中国行政审批权配置研究

发布时间：2018-06-16 01:55

本文选题：行政审批 + 行政审批权　；参考：《西南政法大学》2015年博士论文

【摘要】：梅特兰(Maitland)将英国宪政话语中的“王权”(the crown)比作“一块可以随手拿来遮盖无知的遮羞布,让我们免于探究那些困难的问题”。1当政府遭遇社会经济问题时,总想采用一种最简单、有效的解决方式。行政审批恰好满足了这样的需求,成为了政府随手而取的遮羞布。虽然语境不同、名称各异,但行政审批已然被世界各国所普遍接受。作为一种政府规制经济的直接形式,行政审批肩负着政府为了提高社会公共利益而对经济实施正当干预的重任。然而,另一方面,行政审批却又使政府公权侵犯私权成为可能。当政府无法扼制其权力冲动时,行政审批权极易被滥用而伤害私权利。由此,世界各国又普遍对行政审批权进行严格限制,视其为应被置于笼中之猛兽。行政审批权配置涉及政府与市场的界限,涉及权力与权利之冲突,是社会经济发展中不可或缺而又难以驾驭的重要制度。以李克强为总理的新一届政府,将中国行政审批制度全面改革作为重要施政目标。在2014年召开的40次国务院常务会议中,有21次会议讨论了“简政放权”,已取消和下放的行政审批事项超300项。加上2013年取消和下放的416项行政审批等事项,新一届政府“在任期内削减1700多项审批权三分之一”的承诺已经提前兑现。2行政审批制度改革是以简政放权为主要措施,涉及行政审批权的取消和下放,其实质就是行政审批权的配置问题,申言之,行政审批制度改革即是行政审批权的重新配置。传统的研究将行政审批权的配置视为政府内部的权力分配,但笔者认为“市场决定论”下,行政审批权的配置更要考量政府行政审批权力和市场自主经济权利之间的分配和界限问题,是以,本文以行政审批权的配置作为研究对象,借鉴经济学的分析方法,希冀为行政审批权的配置提供评价标准,明确哪些权力哪些应当下放、应当保留、哪些又应当取消?同时,检验简政放权是否确有成效。围绕上述问题,本文主要研究了以下内容:第一章,行政审批及其相关概念。本章对行政审批以及与之相关的行政审批制度和行政审批权三个概念进行了深入分析和对比。面对行政审批这一宏大的论述范畴,理清相关概念是进一步研究的前提。行政审批、行政审批制度和行政审批权虽然意义相近,但是各有其不同的涵义,本文的研究以行政审批权为主,却仍难以回避对行政审批和行政审批制度的解构,是以本章是对相关概念的梳理。行政审批是其他概念的基础,因此本章第一部分即展开对行政审批的讨论。笔者认为,行政审批是政府管理经济的基本手段,是一个看似清晰实则模糊的概念,法律、法规规章等规范性文件定义不明,学者们也莫衷一是。行政审批,尤其在行政审批和行政许可之概念上存在诸多争议,但笔者认为行政审批终究需纳入行政许可的范畴,是为概念明晰的方向。本章第二部分讨论了行政审批制度,行政审批制度是行政审批发展的产物,是行政审批按照一定的安排,协调汇聚而成的一系列准则。行政审批制度的产生渊源颇具争议,笔者从不同的历史阶段对其进行了介绍。本章第三部分是行政审批权的讨论,从权力的主体、客体、内容方面对行政审批权进行了详尽的剖析,笔者认为,行政审批权的配置是行政审批制度改革的核心内容。简政放权的问题,实质就是行政审批权的配置问题。第二章,中国行政审批权配置的演变及动因。本章进入到了对中国行政审批制度的历史回顾:以行政审批权的配置为线索,将中国行政审批权配置的历史进程划分为五个各具特色的阶段,并详细阐释了五个阶段行政审批权配置的特点。五个阶段行政审批权配置的变革,反映出中国经济发展逐渐宽松的事实,也呈现出行政审批权配置减少的总体趋势。需要说明的是,训政时期虽在新中国成立以前,但作为战时的特殊时期,其行政审批权配置体现了截然不同的特点,是中国行政审批权配置进程中的特殊现象,因此本章第一节对其进行了充分的讨论。同时,训政时期的讨论也保证了历史研究的完整性,中国的行政审批制度并非新中国后才出现,而是有一定的历史轨迹可寻。本章第二部分是对中国行政审批权配置变动原因的追溯,笔者认为中国行政审批权配置变动与经济发展密切相关,外部环境的影响和中国自身的制度变迁均是中国行政审批权配置变动的重要因素。第三章,中国行政审批权配置中的问题。本章接续了前一章的内容,进一步研究中国目前行政审批权配置中的各种问题。找准病因方能对症下药,行政审批制度的改革需要准确的把握中国目前行政审批权配置的“病因”,使改革真正能够标本兼治。首先,中国依靠地方分权的威权主义体制保持了三十多年的经济快速增长,快速经济增长的背后是中央政府集权的行政审批权配置结构。其次,在经济体制转型时期,服务型政府尚未形成,政府与市场间的权力——权利存在结构失衡问题;第三,行政审批权的合法性问题也值得关注,笔者认为,中国行政审批权配置缺乏有效法律限制,违法配置的行政审批权大量存在;第四,中国行政审批权配置亦难言合理,滥用立法权、评价机制不合理、权责不统一以及重审批轻监管等现象普遍存在;最后,行政审批权缺乏有效监督。在现行的行政法体系下,司法机关对行政审批权错误的纠正难有作为,尤其是无法限制行政审批立法权,这就使得行政审批的监督几乎成为了行政机关的内部事务,而这常常又因各行政机关内部的联系而归于失败。第四章,主要发达国家行政审批权配置及对中国的借鉴。为解决中国行政审批权配置的问题,本章转向了对发达国家先进经验的探寻,他国之昨天犹如中国之今天,类似背景下的制度变迁当可为中国的改革提供指引。本章首先分析了自从上世纪70年代发达国家掀起“放松规制”的改革浪潮,以及金融危机后的审批权重塑。同时,比较研究了美国、英国、日本等西方发达资本主义国家的行政审批权配置模式,发现主要发达国家的行政审批权配置模式呈现一定的规律性,上述国家均体现出了减少行政审批权和加强法律程序性保障的趋势。由此,中国行政审批权配置的改革应当借鉴主要发达国家的先进模式,并应和行政审批权配置的规律性。第五章,行政审批权配置效果的检验机制。本章引出了本文研究的重点,行政审批权配置改革不等于行政审批权的取消,哪些事项应当保留,哪些应当下放,哪些又应当还给市场自主调节,其判断的标准是什么?行政审批权与市场自主权利的界限也许很难给出精确的划分,但通过一定的标准和程序可以使划分更加接近准确。本章第一部分以“市场决定论”为背景进行分析,指出当下行政审批权配置应当向市场倾斜,配置除了考虑公平外还应当主要考虑市场效率。第二部分明确了检验机制的基本形式是法律机制,行政审批权的配置必须法治化。笔者指出,中国目前的行政审批权配置常常是政府内部的自说自话,与法治化进程相悖,须建立起法治化的配置机制和检验机制。第三部分对检验机制的重构提出了建议,以法治化为前提,关键是改变传统的评价思路、评价标准,减少行政审批权的设置,而更多将经济权利交还市场。笔者认为,以“负面清单”为模版的反向评价机制,是今后行政审批权配置的发展方向。另外,当行政审批权侵害相对人合法权益时,需加强由《行政诉讼法》的规定所提供的司法保障。笔者指出,行政审批权配置的传统检验机制是以政府内部评价和内部标准为主的检验,而此种检验又会因内部的上下级关系而归于无效,应当以《行政许可法》和《行政诉讼法》为中心,以市场评价为检验的主要标准,以司法保障为最后屏障,建立起行政审批权配置的法治化检验、评价机制。第六章,中国行政审批权配置的效率标准检验。本章转向市场评价的一个重要标准—效率,实证检验行政审批权配置对市场效率的影响,以评价配置效果。我们首先分析了中外的不同效率思想和效率标准,主要包括帕累托效率、卡尔多·希克斯效率,通过比较不同效率标准的优、劣势,提出以效率为标准实证检验行政审批权配置效果。其次,我们以经济学中的成本——收益分析法为基础,采用一定的经济学研究工具,详尽分析了各层级主体之间行政审批权配置的成本和收益,指出政府进行行政审批权配置时的首要考量应当是配置的效率,有效率的配置才是符合需要的配置。笔者认为,效率标准应当是判断行政审批权配置效果的首先要标准,并且在实践中具有很强的可操作性。第七章,中国行政审批权配置的自由标准检验。行政审批权配置效果的检验应当遵循市场的标准,而市场首先是一个自由的市场,因此本章将行政审批权配置对市场自由的影响作为了检验行政审批权配置效果的标准。本章以行政审批权配置对创业的影响为例,对简政放权的效果进行了实证检验,结果表明,政府对市场准入门槛的降低,将事前审批改为事后审批有效的促进了自主创业和经济发展,这也表明实践中该检验机制的可行性。此外,笔者还指出,依据新供给主义的经济学理论,新常态下的政府与市场不再是对立和博弈,而逐渐走向合作与互补,政府是为市场服务的政府,它既不是“守夜人”,也不是无处不在的干预者。第八章,中国行政审批权配置的重塑。本章是对全文的总结和梳理,并在此基础上对中国行政审批权的配置进行重塑和再造。首先,本章分析了行政审批制度改革中的两个有争议的重要命题,指出行政审批在市场经济中存在的必要性。同时,行政审批权下放并非行政审批制度改革的全部,行政审批权的合理配置才是行政审批制度改革的核心内容。其次,从如何进行合理的行政审批权配置着手,笔者提出重塑中国行政审批权配置的六大原则和路径:第一,改变以凯恩斯主义思想为指导,采用新供给主义经济政策主张。在转型期通过政府的有效制度供给,减少政府的行政权;第二,构建多层次行政审批权配置结构,在政府、社会中间层和市场三者间合理地分配权力与权利,形成三方相互监督、互相促进的局面,改变政府一家独大的权力配置结构;第三,处理好行政审批权的下放,要求中央向地方适度分权;第四,对于行政审批权配置效果的检验笔者亦给出了相关的建议,一是行政审批权配置需要以市场为引导,以市场的自主配置为基础。二是建立起以“成本——收益”为主的法治化评价机制;第五,从集中审批和减少程序两个方面解决多头审批和审批期限过长的问题;第六,完善公民参与行政审批的制度,加大信息公开的力度。综上,行政审批权的配置是中国行政审批制度改革的核心,也是行政审批制度改革的难点。行政审批权的下放、保留和取消,需以市场的效率和自由作为评价标准,从而检验行政审批权配置改革的效果,明确行政审批权的范围。同时,行政审批权的配置过程应当符合法治化进程的要求,构建起以《行政许可法》和《行政诉讼法》为中心的法律机制。唯此,才能真正将行政审批权使用充分,为经济发展提速。
[Abstract]:Maitland (Maitland) compares the "the crown" in British constitutional discourse to "a piece of shaded cloth that can cover the ignorant, let us avoid exploring those difficult problems"..1 always wants to adopt a simplest and effective solution when the government is experiencing social and economic problems. In spite of different contexts and different names, administrative approval has been widely accepted by all countries in the world. As a direct form of government regulation of the economy, administrative examination and approval shoulder the responsibility of the government to properly intervene in the economy in order to improve the social and public interests. It is possible for government public power to infringe private rights. When the government is unable to control its power impulse, the right of administrative examination and approval is easily abused to hurt private rights. Therefore, the world is strictly limited to the right of administrative examination and approval, and it is considered to be a beast in the cage. The conflict between power and rights is an indispensable and uncontrollable system in the social and economic development. A new government with Li Keqiang as its prime minister has taken the overall reform of the Chinese administrative examination and approval system as an important goal of governance. In the 40 standing meeting of the State Council held in 2014, 21 meetings discussed the "decentralization of power", In addition to the cancellation and decentralization of the administrative examination and approval items over 300 items, plus 416 items of administrative examination and approval, such as the cancellation and decentralization of 2013, the new government's commitment to reducing more than 1700 approvals 1/3 in term of office has been fulfilled ahead of time. The reform of the.2 administrative examination and approval system is based on the main measures of simplicity and decentralization, involving the abolition of the administrative examination and approval power. The essence of it is the allocation of the right of administrative examination and approval. In other words, the reform of the administrative examination and approval system is the reconfiguration of the power of administrative examination and approval. The traditional study regards the allocation of administrative examination and approval power as the distribution of power within the government, but the author thinks that under the "market determinism", the allocation of administrative examination and approval authority should consider the administrative examination and approval power of the government. The issue of distribution and boundary between the independent economic rights of the market and the distribution and boundary of the independent economic rights of the market is taken. This article, taking the allocation of administrative examination and approval as the research object, uses the analytical method of economics, hopes to provide evaluation criteria for the allocation of administrative examination and approval power, which should be clearly defined, which should be reserved, which should be cancelled? In this chapter, this chapter analyzes and compares the three concepts of administrative examination and approval as well as the related administrative examination and approval system and the right of administrative examination and approval. It is the premise of further research. Although administrative examination and approval, administrative examination and approval system and administrative examination and approval power are of similar meaning, they have their different meanings. The study in this paper is mainly based on the right of administrative examination and approval. However, it is still difficult to avoid the deconstruction of administrative examination and approval and administrative examination and approval system. This chapter is a combing of related concepts. The first part of this chapter is the discussion of administrative examination and approval. The author thinks that the administrative examination and approval is the basic means of the government to manage the economy. It is a seemingly clear and real vague concept, and the definition of the normative documents of law, regulations and regulations is unknown. The scholars do not have the original intention. Administrative examination and approval, especially in administrative examination and approval and administrative license. The second part of this chapter discusses the administrative examination and approval system, the administrative examination and approval system is the product of the development of administrative examination and approval, and the administrative examination and approval according to a certain arrangement, a series of rules and regulations. The origin of the examination and approval system is quite controversial, and the author has introduced it from different historical stages. The third part of this chapter is the discussion of the right of administrative examination and approval. From the subject, object and content of power, the author makes a detailed analysis of the right of administrative examination and approval. The author thinks that the allocation of administrative approval right is the core content of the reform of the administrative examination and approval system. The essence of the issue of simplicity and decentralization is the issue of the allocation of administrative examination and approval power. The second chapter, the evolution and motivation of the allocation of administrative examination and approval power in China. This chapter goes into a historical review of the administrative examination and approval system in China: the historical process of the allocation of administrative examination and approval power in China is divided into five distinctive stages with the clue of the allocation of administrative examination and approval power. The characteristics of the allocation of administrative examination and approval power in the five stages are explained in detail. The changes in the allocation of administrative examination and approval in the five stages reflect the fact that China's economic development is gradually loosening and the overall tendency to reduce the allocation of administrative examination and approval power. It should be explained that the period of the political training was a special time in the period of wartime although it was established in the new China. It is a special phenomenon in the process of the allocation of administrative examination and approval power in China. Therefore, the first section of this chapter makes full discussion on it. At the same time, the discussion of the period of the political training also guarantees the integrity of the historical research. The second part of this chapter is to trace the reasons for the changes in the allocation of administrative examination and approval power in China. The author thinks that the change of the allocation of administrative examination and approval in China is closely related to the economic development. The influence of the external environment and the institutional change of China are all important factors for the change of the allocation of administrative examination and approval power in China. The third chapter, the administration of China This chapter continues the contents of the previous chapter, and further studies the various problems in the allocation of administrative examination and approval in China. China has maintained a rapid economic growth for more than thirty years by the authoritarian system of local decentralization. Behind the rapid economic growth is the allocation structure of the central government's centralized administrative approval power. Secondly, in the period of economic restructuring, the service type government has not yet formed, the power of the government and the market is unbalance in the structure of rights; Three, the legitimacy of the administrative examination and approval power is also worth paying attention to. The author thinks that the allocation of administrative examination and approval in China lacks effective legal restrictions, and the administrative examination and approval rights of illegal allocation exist in a large amount. Fourth, the allocation of administrative examination and approval power in China is also difficult to say, the abuse of legislative power, the irrational evaluation mechanism, the ununity of power and responsibility and the retrial of light supervision and supervision. In the end, the administrative examination and approval power is lack of effective supervision. Under the current administrative law system, it is difficult for the judicial organs to correct the wrong right of administrative examination and approval, especially it is impossible to restrict the legislative power of administrative examination and approval. This makes the supervision of administrative examination and approval almost become the internal affairs of the administrative machine, and this is often due to the internal administrative organs. The fourth chapter, the allocation of administrative examination and approval power in the major developed countries and the reference to China. In order to solve the problem of the allocation of administrative examination and approval in China, this chapter has turned to the exploration of advanced experience in developed countries. The yesterday of his country is like the present in China, and the institutional change under the similar background can provide a reference for the reform of China. This chapter first analyzes the reform wave of "deregulation" in developed countries in the 70s of last century, and the remolding of the right of approval after the financial crisis. At the same time, it compares and studies the mode of administrative examination and approval in the western developed capitalist countries such as the United States, Britain and Japan, and finds the mode of the allocation of administrative examination and approval power in the major developed countries. The reform of the right to approve the administrative examination and approval of China should draw on the advanced model of the main developed countries and the law of the allocation of the administrative examination and approval power. The fifth chapter, the testing machine for the effect of the allocation of administrative examination and approval power. This chapter leads to the focus of this study. The reform of the right of administrative examination and approval is not equal to the cancellation of the right of administrative examination and approval. What should be reserved, which should be put down, and which should be returned to the market independently. What is the criterion for its judgment? The limits of the right of administrative examination and approval and the rights of the market may be difficult to give a precise division, but through The first part of this chapter takes "market determinism" as the background, and points out that the right allocation of administrative examination and approval should be inclined to the market, and the market efficiency should be mainly considered in addition to fairness. The basic form of the second part is that the basic form of the inspection mechanism is the law. The allocation of administrative examination and approval power must be ruled by law. The author points out that the current allocation of administrative examination and approval power in China is often the self speaking of the government, which is contrary to the process of rule of law. The configuration mechanism and inspection mechanism of the rule of law must be established. The third part puts forward some suggestions on the reconstruction of the inspection mechanism, with the premise of the rule of law and the key to the change. The traditional evaluation method, the evaluation standard, and the reduction of the administrative examination and approval power and the return of the economic rights to the market. I believe that the reverse evaluation mechanism of "negative list" is the direction for the development of the allocation of administrative examination and approval right in the future. In addition, when the right of administrative examination and approval invades the legitimate rights and interests of the relative people, it is necessary to strengthen the administrative procedure law. The author points out that the traditional inspection mechanism for the allocation of administrative examination and approval is mainly based on the internal and internal standards of the government, and that the inspection will be ineffective because of the internal and lower level relations. It should take the administrative licensing law and the administrative litigation law as the center and the market evaluation as the main test. The standard, with the judicial guarantee as the final barrier, establishes the rule of law test and evaluation mechanism of the allocation of administrative examination and approval power. The sixth chapter, the efficiency standard test of the allocation of administrative examination and approval power in China. This chapter turns to an important standard of market evaluation - efficiency, and empirically examines the effect of administrative examination and approval power allocation on market efficiency in order to evaluate the effect of allocation. We first analyze the different efficiency ideas and efficiency standards between China and foreign countries, including Pareto efficiency and Kaldor Hicks efficiency. By comparing the advantages and disadvantages of different efficiency standards, we put forward the efficiency as the standard to test the effect of administrative examination and approval right allocation. Secondly, we use the cost-benefit analysis method in the economics of economics as the basis and adopt the method of cost-benefit analysis. The cost and benefit of the allocation of administrative examination and approval power between different levels of subjects are analyzed in detail by a certain economic research tool. It is pointed out that the primary consideration of the government's allocation of administrative examination and approval should be the efficiency of the allocation, and the efficient allocation is the configuration that conforms to the needs. The first should be the standard, and it has strong operability in practice. The seventh chapter, the free standard test of the allocation of administrative examination and approval power in China. The inspection of the effect of the allocation of administrative examination and approval right should follow the standard of the market, and the market is a free market first, so the influence of the allocation of administrative examination and approval right on the market freedom is taken as the chapter. In this chapter, the effect of the allocation of administrative examination and approval authority on entrepreneurship is taken as an example, and the effect of the decentralization is tested empirically. The results show that the government has reduced the threshold of the market access, and the pre examination and approval to the post examination and approval effectively promote independent Entrepreneurship and economic development, which also indicates the practice. In addition, the author also points out that, according to the economic theory of new supply doctrine, the government and the market are no longer antagonistic and game under the new normal state, and gradually move towards cooperation and complementarity. The government is the government serving the market, it is neither a "night watchman" nor a pervasive interferer. The eighth chapter, China's administrative trial. Remodeling granted the right configuration. This chapter is the summary and comb, and on the basis of Chinese administrative examination and approval authority configuration of remodeling and reconstruction firstly,
【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D630

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