数字化行政中书面形式的困境与出路——兼论数字行政程序的法定化  

Research on the Dilemmas and Solutions of Written Forms in Digital Administration:On the Legalization of Digital Administrative Procedures

作　　者：张涛 Zhang Tao

机构地区：[1]清华大学法学院

出　　处：《比较法研究》2023年第1期171-186,共16页Journal of Comparative Law

基　　金：2019年国家社科基金重大项目“大数据、人工智能背景下的公安法治建设研究”(项目编号:19ZDA165);中国博士后科学基金第72批面上资助项目(项目编号:2022M721784)的阶段性研究成果。

摘　　要：行政法律规范中存在大量关于书面形式要求的规定。传统的书面形式通常是以纸质媒介作为载体,以易于阅读的形式体现意思表示,其具有警告、识别、验证、终结、延续等功能。在数字化行政中,基于行政程序的非形式性原则,数据电文形式作为一种替代书面形式,广泛应用于行政活动中,但却与传统的书面形式要求存在冲突。为了纾解存在的张力,行政程序应当以功能等效原则为指引,设计数据电文形式作为替代书面形式的搭桥规则。然而,在数字化行政中,行政机关使用替代书面形式也并非没有限度,一方面,需要坚持自愿原则,避免“仅有数字”问题;另一方面,需要坚持数字平等,消除“数字鸿沟”问题。在行政程序法典的立法设计中,应当规定替代书面形式的原则、条件、形式及例外等内容,以此为“切口”对数字行政程序进行体系性回应,进而推进数字法治政府建设。Provisions abounds concerning the requirement of written forms in administrative laws.The conventionally written forms,usually with a piece of paper as a medium,state the intent in an easyto-read form,and fulfill the functions of warning,identification,verification,termination,continuation,etc.Such written forms are being widely replaced by the electronic forms in the digitalization of administration,based on the principle of non-formality of administrative procedures,which has created a conflict with the requirement of written form by administrative law.In order to relieve such tension,the administrative procedures should follow the principle of functional equivalence and design bridging rules to replace the paper-based written forms with the electronic forms.But in the digitalization of the administration,the replacement of paper-based written forms shall be made with constraints.On one hand,the"digital only"problem shall be avoided in order to adhere to the principle of voluntariness;on the other hand,the problem of the"digital divide"shall be eliminated to uphold digital equality.In the legislative design of the Administrative Procedure Code,it is necessary to make a systematic replacement of the paper-based written forms by stipulating the principles,conditions,forms and exceptions for the electronic alternatives in order to promote the rule of law in the digitalization of state administration.

关 键 词：行政程序 书面形式 电子形式 功能等效原则 数字化行政 数字政府 

分 类 号：D912.1[政治法律—宪法学与行政法学] D035[政治法律—法学]