行政备案适用范围的法律规制

The Legal Regulation of the Scope of Application of Administrative Filling

备案管理法治化对备案管理措施适用范围规制提出了现实追问。目前,备案管理措施运行实践存在类型设定庞杂化、设定依据宽泛化与规制功能异质化等泛化困境。备案管理措施适用范围规制失范可能会引发三个方面的风险:一是因准入门槛不当降低所诱发的市场规制失灵风险;二是因被动监管所引发的监管懈怠缺位风险;三是因柔性监管所引发的监管权威侵蚀风险。基于备案管理措施的内在属性并根据必要适当性原则要求,应当在充分平衡备案管理措施类型因素与外部效应的前提下,从主体要素、公共资源要素配置、风险要素控制和信息要素四个层面对行政备案管理措施适用范围作出限制性规制。

The filing management legalization puts forward realistic questions to the regulation of filing management application scope.At present,there are some problems in the practice of filing management measures,such as the complicate and hugeness of the type setting,the wide generalization of the setting basis of type setting and the heterogeneity of regulation function.The regulation of the applicable scope of filing management measures needs to prevent risks from three aspects:one is to prevent the risk of market regulation failure caused by the reduction of access threshold;the second is to prevent the risk of lack of supervision caused by passive supervision;the third is to prevent the risk of erosion of regulatory authority caused by flexible supervision.Based on the intrinsic properties of archival filing management measures and the requirements of the principle of necessity and appropriateness,we should make restrictive regulations on the scope of application of archival filing management measures from four aspects,such as subject element,public resource allocation,risk element control and information element,on the premise of fully balancing the sample factors and external effects of archival filing management measures.