包容审慎监管的行政法理与中国实践  

Practice and Administrative Law Jurisprudence of Inclusive and Prudent Regulation in China

作　　者：卢超[1] Lu Chao

机构地区：[1]中国社会科学院法学研究所

出　　处：《中外法学》2024年第1期143-160,共18页Peking University Law Journal

基　　金：国家社科基金一般项目“事中事后监管与行政许可改革研究”(项目编号:21BFX049)的阶段性研究成果。

摘　　要：包容审慎监管是当前我国面对新经济业态发展提出的规制创新策略,具有极为深远的行政法治意义。面对科技发展与新经济业态的不确定性,包容审慎监管理念标志着现代行政法治的动态反思与演化趋势。从传统的规制理论角度观察,包容审慎监管的运行背后映射出回应性规制的执法策略、合作规制的运行范式以及规制试验主义的演进逻辑。包容审慎带有实质法治色彩的规制设计理念,有效运行不仅需要较为成熟的行政法治框架予以支撑,更需要现代行政国家的基础设施与行政能力予以辅助。在中国特色“发展型国家”的逻辑支配下,包容审慎监管的地方实践运行,往往较难实现包容与审慎之间的价值平衡,引发了一系列的监管困境与本土难题。包容审慎监管的中国图景也为理解规制与发展之间的二元关系提供了鲜活的制度样本。As a regulatory innovation strategy proposed by China for the development of new business models,inclusive and prudential regulation is profoundly significant to the rule of law in public administration.Challenged by the uncertainty of technological development and new business models,the concept of inclusive and prudential regulation indicates a dynamic reflection and evolution of modern administrative rule of law.From the perspective of regulatory theory,the operation of inclusive and prudential regulation reflects the enforcement strategy of responsive regulation,the operating paradigm of cooperative regulation and the evolutionary dynamics of regulatory experimentation.The regulatory design of inclusiveness and prudence with a substantive rule of law feature requires a relatively mature administrative legal framework and the institutional infrastructure and administrative capacity of modern administrative state for its effective operation.It is worth noting that a balance between inclusiveness and prudence is often difficult to achieve in the local practice of inclusive and prudential regulation by the logic of“developmental state”with Chinese characteristics.It has caused a series of regulatory dilemmas and local difficulties,calling for an administrative legal solution.The Chinese experience of inclusive and prudential regulation also provides an institutional illustration for understanding the binary relationship between regulation and economic development.

关 键 词：包容审慎监管 新经济业态 规制试验主义 回应性规制 “发展导向型”行政法 

分 类 号：D922.1[政治法律—宪法学与行政法学]