摘要
行政备案作为行政审批制度改革的产物,与行政许可告知承诺制并行,保有其独立的制度建构价值。从合法性、合目的性以及系统性等方面对我国行政备案程序进行检视,发现存在报送时点不清、实质审查存废不明、数据共享不足、自动化技术引入减损相对人程序性权利、电子备案证明出具混乱、注销备案程序未统一等问题。究其原因,应是行政备案的法律属性不清、行为边界模糊、效能导向不突出所致。行政备案作为一种信息规制工具,直接目标是缓和信息不对称,其与信用监管、“双随机、一公开”检查等事中事后监管措施配套适用,可实现规范行政相对人行为的最终目标。基于行政备案的事实行为属性以及效率价值导向,应引入效能原则进行程序建构。建议清理重复备案事项,明确原则上行政备案应在相对人从事特定活动后进行,禁止行政机关对备案材料进行实质审查,在自动审查环节引入“人在环路”机制,备案的完成遵循到达主义原则,规范备案证明文件的出具,厘清注销备案情形。
As a product of the reform of the administrative approval system,administrative filing maintains its independent institutional value.In practice,however,China’s administrative filing procedures face issues such as unclear filing timelines,ambiguous scope of substantive review,insufficient data sharing,and inadequate procedural safeguards in automated processes.These problems stem from the undefined legal nature and blurred boundaries of administrative filing.As an information-based regulatory tool,its direct goal is to mitigate information asymmetry and,when integrated with credit-based supervision and other ex-post regulatory measures,to regulate entities’behavior effectively.Grounded in its nature as a factual act and efficiencyoriented purpose,administrative filing procedures should be constructed following the principle of effectiveness.Recommendations include streamlining redundant filing requirements,mandating that filing occur after the concerned party’s engagement in specific activities,prohibiting substantive review of filing materials,incorporating human oversight in automated reviews,and standardizing the issuance and deregistration of filing certificates.
作者
张红
邹鑫
ZHANG Hong;ZOU Xin
出处
《经贸法律评论》
2026年第1期140-158,共19页
Business and Economic Law Review
基金
中央高校基本科研业务费专项资金项目“人工智能在数字法治政府建设中的运用与规制”(项目批准号:1243300006)。
关键词
行政备案
事实行为
信息规制
实质审查
效能原则
Administrative Filing
Factual Act
Information Regulation
Substantive Review
Principle of Effectiveness
