【作者】 朱喜洋；

【导师】 朱维究；

【作者基本信息】 中国政法大学 ， 宪法学与行政法学， 2008， 博士

【摘要】 监管的实质,是在自由与秩序之间寻求一种制度平衡;而对监管的公法规制则是达成这种平衡的制度舞台。以市场和政府关系为整体背景,本文集中围绕我国经济、社会体制改革中行业监管的确立和发展,以转型期煤炭业为主要考察对象,分析政府监管权力的运作状况和存在问题,研究监管革新趋势及其公法规制。从而为我国公法监管理论的发展和政府监管制度改革提供理论支持。本研究共包括五个方面。绪论对选题背景、选题意义、研究思路和研究方法等进行了简要介绍。第一章公法视野下的监管主要从公法视域认识并界定监管。首先,将监管理论纳入行政法学的学科知识框架下,通过梳理英美法系国家行政法语境下的监管变迁和行政法发展的契合关系,概括监管理论的塑造实质法治理念、注重行政目的实现、提供内部研究视角等方面的特征。其次,总结认为,相对于传统的以行政行为理论为核心的行政法体系,监管是一套别致的公法语言,是研究新时期行政法发展变化的有效工具,为行政法回应公共行政变革提供了试验场所,从而彰显其公法研究的意义。再次,在对监管的公共利益目的进行简要考察后,将“秩序”和“正义”界定为政府监管的公法价值取向。最后,提出公益性原则、补充性原则、比例原则和效率原则为现代监管的公法原则。以上要素共同构成监管的公法基础理论,同时也是对监管进行公法规制的指导思想。第二章行业监管的法制背景分析主要分析并总结行业监管体制的基本法律环境。首先,梳理我国煤炭业半个世纪来的体制变化,概述监管权的变迁路径。以发展经济为目标的政府监管体制,整体上经历了计划经济体制、放松经济性监管、倡导协会自治、加强社会性监管等不同阶段,是一个政府权力逐渐向社会和公民分权和转移的过程,也印证中国政府监管必然迥异于西方从自由到监管的发展模式特征。其次,通过对行业协会自治地位和自治权力的初步分析,指出转型期行业监管制度必须倚重政府权力,并通过政府监管权促进社会自治权的发展。最后,探讨行业监管体制存在的主要问题,包括监管规范的单一化、监管机构设置的不合理、监管权力的越位和缺位等,这既是行业监管革新的起点也是行业发展公法规制的重点。第三章监管权的限缩与市场秩序主要研究秩序价值下经济性监管权的越位及其必要限缩。从市场准入、市场价格和市场退出入手,针对监管权越位进行相对系统的实证分析。首先,总结市场准入中各种许可制度及其关系,并进行相应公法分析,揭示监管目的和工具的不匹配,主张市场本身就是一种重要的监管替代工具。其次,探讨价格监管权的生成基础和制约因素,并尝试提出能源普遍服务理念下的价格监管运行机制。最后,检讨政府在市场退出方面,出于资源整合和行业发展考虑所采用命令服从监管手段的合理性,分析政府强行企业退出市场监管权的信赖保护和补偿问题。政府监管首先在于促进市场自由、服务市场秩序;因此应当通过对监管权的限缩和规制,促进市场的健全完善。第四章监管权的增进与社会正义主要研究正义价值下社会性监管权的缺位及其必要增进。侧重职业安全监管和资源保护监管展开分析。前者主要论述职业安全监管的正当性和监管目标即矿工生命健康权益保护;总结安全监管法律制度现状及问题;对典型监管工具进行行政法分析,主张民主参与等现代监管工具的应用,并着重对监管中监管规章手段的运用进行分析,指陈其监督难题并主张成本效益分析和民主参与为有效治理途径。后者主要分析资源保护监管工具的有限性,并主张通过公法激励等更新监管理念,优化监管工具的选择。总之,应当通过对监管权进行适当增进和规制,促进社会正义价值实现。第五章监管革新的公法规制对监管权的规制是公法研究监管制度的使命。首先,总结我国转型期监管革新的社会背景,并指出法治政府是监管革新的发展目标。其中法律、标准、政策三位一体成为监管革新的规范基础,专业化则为监管革新的组织建设方向。其次,我国行业监管革新应主要侧重程序和责任两条路径,监管革新的程序路径包括程序正义理念的确立、诸如协商性监管、回应性监管等新型监管的采用,行政程序法的制度保障等;而监管革新的责任路径则包括对监管俘获理论的分析、对监管者的监管和严格监管责任的确立,最终走向责任政府。最后,绩效评估为监管革新的实现提供重要的制度保障,包括监管绩效评估的主要内容和法制化构建等等。更多还原

【Abstract】 The substance of regulation is to seek an institutional balance between freedom and order;while the public law managements of industry regulation is the platform to achieve the balance.Taking the overall relationships between market and government as the background,this dissertation principally deals with the establishment and developments of industry regulation during both the economic and the social institutional reforms in China;inspects the coal industry in transitional period;analyses the present situations and problems of govemment powers’ exercises on regulation;studies the renovations and public law managements on regulation,so as to build a theoretical foundation for both the public law managements’ study and the institutional reforms on govemment regulations in China.The dissertation is composed of five chapters as follows:The preface chiefly introduces a series of problems included the topic’s backgrounds and meanings,the study’ dimensions and methods.Chapter one defines ’regulation’ from the public law’s dimension. First,includes the regulation theory into the administrative law study system,with the study on the interrelationships between the regulation transitions and the administrative law’s developments in the common law context,summarizes the features of regulation theories such as built of substantial ’rule of law’ theory,stress on the realization of administrative purposes,provision of internal study’s dimension and so on.Second, comparing with the traditional administrative law system which has been focused on the core position of administrative actions,concludes that regulation is a rather special public law language both as an effective method to study administrative law developments in the new era and as a test place for administrative law to reflect on public administration’s renovations,so as to emphasize the meanings of public law study.Third, with inspections on the regulation’s public profits’ purpose,defines ’freedom’ and ’order’ as public law’s values of the government regulation. Finally,put forth public interest principle,addition principle,proportion principle and efficiency principle as the public law’s principles on modem regulation.The aboved elements altogether constitute both the basic public law theories on regulation and the guiding principles of public law managements on regulation as well.Chapter two deals with the legal surroundings of industry regulation in transitional period;mainly analyses and summarizes the basic legal surroundings of the industry regulatory mechanism.First,studies the systematical changes of the coal industry in China during the past half century;summarizes the meanings of regulative powers from transitional dimension.As a whole,the government regulation system focused on economic developments,has experienced the following different stages as the planned economic system,the relaxed economic regulation,the encouraged professional autonomy,the strengthened social regulation and so on,which not only represents the process that the state powers have been gradually divided and transferred to society and civilians,but also testifies the features of the Chinese government regulation’s development compared with western countries’ from freedom to regulation developed mode.Second,with the primary analyses of the status of professional autonomy and the autonomous powers,concludes that the industry regulation’s institutions in transitional period should rely on state powers and should progress social autonomous powers under the help of government regulation.Finally,discusses the important problems existed in the industry regulation’s system,which includes the simplicity of the regulation rules,the ir-reasonable structures of regulation institutions,the offside and vacancy of regulatory powers and so on.This is both the start point of the industry regulation’s reforms and the key point of the public law managements on industry regulation.Chapter three mainly studies the offside and necessary limits of economic regulatory powers under the value of order.Started from market access,market prices and market exit,systematically analyzes the offside of the regulatory powers from empirical dimension.First,summarizes different kinds of licenses’ systems and its interrelationships under the market access;and with the study on public law analyses,points out the mismatch between the purposes and the instruments of the regulation; further claims that the market itself is an important substitute for regulatory instruments.Second,discusses the basis and the restricted elements of the pricing regulatory powers;tries to put forth pricing regulatory mechanism under the guidance of energy universal service. Finally,examines the rationalities of the government’s compulsory regulatory method considering resources combination and industry developments,from the dimension of market exit;and analyzes protection of credit and compensation regarding government’s compulsory closing mines.The primary purpose of government regulation is to promote market freedom and to serve economic order;therefore we should promote a perfect market through the limits and managements of regulatory powers.Chapter four is about the improvements of regulatory powers and social justice.It mainly studies both the vacancy of social regulatory powers under the value of justice and its necessary improvements.The discussion is focused on the regulation of industry safety and resources protection.The former chiefly discusses the justice of industry safety regulation and regulatory purpose,which is to protect the miners’ lives and heaths;summarizes the present situations and problems of the legal institutions on industry safety regulation;analyzes typical regulatory instruments from the dimension of administrative law;claims to apply modem regulatory instruments such as democratic participation;stresses to analyze the application of regulatory rules;points out the difficulties of regulation;and claims cost-benefit analyses and democratic participation to be the effective managements.The latter chiefly analyzes the limits of regulatory instruments on resources protection;claims to update regulatory ideals with public law’s inspirations and such;and optimizes the choices of regulatory instruments.In a word,we should promote to realize social justice with due advances and managements of regulatory powers.Chapter five is about the public law managements on regulatory reforms.To control the regulatory powers is the mission of the public law regulatory institutions’ studies.First,summarizes the social backgrounds of regulatory reforms in Chinese transitional period;concludes that the goal of regulatory reforms is to establish a ’rule of law’ government; further claims that the trinity of ’rules-standards-policies’ is the foundation of regulatory reforms and professionalism is the direction for institutional constructions.Second,claims that the emphases of Chinese industry regulatory reforms are laid on procedures and responsibilities.From the procedural dimension,regulatory reforms include establishment of procedural justice ideal,application of new regulatory methods like bargaining regulation and responsive regulation,and systems of procedural laws.From the responsibilities’ dimension,regulatory reforms include analyses of ’capture theory of regulation’,checks on regulators, establishments of strict regulatory responsibilities,and a responsible government ultimately.Finally,concludes that performance evaluation, which includes the chief contents and the legal mechanisms,ensures the realization of the regulatory reforms.更多还原