美国联邦政府监管中的行政罚款制度研究

发布时间：2018-05-23 10:21

本文选题：行政罚款 + 适用对象　；参考：《环球法律评论》2012年03期

【摘要】：行政罚款是美国联邦政府监管机构日益频繁使用的执法手段。行政罚款主要适用于与政府监管或者税收征收相关的违法行为,相对人的违法行为属于行政犯而非自然犯,并且其适用能够实现预防或者救济的功能。在联邦立法中设置行政罚款条款时往往注重与其他执法工具的组合,突出其弹性灵活的优点,使其成为刑罚、吊销许可证等制裁方式的重要补充。在罚款金额的确定上,美国联邦法律和行政规则往往明确规定执法机关确定罚款金额的公式和调整系数。行政机关在评估确定罚款金额时,往往同时考虑违法收益和违法程度,以求实现最佳的威慑效果。为了确保行政罚款的有效、高效和公正性,法律在实施程序方面提供了两种主要模式选择,一种是赋予行政机关对行政罚款和解进行评估并作出妥协的权力,但要求有更高水平的行政程序保障;一种则将实质性的权力赋予司法机关,但是强调行政程序的灵活和效率。如果相对人没有依照监管机构的罚款决定或者双方达成的和解协议交纳行政罚款时,联邦地区法院负责强制执行罚款的决定或者和解协议,法律同时规定了可以按日加收罚款或者提供禁令救济。行政罚款资金一般上缴国库,但是为了奖励举报人或者救济受害人的目的,法律作出特殊安排。
[Abstract]:Administrative fines are increasingly used by federal regulators to enforce the law. Administrative penalty mainly applies to the illegal acts related to government supervision or tax collection. The illegal behavior of the relative party belongs to the administrative offence rather than the natural offense and its application can achieve the function of prevention or relief. When setting up the administrative penalty clause in the federal legislation, we often pay attention to the combination with other law enforcement tools, highlight its advantages of flexibility and flexibility, and make it an important supplement to punishment, license revocation and other sanctions. In determining the amount of fine, the federal laws and administrative rules of the United States often specify the formula and adjustment factor for the law enforcement agency to determine the amount of the fine. In order to achieve the best deterrent effect, the administrative authorities often consider the illegal proceeds and the degree of violation in order to determine the amount of fine. In order to ensure the effectiveness, efficiency and impartiality of administrative fines, the law provides two main options for implementing procedures, one of which is to give the executive authority the power to assess and compromise the settlement of administrative fines, However, it requires a higher level of administrative procedural safeguards; one gives substantive power to the judiciary, but emphasizes the flexibility and efficiency of administrative procedures. If the relative party fails to pay the administrative penalty in accordance with the penalty decision of the regulatory body or the settlement agreement reached between the two parties, the Federal District Court shall be responsible for enforcing the decision on the fine or the settlement agreement, The law also provides for daily fines or injunctive relief. Administrative fines are generally handed over to the treasury, but special arrangements are made for the purpose of rewarding whistleblowers or relief to victims.
【作者单位】：中央财经大学法学院;
【基金】：教育部人文社会科学研究项目《应对气候变化监管的行政法研究》(项目号:10YJC820093)的阶段性成果
【分类号】：D971.2;DD912.1

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