作为法律技术的安全港规则:原理与前景  

Safe Harbor Rules as Legal Technology:Principles and Prospects

作　　者：戴昕[1] Dai Xin(Peking University Law School)

机构地区：[1]北京大学法学院

出　　处：《法学家》2023年第2期31-46,192,共17页The Jurist

基　　金：上海数据交易所委托项目“数据交易所制度竞争力建设与政策保障问题研究”;国家社科基金重大项目“社会信用体系的法律保障机制研究”(21&ZD199)资助。

摘　　要：安全港规则是权威机关在原则性的行为限制和追责规范之下,以相对具体的规则形式,为社会行为主体设立范围有限、适用有条件的合规路径的一种法律技术。适当运用安全港规则,有助于法律在坚持一般安全要求的同时,为行为主体提供必要的免责预期和行为改善激励。但安全港规则的制定和适用也可能会出现偏差。为此,需要强调公开透明、条件合理、动态调整和放权监督等优化设计原则。在数据交易等新技术规制领域,安全港规则具有重要的应用前景。Safe harbor rules refers to a common technology of law with which authorities provide regulated subjects,operating under general regimes of behavioral restrictions and liabilities,a limited and conditional path to compliance and legal certainty.The proper use of safe harbor rules,while preserving the overarching legal imperatives for safety,promotes stable expectation in the market and incentivizes risk-reducing behaviors from the regulated subjects.Nonetheless,safe harbor rules may fall short of achieving their expected objectives or even become abused.Such principles as transparency,conditionality,adaptability and accountability must be followed,therefore,to ensure optimal design and application of the safe harbor rules.Safe harbor rules may play instrumental roles in structuring the future regulatory regime over novel technologies and related activities,such as those involving data exchange and transactions.

关 键 词：安全港规则 免责预期 新技术规制 数据交易 法律技术 

分 类 号：D923[政治法律—民商法学] D922.16[政治法律—法学]