCESSUS
LÉGISLATIF : …
Strategic Communications Plan
宣传战略计划
•
•
•
•
Parliamentary Plan 议会计划
(Detailed program/funding
information) 详细项目/资金信息
Drafting instructions 起草指导意见
(others as needed) 其他
8
February 20,
2007
20 février 2007
Minister of …
Ministre …
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
Memorandum to Cabinet 内阁备忘录
Ministerial Recommendations 部长建议
•
•
•
•
•
•
•
•
Issue 问题
Recommendations – (Decision
Sought) 建议（寻求的决定）
Rationale 原因
Considerations (consultations and
perspectives, Federal-Provincial
relations, departmental positions, and
environmental considerations) 各种考虑（
MINISTERIAL RECOMMENDATIONS
(Maximum five pages plus cover page (original language))
ISSUE
The ….
RECOMMENDATIONS
It is recommended that:
1. XXX
RATIONALE
3. XXX
CONSIDERATIONS
4. XXX
RISKS AND STRATEGIES
6. XXX
咨询和出发点，联邦-省两级政府关系，部门地位，
环境考虑）
RESULTS AND ACCOUNTABILITY
7. XXX
Risks and Strategies 风险和战略
Results and Accountability 结果和问责
Financial, Asset, and HR Implications
(requires sign-off of Departmental
Comptroller and Comptroller-General of
Canada) 财物，资产和人力资源影响（要求部门
FINANCIAL, ASSET AND HR IMPLICATIONS
8. XXX
财务检察官和加拿大财务总监签署）
Communications Plan 宣传计划
9
COMMUNICATIONS PLAN
9. XXX
_______________________
Minister of XXXXX
____________________________
Other Minister
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
BACKGROUND/ANALYSIS
Memorandum to Cabinet 内阁备忘录
(Maximum six pages (original language))
Background/Analysis 背景/分析
BACKGROUND
1. XXX
Background 背景
CONSIDERATIONS AND PERSPECTIVES
2. XXX
Considerations and Perspectives
各种考虑和出发点
Options 选择
(advantages and disadvantages
of each option 每种选择的优缺点)
Include, where appropriate:
impacts on Canadians;
horizontal policy impacts;
privacy impacts;
official languages considerations;
federal/provincial/territorial or regional perspectives;
gender issues;
stakeholder positions;
sector impacts ( e.g. private and voluntary sectors);
international comparisons and considerations;
financial implications;
sustainable development implications;
instruments available to achieve policy objectives;
implementation considerations;
management and accountability issues; and
impacts for service delivery.
OPTIONS
3. XXX
10
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
ANNEX A
STRATEGIC COMMUNICATIONS PLAN
Memorandum to Cabinet 内阁备忘录
Annex A - Strategic Communications Plan
(One page maximum)
附件A-宣传战略计划
1.
2.
3.
4.
5.
Communication Objectives 宣传目标
Links to Gov’t Messages and
Campaigns 与政府信息和活动的关系
Public Environment Analysis 公共环境分析
Key Messages 主要信息
Target Audiences and Reactions 目标听众
和反应
6.
Regional and Provincial Issues 区域和省问
题
7.
8.
Parliamentary Considerations 议会考虑
Communications Approach and Tactics
1. COMMUNICATIONS OBJECTIVES
2. LINKS TO GOVERNMENT MESSAGES AND CAMPAIGNS
3. PUBLIC ENVIRONMENT ANALYSIS
4. KEY MESSAGES
5. TARGET AUDIENCES AND REACTIONS
6. REGIONAL AND PROVINCIAL ISSUES
7. PARLIAMENTARY CONSIDERATIONS
8. COMMUNICATIONS APPROACH AND TACTICS
宣传手段和策略
1.
Budget 预算
9. BUDGET
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Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
ANNEX B
DRAFTING INSTRUCTIONS
Memorandum to Cabinet 内阁备忘录
Annex - Drafting instructions 附件-起草说明
Purpose – 目的
– Inform Cabinet in detail of what policies the
bill will implement and the techniques it will
use and thereby allow it to control government
legislative proposals 向内阁详细汇报将要执行的政策，和
其中使用的技术，便于控制政府立法提案
Legal Context
2. XXX
Licensing of …
3. XXX
4. XXX
…
Force sponsoring department to think
through its proposals 迫使资助部门仔细考虑其提案
–
Inform other departments of effects of
proposal 通报其他部门该提案的效果
–
– Guide legislative
者提供指导
Objectives
1. XXX
drafters in drafting
为法案起草
12
Consequential Amendments
34. XXX
35. XXX
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
Memorandum to Cabinet 内阁备忘录
Consideration by Cabinet – Policy committee:
• Social Affairs 社会事务

内阁审议-政策委员会
Health care, justice, Aboriginal, training and skills development, culture and
immigration policy issues 医疗卫生，公正，原住民，培训和技能发展，文化和移民政策问题
Economic Growth and Long-term Prosperity 经济增长和长期繁荣
International trade, sustainable development, natural resources, fisheries, agriculture,
transport, infrastructure and communities and regional development policy issues 国际贸
易，可持续发展，自然资源，渔业，农业，交通，公用设施，社区和区域发展政策问题

Foreign Affairs and Security
Foreign affairs, international development, security and defence policy issues 外交和安
全：外交事务，国际发展，安全和国防政策问题.
Treasury Board 财务委员会

Issues touching accountability and ethics, financial, personnel and administrative
management, comptrollership; also the approval of regulations and most Orders-inCouncil 有关问责，道德，财政，人事，行政管理问题，会计检查，法规批准和枢密院令
Environment and Energy Security 环境和能源安全

Issues affecting the environment or energy security影响环境和能源安全的问题
13
Planning and making Acts – Presentation of Policy法律规划和制定-政策陈述
Memorandum to Cabinet 内阁备忘录
Consideration by Cabinet 内阁审议
•
Committee decision is issued in the form of a
Committee Report (CR). 委员会决议通过委员会报告方式公布
•
The CR is then considered by full Cabinet or
Priorities and Planning Committee. The decision to
ratify the CR (or not) is issued in the form of a
Record of Decision (RD). 内阁全体或重点和规划委员会审议委员会报告。 修
改（或不修改)委员会报告的决定通过决议纪录形式公布。
14
Planning and making Acts – Preparation of Bill法律规划和制定-准备议案

Appointment of drafters 指定起草人
Initial meeting 碰头会
Preparation of first draft 准备初稿
Reviews, comments, often numerous iterations of the bill 修改，提意见，经

常是无数次反复阐述提案

Legal risk management: identification of issues in order to avoid or
reduce risk 管理法律风险：确定问题，以避免或减少风险
Consultations 咨询
Review 审议
 Editors 编辑
 Jurilinguists 法律语言专家
 Reviewing officers 校审官员
 Bijural experts 双法律体系专家
 Experts in delegated legislation 相关法律领域专家
 Charter and Bill of Rights 宪章或权力法案
Printing 印刷
 Page proof 页码确认
 (Further page proof) 页码再确认
 Examination print 试印
 Final print 最后印刷
15






Planning and making Acts – Preparation of Bill法律规划和制定-准备议案
While bills are drafted the Privy Council Office maintains a legislative
plan and continually updates it in consultation with the legislation section
where the drafters and instructing officers are developing the text. 当起草法
案时，枢密院办公室有一个立法计划，并与立法部门提案起草人不断协商，及时更新立法计划。
Issues that may lead to changes in the legislative plan or timetable:
引起立法计划或时间表产生变化的主要问题是：
•
the drafting presents unforeseen challenges
提案的起草产生了未预见到的挑战
•
new policy questions arise 出现了新的政策问题
•
mid-course consultations are needed 需要开展中期咨询
•
government priorities shift 政府重点转移
16
Planning and making Acts – Cabinet Approval of Bill法律规划和制定-内阁批准
议案
1.
Sponsoring Minister approves bill as ready
for review and introduction 出资部门批准议案，准
备接受初审和提交
2.
Review of bill by Government House Leader
(ordinarily on 10 days notice) 执政党首席议员审议
议案（通常提前10天通知）
3.
Generally, the GHL has delegated authority
from cabinet to approve the bill for
introduction 通常，执政党首席议员由内阁授权， 可以批
准议案，并提交到议会。
17
Planning and making Acts – Bill in Parliament
法律规划和制定-议会审议议案
House of Commons: 众议院
1. Government House Leader gives
notice of introduction 执政党首席议员给出通
知
2.
Introduction and First Reading 提交和一
读
•
Either 或
Or 或
Approval in
principle (Second
Reading)
Committee Stage 委
员会阶段
原则同意（二读）
Committee Stage 委 Report Stage and
员会阶段
Second Reading
combined 报告阶段和
二读合并
Report Stage 报告阶
段
18
Planning and making Acts – Bill in Parliament法律规划和制定-议会审议议案
4.
Third Reading in House of Commons
在众议院三读
Senate 参议院
5. First Reading 一读
6. Second Reading二读
7. Committee Stage委员会阶段
8. Report of Committee 委员会报告
9. Third Reading 三读
Her Majesty (Governor General or
Deputy) 总督
10. Royal Assent 恩准
19
Planning and making Acts – Bill in Parliament法律规划和制定-议会审议议案
Planning (managing) at Parliamentary
stage: 在议会阶段的规划（管理）
Government House Leader (in consultation
with Prime Minister and Cabinet) 执政党首席议员
•
（与总理和内阁协商）
• allocates government time to bills, 向议案拨
付政府时间
• negotiates with other house leaders 与其他
议会领导人谈判
•
Committee chairs (subj to committees)
• allocate committee time 委员会主席：拨付委
员会时间
• Sponsoring Minister/Department 出资部部长/部
门
• manage proposed amendments 管理提出的
修改意见
20
Planning and making Acts – Coming into Force法律规划和制定-生效
Acts come into force 法案生效
- on assent by default 默认赞成
OR 或
- on a date or dates fixed by the Act
依照一个日期或法律规定日期
-
on a date or dates fixed by an order in
council.依照一个日期或议会规定日期
21
Planning and making regulations – Introduction 法规规划和制定-介绍
The other main form of federal legislation is subordinate legislation which,
for convenience, I will refer to as regulations. 其他联邦立法形式是制定附属法规（下称法规）
Regulations are made under the authority of an Act of Parliament.法规是在议
会的法律的权限下制定
Typically, the Act contains provisions that set out 通常， 一个法律包含一些条款，规定了
• the delegate (i.e. who can make the regulations) 委任（如，谁可以制定法规)
•
•
usually the Governor General in Council, but sometimes a Minister or another
body such as the Copyright Board 通常是总督，但有时也可是部长或其他机构，如版权局
the scope of the regulations 法规的范围
•
prescribing a fee, regulating an activity, respecting a subject, etc.设定一项费用，规范一
种活动，尊重一个主题等
•
any conditions for their making 其他制定法规的情况
The legality of regulations can be challenged in Federal Court, testing
especially the above three factors. 法规的合法性可以在联邦法庭上受到质疑，尤其是检测
上述3个因素。
22
Planning regulations 法规规划
Unlike Acts for which there is co-ordinated and prioritized
government-wide planning, regulations are currently planned
mainly at the departmental level. 不同于法律，其有一个有侧重点的，协调的政府范围
内的规划过程，法规目前只在部门层面上进行规划。
There is ongoing discussion about more centralized planning, but
currently there is little by way of centralized priority setting (though
some of this happens simply by virtue of the limits on Cabinet
committee time). 对此一直有争议，希望能有一个集中的规划，但目前还很少有这样的集中规划
途径(尽管个别情况时有发生，但只是在内阁时间有限的前提下）
Departments have their own particular planning for regulatory
initiatives. Typically, it would be similar to the process for
proposals for Acts. 部门有其独特的法规规划活动，与法律程序相似。
23
Making regulations – three stages 制定法规-3个步骤
The three main stages in the process we will examine today are
今天讨论的3个步骤是：
1. policy development and refinement 政策发展制定和提高
•
•
•
•
Triage 筛选
consideration of instrument choice 考虑选择工具
cost-benefit assessment 成本效益评估
consultation (often pre-publication) 咨询(提前公布）
2. drafting the text 文本起草
•
similar in process to Acts with various supporting personnel
与法律程序相同
，由各种支持人员开展实施。
3. fulfilling Statutory Instrument Act requirements 满足法定规范法的要求
24
Regulation-making – third stage (SIA) 法规制定-第三阶段
3. Statutory Instrument Act requirements:法定规范法要求：
•
examination by Clerk of Privy Council in consultation with Deputy Minister of
Justice (s. 3) 由枢密院秘书长审查，并与司法部副部长协商咨询
(a) Is it authorized by the statute under which it is to be made? 它是由法律授权制定吗？
(b) Does it constitute an unusual or unexpected use of the authority under which it
is to be made? 制定该法规会构成特殊的或未预料的权力使用吗
(c) Does it trespass unduly on existing rights and freedoms, or is it contrary to the
Canadian Charter of Rights and Freedoms and the Canadian Bill of Rights? And
它会侵犯现有权利和自由，或它会与加拿大人权法案和加拿大权利与自由宪章发生冲突吗？
(d) Are the form and draftsmanship of the proposed regulation in accordance with
established standards? 法规形式和起草是否与现行标准一致
•
•
registration (s. 5) 登记
[coming into force (s. 9)] – generally comes into force on registration
生效，通常在登
记时生效
•
•
publication (s. 11) – unless exempted, needs to be published in the Canada
Gazette 公布-除非被豁免，都需要在加拿大公报上公布
scrutiny (s. 19) – A joint committee of Senators and Members of the House of
Commons examines every regulation (grounds similar to s. 3 above) 备案检查-参众
两院联合委员会检查每一个法规(与枢密院检查范围相同）
25
Final notes – 1. Cabinet Directive on Law-making 最后注解-1.内阁对法律制定的指
导
Directives from the federal Cabinet: 来自联邦内阁的指导





Consider necessity of legislation 考虑立法的必要性
Consider constitutionality 考虑宪法性
Ensure harmony of Acts and regulations 确保法律和法规协调一致
Ensure supports for bilingual and bijural drafting 确保双语双体系起草
Participate in planning of gov’t legislative program 参与政府立法活动规
划

Follow any other directions issued by Clerk of the Privy Council
(Guide to making federal Acts and Regulations)
遵守枢密院秘书长发布的其他指示（联邦法律和法规制定纲要）
–
Consider conformity/harmony with
 quasi-constitutional Acts
 Acts of general application
 legal principles of general application
考虑是否与其他类似宪法类法律，通用法律和通用法律的司法原则一致统一
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Final notes – 2. Keeping legislation in good shape 最后注解-2.维护法律作用和地
位
It is not only necessary to enact legislation; it is necessary to maintain it. Here
are four ways by which this (sometimes) happens in Canada federally:不仅需要
通过法律，更需要维护法律。加拿大联邦层面有如下4种方式：
1.
Comprehensive Revision – under the Statute Revision Act, the Minister of
Justice can appoint a 3-member Commission to comprehensively revise the
entire body of federal Acts or regulations (e.g. Revised Statutes of Canada,
1985; Consolidated Regulations of Canada, 1978). 全面修订-依照法律修订法，司法
部长可以指定3人委员会，来全面修订联邦法律或法规的全文（如：加拿大法律修正-1985，加拿大
法规汇编-1978）
2.
Re-enactments of Acts or regulations – when an Act or regulation loses its
organization and coherence, usually through having been amended
frequently (barnacling), the responsible department can take the initiative to
re-draft it and present it for re-enactment. (Same as any other bill) 重新通过法律
或法规-由于经常受到修正，当一个法律或法规失去其组织形式和连贯性，相关负责部门可以提出重
新起草和提交通过（程序与其他议案相同）
3.
Miscellaneous Statute Law Amendment Acts – in theory regularly, the
government presents a bill to Parliament that corrects many small but not
controversial errors that have crept into Acts. 成文法修正案其他约定-理论上，政府向
议会提交的议案会纠正法律中一些有小的但并非有争议的错误
4.
Omnibus amending regulations – a similar process is sometimes used to
amend multiple regulations to correct similar errors. 综合修正法规-有时会使用一个类
似的程序，用于修正多个法规中的相同错误
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