河南师范大学学报(哲学社会科学版)

作为行政程序和行政诉讼中的证据规则，案卷排他性原则是当事人听证权的保障，也为法院进行司法审查提供保障和限定。目前，由于我国尚未形成统一的行政程序法规范，案卷排他性原则在行政处理程序中存在适用范围不清、配套规则不完备等问题。在既有的行政诉讼证据规则体系中，案卷排他性原则对行政机关的约束力不明，与实质法治主义、法院职权主义之间存在张力。案卷排他性原则滥觞于美国，由于美国强调行政正当程序以及司法审查的复审性质，行政机关除官方认知外只能根据行政案卷作出行政裁决，案卷排他性原则在司法审查中对行政机关、行政相对人和法院具有较强的约束力。以此为借镜，案卷排他性原则适用于经过听证和听取当事人陈述申辩的行政处理程序，应完善行政执法案卷、卷宗阅览、禁止单方接触、再次听取意见、官方认知等配套规则。案卷排他性原则适用于复审性行政诉讼中涉及行政决定合法性的问题，应严格限定行政机关援引案卷外证据的情形，明确其约束行政相对人的理据和条件，明确法院依职权调取证据的限度。

As an evidence rule in administrative procedures and administrative litigation,the exclusive record principle is a safeguard mechanism for the parties' right to be heard,and also provides guarantees and limitations for the court to conduct judicial review.At present,due to China has not yet formulated a unified administrative procedure law,the exclusive record principle has problems such as unclear scope of application and incomplete supporting rules in administrative procedures.In the existing system of administrative litigation evidence rules,the exclusive record principle has unclear binding force on administrative agencies,and there is tension between it and substantive rule of law and doctrine of exploration of authority.The exclusive record principle originated in the United States.Due to the emphasis on administrative due process and the review nature of judicial review,administrative agencies can only make administrative decisions based on records,except for official notice.The principle of exclusiveness of records has strong binding force on administrative agencies,administrative counterparties and courts in judicial review.Taking this as a reference,the exclusive record principle applies to administrative procedures that involve hearing and listening to the parties' s statements and pleadings.Supporting rules such as administrative records,records reading,prohibitions on ex parte communication,the right to be heard again,and official notice should be improved.The principle of exclusiveness of records applies to issues related to the legality of administrative decision in administrative litigation with review nature.It should strictly limit the circumstances in which administrative agencies cite evidence outside the records,clarify the reasons and conditions that the principle constrains administrative counterparties,and clarify the limits of the court's authority to collect evidence.