法学研究

文章摘要

分级分类原则下监管标准的建构与运用

The Construction and Application of Regulatory Standards Based on the Principle of Classified Regulation

DOI：

英文关键词: mid-process supervision; regulatory standards; criteria of discretion; risk classification; the principle of classified regulation

基金项目:

作者	单位
石肖雪	苏州大学王健法学院

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中文摘要:

在事中监管的语境中,监管内容及其审查基准的详细和清晰程度,关涉市场主体的遵从成本,监管标准体系的建构对于营商环境的优化意义重大。作为裁量基准的监管标准,旨在通过对监管内容的标准化,压缩行政机关事中监管的裁量空间,为监管对象提供清晰有效的行为指引。基于分级分类监管原则,监管标准的建构要服务于监管内容的精准化,以回应监管风险的差异性;监管标准应能连接法律规范与企业文化,以实现合作治理。基于监管公平性的要求,监管标准还需符合平等原则与比例原则,其严苛程度应与监管的必要性相当。在法律的统摄之下,监管标准的规范来源处于不同层级,监管标准因之存在干预强度上的差异;监管标准涉及不同的审查环节,监管标准因之存在干预深度上的差异。由此,分级分类的监管标准呈现为多层级的体系结构,其与监管措施相结合,有助于形成适度的监管深度与监管强度,从而实现精准监管、提升监管效能。

英文摘要:

In the context of mid-process supervision, the level of detail and clarity of regulatory standards are closely related to the compliance costs of market entities. The construction of a regulatory standard system is of great significance for optimizing the business environment. As criteria of discretion in regulation, regulatory standards can reduce the discretionary space of regulators by standardizing the content of supervision and provide effective guidance for regulated parties. Based on the principle of classified regulation, the construction of regulatory standards should serve to enhance the accuracy of regulatory content and be responsive to the difference of regulatory risk. Regulatory standards should be able to bridge legal norms and corporate culture, so as to achieve the goal of cooperative governance. In line with the requirements of regulatory fairness, regulatory standards must comply with the principles of equality and proportionality, and their severity should be commensurate with the necessity of regulation.Under the domination of law, regulatory standards have sources at different levels and thus have differences in intervention intensity; they also involve different aspects of regulation and thus have differences in intervention depth. As a result, classified regulatory standards take the form of a multi-level structure. Combined with regulatory measures, they help to achieve an appropriate level of regulatory depth and intensity, thereby enhancing the precision and effectiveness of regulation.

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