市场监管领域“首违不罚”裁量探析:法理、隐忧与调适  

Exploring the “First Violation No Penalty”Discretion in the Field of Market Regulation:Legal Principles,Hidden Concerns,and Adjust

作　　者：何美奇 He Meiqi(School of Law,Zhongnan University of Economics and Law,Wuhan 430073,China)

机构地区：[1]中南财经政法大学法学院,湖北武汉430073

出　　处：《中南财经政法大学研究生论丛》2024年第6期80-88,共9页Journal of the Postgraduates of Zhongnan University of Economics and Law

摘　　要：伴随新《行政处罚法》对“首违不罚”场域的涵摄及包容审慎理念新发展,不予处罚“休眠条款”被强力激活,但亦伴随诸多裁量权适用困境。基于此,以市场监管领域“首违不罚”裁量实践范本为抓手,先探析市监“首违不罚”裁量理念意涵,一是明确过罚相当与优化营商环境目标取向,二是落脚裁量基理问题。再详言市监领域“首违不罚”裁量中裁量范围与技术阙如,包括程序裁量的流程规制欠缺、定性裁量模糊性较强与定量技术说理性不足,及逸脱技术适用正当性及边界阐释不足等问题。最后从裁量原则、范围与技术三层面探究市监领域“首违不罚”裁量调适进路,即“过罚相当”相当性标准细化、程序裁量事前事后程序梳理、定性定量裁量具化及逸脱技术适用合理性证成等。以求在“垂法而治”与“行政自治”间找到平衡点,形成公正合理的市场秩序与高效有序的服务型政府,将“首违不罚”制度落到实处。Accompanying the new Administrative Penalty Law's coverage of the“first violation no penalty”field and the new development of the inclusive cautious concept,the“dormant clause”of no penalty has been strongly activated,but it also comes with many difficulties in the application of discretion.Based this,taking the practice of“first violation no penalty”in the field of market supervision as a model,we first explore the ideological connotation of the“violation no penalty”in market supervision,which includes clarifying the goal of proportionality between guilt and punishment and optimizing the business environment,and addressing the issue of basis of discretion.Then,we detail the problems in the scope and technology of“first violation no penalty”in the field of market supervision,including the lack process regulation in procedural discretion,strong ambiguity in qualitative discretion,and insufficient rationality in quantitative technology,as well as the lack of proper justification and boundaries in application of escape technology.Finally,we explore the adjustment path of“first violation no penalty”in the field of market supervision from three aspects:refinement of the substantial equivalence criteria,the clarification of the process of procedural discretion,the concretization of qualitative and quantitative discretion,and the reasonable application of escape technology.This seeks to find a balance between“governance by law”and“administrative self-discipline”,forming a fair and reasonable market order and an efficient orderly service-oriented government,and truly implementing the“first violation no penalty”system.

关 键 词：首违不罚 过罚相当 裁量范围 裁量技术 

分 类 号：D92[政治法律—法学]