风险规制的法治化研究

发布时间：2018-05-20 16:15

本文选题：风险 + 规制　；参考：《江西财经大学》2017年硕士论文

【摘要】：在现代社会,风险伴随着科学技术的发展、全球化进程的加剧,不确定性、不可控性愈加明显。2003年SARS病毒肆虐中国,2005年松花江特大水污染事件,2008年年初南方雪灾严重困扰南方,随后的伤亡惨重、城市被毁的汶川地震以及“三聚氰胺”毒奶粉事件引发国人“奶粉信任危机”,2010年西南五省持续严重干旱事件使得当地百姓严重缺水、农作物大面积枯死,2011年日本核泄漏引发国人“盐荒”以及发生在温州的动车追尾事件,惨重的伤亡数据以及财产损失无时无刻不在警醒人们,风险无处不在。而面对风险,人们的无力招架,其根源一部分可归因于风险本身的复杂性,而更大的责任应当归咎于风险规制体系的失灵。本文以行政法学理论为基石,试图从行政法学角度架构起政府风险规制活动中的法治化大厦。本文第一部分“风险规制理论概述”,以“风险”为切入点,从风险的概念、特征两个方面从宏观上建立对“风险”的初步认识。进而对风险规制的内涵进行分析,并通过对各个环节的阐释,指出风险规制机制的不足。本文第二部分“风险规制语境下行政法原则面临的挑战及行政法的发展”,风险规制的对象是不确定性风险,而传统行政法理论中的两大基石合法行政原则与合理行政原则都存在不足之处。在认识到传统行政法理论存在不足的基础上,也应当认识到风险规制语境下,行政法的研究角度发生了重大转变。例如,从重视“行政行为”到“行政过程”的转变等。本文第三部分“风险规制中风险预防原则的重构”,基于传统行政法的各项不足,风险预防原则的引入则能多维度地解决传统行政法的多个不足之处。例如,风险预防原则的引入,意味着风险规制中,规制主体的介入早于风险的现实化,即由传统行政中的事中事后监督向事前预防的转变,此外,风险预防原则将事前阶段纳入规制范围,与风险管理阶段基本上构成了风险规制的全过程,由此也能体现风险预防重过程的理念。但是风险预防原则在使用过程中仍然存在些许不便,例如风险判断权的垄断与“滥用权力”之间的矛盾如何化解;风险内涵在强式版本与弱势版本下的不明确化引发的适用困难等等。基于此,作者进一步提出了“风险预防体系的再建构”,从内涵的明确到风险判断权约束机制的建构,以及比例原则在风险预防体系中的重生三个层次予以阐述。本文第四部分“风险规制的法治化进路”,首先分析当前学术界较为热议的两大典型规制模式一一专家型的规制模式与民主型的规制模式,并由此提出了风险规制的法治化进路下的规制模式应当是专家与民主融合的合作治理模式。风险规制的法治化还离不开司法审判权的监督,只有充分实现司法的监督职能,才能降低风险规制沦为腐败温床的可能。而从风险规制法律体系的完善上考量,风险法律制度的系统化要求,通过各项具体风险规制活动的共性挖掘,来建构风险规制的框架,并且从法律上及相关具体制度对政府风险规制的义务明确化。
[Abstract]:In the modern society, the risk is accompanied by the development of science and technology, the intensification of the process of globalization, the uncertainty and the uncontrollability of the.2003 SARS virus in China, the major water pollution in Songhua River in 2005, the southern snow disaster in southern China in the early 2008, the severe injury and death of the city, the Wenchuan earthquake destroyed by the city and melamine. "The milk powder milk powder incident triggered the" milk powder trust crisis ". In 2010, the severe drought in the five provinces in Southwest China made the local people seriously short of water and the crops were dead. In 2011, the Japanese nuclear leakage triggered the" salt shortage "and the rear end incident in Wenzhou. The tragic casualties and property losses were all the time. In the vigilance of people, risk is everywhere. Facing the risk, people's inability to stand is partly attributable to the complexity of the risk itself, and the greater responsibility should be attributed to the failure of the system of risk regulation. This article, based on the theory of administrative law, tries to construct the rule of law in government risk regulation from the perspective of administrative law. The first part of this article "the overview of the risk regulation theory", taking "risk" as the breakthrough point, from the concept of risk, the characteristics of the two aspects to establish a preliminary understanding of the "risk", and then analysis the connotation of risk regulation, and through the explanation of the various links, point out the lack of risk regulation mechanism. The second part of this paper. It is divided into the challenge of administrative law in the context of risk regulation and the development of administrative law. The object of the risk regulation is the uncertainty risk, and the two cornerstones in the traditional administrative law theory have shortcomings in the legal administrative principle and the rational administrative principle. In the context of risk regulation, the research angle of administrative law has changed greatly. For example, from the emphasis on "administrative behavior" to "administrative process". The third part of this article "the reconstruction of risk prevention principle in risk regulation", based on the shortcomings of traditional administrative law, the introduction of the risk prevention principle can be solved in many dimensions. For example, the introduction of the principle of risk prevention means that in the regulation of risk, the intervention of the regulatory body is earlier than the reality of the risk, that is, the transformation from the post supervision to the pre incident prevention in the traditional administration. In addition, the principle of risk prevention puts the pre event stage into the scope of the regulation and is basically the risk management stage. The whole process of risk regulation can also reflect the concept of risk prevention. However, there are still some inconveniences in the use of risk prevention principles, such as the solution of the contradiction between the monopoly of risk judgment and the "abuse of power"; the risk connotation is caused by the uncertainty of the strong version and the disadvantaged version. Based on this, the author further proposed the "re construction of the risk prevention system", from the definition of the connotation to the construction of the mechanism of the risk judgment, and the three levels of the rebirth of the proportion principle in the risk prevention system. The fourth part of this article, "the rule of law approach to the regulation of wind insurance", first analyses the current situation. The two typical modes of regulation, which are more popular in the academic circle, are the expert regulation mode and the democratic regulation mode, and thus the regulation mode under the rule of law under the rule of law should be the cooperative governance model of the integration of experts and democracy. In order to realize the supervision function of the judicature, it can reduce the possibility that the risk regulation is reduced to the hotbed of corruption, and from the perfection of the legal system of risk regulation, the systematization of the legal system of the risk, the construction of the frame of the risk regulation through the commonness of various specific risk regulation activities, and the legal and related specific systems to the government. The obligation of risk regulation is clear.
【学位授予单位】：江西财经大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.1

【参考文献】