作为新型信息规制工具的行政备案:角色变迁、功能定位与效能保障

Administrative Filing as a New Regulation Tool Through Information:Role Change,Function Orientation and Efficacy Assurance

现有研究囿于行政行为型式论观点,难以准确阐释现代行政备案的新特性,应引入规制理论作出新的解读。行政备案先后经历了三个阶段,最终实现了从附属性审批措施到独立性监管手段的角色变迁,标志着从传统规制迈向新型规制的制度工具转型。行政备案的根本特性是在放松准入的同时,利用信息实施必要控制,该特征决定其属于新型信息规制工具,表现在新的动力来源、政府角色和规制理念三方面。行政备案具有增强信息流动的基础性功能、保证事后监管的延续性功能和推动信用建设的拓展性功能。信息有效性关涉行政备案的成功启动和顺利运行,必须围绕信息的数量和质量,构建和实施配套制度,保障行政备案规制效能。

The existing research is limited to the view of administrative behavior type theory,it is difficult to accurately explain the new characteristics of modern administrative filing.Therefore,the regulation theory should be introduced to make a new interpretation.Administrative filing has gone through three stages,and finally realized the role change from subsidiary approval measures to independent regulatory instruments,marking the transition from traditional regulation to a new type of regulatory institutional tool.The fundamental characteristic of administrative filing is to use information to implement necessary control while easing access.It is essentially a new information regulation tool,manifested in three aspects:new sources of motivation,government role and regulatory philosophy.Administrative filing has the basic function of enhancing the flow of information,ensuring the continuity of post-event supervision and promoting the expansion of credit construction.Information validity is related to the successful start and smooth operation of administrative filing.and the supporting systems must be built and implemented around the quantity and quality of information to guarantee the regulation efficacy of administrative filing.