谦抑理念在行政处罚中的展开  

On the Expansion of the Concept of Modesty in Administrative Punishment

作　　者：邓佑文[1] Deng Youwen

机构地区：[1]浙江师范大学法政学院

出　　处：《法学》2022年第10期18-31,共14页Law Science

基　　金：国家社科基金一般项目“行政参与风险防范法治化研究”(20BFX043);浙江师范大学自主设计科研课题(ZZ323205020520013032)的阶段性成果。

摘　　要：行政处罚的谦抑蕴含谦和、节制和恰当三层意涵。行政处罚的谦抑理念可分两步予以证立。首先从权力属性、行政方式、制度目的和实践价值四重维度证成谦抑的正当性;其次通过理念与性质、原则、指导思想等相关概念辨析,释明谦抑是对行政处罚立法和执法的理念要求。处罚谦抑理念的具体内容涵括处罚的审慎介入和恰当适用:前者需明确受处罚行为的构成要件和处罚的必要性,从而区分违法行为和受处罚行为;后者需遵守过罚相当基本要求,并达致利益保护的均衡性。处罚谦抑理念可通过立法和执法两条路径予以实现。立法上,行政处罚基本法确定处罚谦抑的基本范畴,其他立法根据行政处罚基本法的规定进一步体现处罚谦抑理念;执法上,依法认定处罚介入的要件和必要性,且严格遵守处罚恰当适用的原则和条件。The modesty and restraint of administrative penalty implies three meanings: modesty, abstinence and appropriateness. The notion of modesty and restraint in administrative penalty can be demonstrated in two steps. First, justify the legitimacy of modesty and restraint from the four dimensions of power attributes, administrative methods, institutional purposes and practical values;Second, through the analysis of concept, nature, principle and guiding ideology, it is clarified that modesty and restraint is the conceptual requirement for the legislation and enforcement of administrative penalty. The concrete content of the notion of modesty and restraint includes the prudent intervention and appropriate application of penalty. The former needs to clarify the constituent elements of the punished act and the necessity of punishment, so as to distinguish between the illegal act and the punished act. The latter is subject to the basic requirement of the match to the fault and punishment to achieve the balance of interest protection. The notion of modesty and restraint in punishment can be implemented by two paths: legislation and law enforcement. In terms of legislation, the basic law on administrative penalty defines the basic categories of modesty and restraint in punishment, and other legislations further reflec the concept of modesty and restraint in accordance with the provisions of the basic law on administrative penalty;In terms of law enforcement, the requirements and necessity of penalty intervention should be determined according to law, and the principles and conditions of appropriate application of penalty should be strictly observed.

关 键 词：行政处罚 谦抑理念 处罚审慎 处罚恰当 

分 类 号：D922.11[政治法律—宪法学与行政法学]