精巧规制理论及其在数据要素治理中的应用  

Smart Regulation Theory and Its Application in Data Element Governance

作　　者：郭雳[1] GUO Li(Law School,Peking University,Beijing 100871)

机构地区：[1]北京大学法学院,北京100871

出　　处：《行政法学研究》2023年第5期26-39,共14页ADMINISTRATIVE LAW REVIEW

摘　　要：精巧规制理论主张授权多元主体共同参与规制,利用丰富的政策工具组合,追求较少干预下的双赢结果,是对回应型规制理论的改良与革新,成为理论界追求更优规制过程中的重要里程碑。精巧规制理论在西方政府战略和组织倡议等领域得到广泛应用,并成为金融危机后金融科技监管的新范式,同时也在理论适用场景、政策工具组合、协调配合要求与成本收益均衡等方面存在争议。在数据法领域,精巧规制影响了欧盟数据保护机构的组织定位与执法方式选择,体现在自我规制、第三方规制等诸多方面。精巧规制理论在规制策略选择、行政执法协调等环节与我国数据要素治理相契合,《关于构建数据基础制度更好发挥数据要素作用的意见》亦体现出该理论的内在原理。有必要考虑在重塑我国数据要素规制目标并确立底线红线的基础上,推动政府功能朝向规则制定统一与规制协调转型,引导被规制者和第三方更充分地参与数据要素治理全过程,以精巧之治实现数据要素的良法善治。Smart regulation theory advocates the authorization of multiple subjects to participate in regulation,and employs a combination of policy instruments to pursue win-win results with less interven⁃tion.Smart regulation theory is an improvement and innovation of the responsive regulation theory and has become an important milestone in the process of theory community's pursuing optimal regulation.Smart regu⁃lation theory has been widely applied in the fields of western government strategy and organizational initia⁃tive,and has become a new paradigm of financial technology regulation after the financial crisis.At the same time,there are also disputes in the aspects of theoretical application scenarios,policy tool combina⁃tion,coordination requirements and cost-benefit balance.In the field of data law,smart regulation has in⁃fluenced the organizational positioning and law enforcement method of EU data protection authorities,which is reflected in many aspects such as self-regulation and third-party regulation.Smart regulation theory is in line with Chinese data element governance in terms of regulatory strategy selection and administrative law enforcement coordination,whose inherent mechanism is also reflected by“The Opinions on Building Basic Data System to Better Play the Role of Data Elements”.On the basis of reshaping the regulatory goals and establishing the bottom line and the red line,it is necessary to promote the transformation of government functions towards the unified rules and regulatory coordination,guide the regulated and third parties to par⁃ticipate in the whole process of data element governance,and finally use smart governance to achieve good law and governance of data element.

关 键 词：数据治理 数据要素 精巧规制 金融科技 “数据二十条” 

分 类 号：D922.16[政治法律—宪法学与行政法学]