行政许可告知承诺制风险防范制度之法治建构  

Construction of the Rule of Law of Risk Prevention System of Administrative License Notification and Commitment System

作　　者：徐晓明[1,2] Xu Xiaoming

机构地区：[1]扬州大学法学院 [2]扬州大学市域社会治理现代化研究中心

出　　处：《法学》2023年第10期46-60,共15页Law Science

基　　金：2021年国家社会科学基金一般项目《市域社会治理中设区市地方立法回应研究》(项目编号:21BFX048)的阶段性研究成果。

摘　　要：作为准入监管与后续监管职能交叉互嵌式优化整合机制,告知承诺制体现了以递延实质审查时间来换取规制改革空间的策略安排,引发了规制风险结构体系的改变,也凸显了系统建构风险防范制度的现实必要性。告知承诺制弱化了准入监管风险预防规制功能,形塑了后续监管在整个风险防范制度体系中的支柱性地位,显示出信用监管在风险防范制度体系中的核心规制价值。告知承诺制适用范围的确定需考量公共利益关联度、决策信息对称度和规制风险度等因素。在风险防范制度建构方面,需要建立信用主体资格筛查前提下的自主运行机制、建立双公开模式下的承诺兑现监管机制和差异化责任规则下的法律责任实现机制。As an optimization and integration mechanism which fit together both access supervision and follow-up supervision functions in the administrative license system,the notification and commitment system reflects the strategic arrangement of postponing the time of substantive examination in exchange for the space of regulatory reform.It leads to changes in the regulatory risk structure,and its full implementation highlights the necessity of systematically constructing a risk prevention mechanism.Guaranteed by credit commitment,the license access procedure is extremely simplified and reformed.Therefore,the notification and commitment system reduces the risk prevention and regulation function in access supervision,shapes the pillar position of follow-up supervision in the entire risk prevention system,and stresses the core value of credit supervision in the risk prevention system.Factors such as public interest correlation,decision information symmetry and risk degrees of regulation should be taken into consideration in determining the application scope of the notification and commitment system.In the construction of risk prevention mechanism,it is necessary to establish an autonomous operation mechanism under the premise of conducting qualification screening for credit entities,build a commitment fulfillment supervision mechanism under the “dual disclosure” mode,and set up a legal responsibility realization mechanism under the differentiated responsibility rules.

关 键 词：行政许可 告知承诺 风险防范 

分 类 号：D922.11[政治法律—宪法学与行政法学]