作者：卢 超
作者介绍：中国社会科学院法学研究所副研究员，法学博士
出版日期：2021年12月9日
内容提要 当前“放管服”改革背景下，许可承诺制日益得到广泛应用。就其性质而言， 许可承诺制通过对传统许可程序的简化再造，降低了市场进入门槛与成本负担，市场申请主 体只需作出承诺，便可拟定具备资质，而将风险防控的行政任务交由信用规制等事中事后监 管工具来承担，许可承诺制与事中事后监管在这一行政过程中渐次形成“互动共演”的关 系。除了程序再造这一属性变化之外，许可承诺制的规制创新集中表现为信用承诺元素与 “助推型监管”这两个特征。需要警惕的是，许可承诺制较低的法治化要素带来了不确定风 险，其在激发市场活力、兑现行政效率原则的同时，也与其他公法原则之间产生了价值冲突， 需要妥善处理效率与安全、创新与合法性之间的关系。
关键词 许可承诺制 许可程序 规制创新 营商环境 信用规制 事中事后监管
Abstract: The licensing commitment system is widely practiced as one of the regulatory innovations to improve the business environment in contemporary China. The essence of the licensing commitment system is to reduce the entry threshold and cost of the market subject by simplifying and re-engineering the licensing procedure. An applicant is presumed to be qualified to market entry with the commitment only. The administrative task of risk control shall be borne by interim and ex-post regulation tools such as credit regulation. In this process, the licensing commitment system and the interim and ex-post supervision gradually generated into the co-evolutionary relationship. In addition to the procedures reshaping element, the regulatory innovation of the licensing commitment system is characterized by the credit commitment element and nudge-style regulation. While stimulating market vitality and improving administrative efficiency, the licensing commitment system brings legal uncertainty and public law value conflicts. Its effect highly depends on the coordination between efficiency and security, innovation and administrative legitimacy in public law.