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包容审慎监管

文章摘要

包容审慎监管是数字经济监管的主要原则,关键在于把握创新与监管两者间的平衡,形成包容创新、审慎监管的社会共治管理格局。“包容审慎监管”一级指标之下设置两项二级指标,分别为“创新监管机制”“柔性执法方式运用”。二级指标“创新监管机制”下设两项三级指标,分别为“是否具有容错举措”“是否具有多元化监管机制”;二级指标“柔性执法方式运用”下设“是否有可替代性柔性执法机制”一项三级指标。经评估,当前各被评估城市基本完成市场监管领域容错举措的设置工作;大多数城市已创新多元化监管机制和建立可替代性的柔性执法机制。但是仍存在以下问题:免罚清单等容错机制存在诸多法律风险;多元化监管机制有待进一步完善;柔性执法措施尚缺乏制度依据。未来应当在行政法体系中明确免罚清单等容错机制的定位,注意对免罚清单等裁量规范的合法审查;系统完善多元化监管机制;为柔性执法提供制度支撑,提高执法水平。

Abstract

Inclusive and prudent regulation is the main principle of digital economy regulation,and the key lies in grasping the balance between innovation and regulation,and forming a social co-governance management pattern of inclusive innovation and prudent regulation. Under the primary indicator of “inclusive and prudent regulation”,there are two secondary indicators,namely “innovative regulatory mechanism” and “application of flexible enforcement methods”. Under the secondary indicator “innovative regulatory mechanism”,two tertiary indicators are set up,namely “whether there is a fault-tolerant initiative” and “whether there is a diversified regulatory mechanism”;and the secondary indicator The second level indicator,“Use of flexible enforcement methods”,has a third level indicator,“Availability of alternative flexible enforcement mechanisms”. Upon assessment,the assessed cities have basically completed the work of setting up fault-tolerant initiatives in the field of market supervision;most of them have already innovated diversified supervision mechanisms and established alternative flexible enforcement mechanisms. However,the following problems still exist:fault-tolerance mechanisms such as penalty-free lists have many legal risks;diversified regulatory mechanisms need to be further improved;and flexible law enforcement measures still lack an institutional basis. In the future,the positioning of fault-tolerant mechanisms such as the penalty-free list should be clarified in the administrative law system,attention should be paid to the legal review of discretionary norms such as the penalty-free list;the diversified regulatory mechanism should be systematically perfected;and the institutional support should be provided for flexible law enforcement to improve the level of law enforcement.

作者简介
陈悦:陈悦,法学博士,安徽大学管理学院讲师、专硕导师,研究方向为行政法学、数字政府与数字治理、政府规制。
董媛媛:董媛媛,对外经济贸易大学法学院2022级博士研究生,研究方向为行政法学、行政诉讼法学。