優(yōu)化營(yíng)商環(huán)境背景下行政處罰過罰相當(dāng)原則的適用

摘 要： 在優(yōu)化營(yíng)商環(huán)境的政策導(dǎo)向下，行政處罰的實(shí)施需兼顧優(yōu)化市場(chǎng)環(huán)境與維護(hù)市場(chǎng)秩序，這對(duì)過罰相當(dāng)原則的靈活性與公正性提出了更高的要求。過罰相當(dāng)原則缺乏明確的判斷標(biāo)準(zhǔn)與適用方式，面臨適用難題。準(zhǔn)確評(píng)估過罰相當(dāng)原則的適用以“過”和“相當(dāng)”為前提。一方面，應(yīng)細(xì)化“過”的相關(guān)考量因素，并將之盡可能完整地納入評(píng)估體系，以實(shí)現(xiàn)對(duì)“過”之程度的準(zhǔn)確判斷。另一方面，應(yīng)在相當(dāng)性的判斷中引入比例原則，以實(shí)現(xiàn)對(duì)“相當(dāng)”之程度的精準(zhǔn)衡量。為降低過罰相當(dāng)原則適用的不確定性，《行政處罰法》中應(yīng)增加“可以式”從輕、減輕處罰規(guī)范，設(shè)立“酌定式”從輕、減輕處罰規(guī)范。為了避免裁量基準(zhǔn)僵化適用和同案不同罰等不利于營(yíng)商環(huán)境的行政處罰方式，應(yīng)優(yōu)化裁量基準(zhǔn)的逸脫適用規(guī)則，并發(fā)展自動(dòng)化處罰裁量等行政處罰的技術(shù)支持手段。

關(guān)鍵詞： 行政處罰；比例原則；營(yíng)商環(huán)境；過罰相當(dāng)；裁量基準(zhǔn)

中圖分類號(hào)： D922.1

文獻(xiàn)標(biāo)志碼： A

文章編號(hào)： 1673-3851 （2025） 02-0076-09

The application of the principle of suiting penalty to fault in the

context of business environment optimization

YU" Zhiqiang， XU" Lei

（School of Law and Politics， Zhejiang Sci-Tech University， Hangzhou 310018， China）

Abstract： "Under the guidance of the business environment optimization policy， both market environment must be optimized and market order must be maintained while implementing administrative penalties， which puts higher requirements on the flexibility and fairness of the principle of suiting penalty to fault. However， it is difficult to apply this principle due to the lack of clear judgment criteria and application methods. The accurate evaluation of the application of this principle is based on \"fault\" and \"equivalent\". On the one hand， the relevant \"fault\" considerations should be refined and incorporated as fully as possible into the evaluation system to accurately judge the severity of \"fault\". On the other hand， this principle should be introduced into the proportionality assessment to accurately measure the level of \"equivalent\". To reduce the uncertainty in the application of this principle， provisions for lenient and mitigated penalties in \"possible\" forms and \"discretionary\" forms should be included in the Administrative Penalty Law. To avoid administrative penalties that harm the business environment， such as rigid application of discretion standards and different penalties for the same case， it is necessary to optimize the rule for escaping discretion standards and to develop technical support such as automated penalty discretion for administrative penalties.

Key words： administrative penalty; proportion principle; business environment; penalty commensurate with offense; discretion benchmark

優(yōu)化營(yíng)商環(huán)境的難點(diǎn)與行政權(quán)的運(yùn)行尤其是行政機(jī)關(guān)的市場(chǎng)監(jiān)管措施緊密相關(guān)［1］。陜西榆林個(gè)體戶羅某夫婦售出5斤不合格芹菜，所得僅20元，卻被處以罰款人民幣6.6萬元 （2020）陜08行終19號(hào)行政判決書。；湖北省某地餐廳銷售兩份獸藥殘留量超標(biāo)的武昌魚菜品，所得107元，卻被處以罰款5萬元整 （2021）鄂 0106 行審21號(hào)行政裁定書。。此類案件中市場(chǎng)監(jiān)管部門所作的過重處罰，盡管明顯與一般公眾的認(rèn)知相悖，但卻是按照《中華人民共和國食品安全法》（以下簡(jiǎn)稱《食品安全法》）的相關(guān)規(guī)定作出。……