行政处罚的预防目的及其规范建构

Preventive Purpose of Administrative Sanctions and Its Normative Construction

将报应作为行政处罚的目的,不仅存在法哲学上的正当性疑虑和法释义学上的逻辑困境,也无法充分解释现代行政处罚的制度现实。现代意义上的社会风险已超越传统秩序行政中的危险范畴,对行政法治提出一系列挑战,进而形塑了行政处罚的预防目的。在行政处罚的设定和实施过程中,法律威慑机制着眼于对常规违法行为风险的消极排除,风险预防原则承载着对新兴社会风险的分配和管控。基于法律威慑和风险预防的二元构造,预防目的主要从构成要件和法律效果两个层面,对行政处罚的规范构造产生深刻的体系效应。基于风险预防原则,应当从风险认知、危害预期、预防措施和证明机制等维度,调适应受处罚行为的构成要件;基于法律威慑机制,应当从定罚和量罚两个维度优化行政处罚的法律效果,更好发挥一般威慑和特殊威慑的作用。为了防止行政处罚的不当扩张,有必要从法益侵害约束、义务创设约束和比例原则约束等方面为预防目的划定必要的法治界限。

Treating retribution as the purpose of administrative sanctions not only raises philosophical and legal interpretative doubts but also fails to fully explain the institutional reality of modern administrative sanctions.Modern social risks have transcended the danger categories of traditional order-based administration and posed a series of challenges to the administrative rule of law,thereby shaping the preventive purpose of administrative sanctions.In the process of setting and implementing administrative sanctions,the legal deterrence mechanism focuses on the passive elimination of routine violation risks,while the risk prevention principle is aimed at allocating and controlling emerging social risks.Based on the dual structure of legal deterrence and risk prevention,the preventive purpose has profound systemic effects on the normative construction of administrative sanctions in such aspects as constitutive elements and legal effects.Based on the principle of risk prevention,the constitutive elements of acts subject to administrative sanctions should be adjusted in such dimensions as risk perception,harm expection,preventive measures,and the proof mechanism.Based on the legal deterrence mechanism,the legal effects of administrative sanctions should be optimized in the dimensions of the setting and discretion in imposing administrative sanctions,so as to give better play to the function of general deterrence and special deterrence.To prevent the arbitrary expansion of administrative sanctions,necessary legal boundaries need to be drawn for the preventive purpose in such aspects as the control of infringement of legal interests,the control of the creation of obligations,and the control through the principle of proportionality.