“中国式”市场监管:逻辑起点、理论观点和研究重点
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摘要
发达国家监管体系构建在相对成熟的市场和社会基础上,监管是市场机制的补充。与此不同,中国经历了从计划经济向市场监管的反向制度演进,因此塑造了行政吸纳市场、剩余监管权和非自主性社会共治的独特格局。以此为逻辑起点,分析"中国式"市场监管的内在机理,并形成若干基本理论观点。监管能力约束下的"政府背书式"审批导致产业基础系统性薄弱,过度管控的事中事后监管扭曲了正常市场竞争,监管事权下沉和运动整治未能构建起风险化解的长效机制。针对上述挑战,本土化市场监管研究应致力于从宏观、中观、微观三个层次回应亟待研究的重点领域和主题,具体包括科学监管和监管现代化、监管体系基本架构、监管机构和市场主体行为等。
The essence of regulation is a complement to market failure, and western style regulatory state usually starts with free market and civil society. The institutional transition of regulation in China experiences a quite opposite direction from a planned economy to a regulated market, shaping a unique structure among various elements,including administrative absorption market,residual regulation and non-autonomous social governance. Based on this starting point, the issues about Chinese style regulation mechanism are argued. First, a weak industry turns out due to the government endorsement certification under regulatory capacity constraint. Second, overregulation distorts competition and amplifies potential risk in the marketplace. Finally, residual regulation and campaign style administration lead to a poor regulatory performance. Three levels of research projects are advocated in order to cope with these challenges, including scientific regulation and regulatory modernization,structure of regulatory system, as well as regulatory institution and policy.
The essence of regulation is a complement to market failure, and western style regulatory state usually starts with free market and civil society. The institutional transition of regulation in China experiences a quite opposite direction from a planned economy to a regulated market, shaping a unique structure among various elements,including administrative absorption market,residual regulation and non-autonomous social governance. Based on this starting point, the issues about Chinese style regulation mechanism are argued. First, a weak industry turns out due to the government endorsement certification under regulatory capacity constraint. Second, overregulation distorts competition and amplifies potential risk in the marketplace. Finally, residual regulation and campaign style administration lead to a poor regulatory performance. Three levels of research projects are advocated in order to cope with these challenges, including scientific regulation and regulatory modernization,structure of regulatory system, as well as regulatory institution and policy.
引文
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[2]邹谠.二十世纪中国政治[M].香港:牛津大学出版社,1994.69.
[3]余晖.政府管制改革的方向[J].战略与管理,2002(5).
[4]中华人民共和国商业部.关于迅速加强和改善各级百货公司批发、零售工作的指示[Z].山西政报,1956(6).
[5]纪正昆.中华人民共和国工业产品许可证管理条例实用问答[M].北京:中国计量出版社,2005.13.
[6]温家宝.牢固树立、全面理解和认真落实提高执政能力和领导水平——在省部级主要领导干部“树立和落实科学发展观”专题研究班结业式上的讲话[N].人民日报,2004-3-1.
[7]王勇.关于国务院机构改革方案的说明——2018年3月13日在第十三届全国人民代表大会第一次会议上[EB/OL].中央人民政府门户网站,http://www.gov.cn/guowuyuan/2018-03/14/content_5273856.htm 2018-03-14.
[8]Majone,Giandomenico.The Rise of the Regulatory State in Europe.West European Politics,1994(17):77.
[9]Shleifer,Andrei.et al.The New Comparative Economics.Journal of Comparative Economics,2003(31).599.
[10]李玉梅.今后一段时期抓好食品安全工作的着力点——专访国务院食品安全委员会办公室主任张勇[N].学习时报,2011-06-20.
[11]新华社.习近平对食品安全工作作出重要指示[EB/OL].新华网,http://www.xinhuanet.com//politics/2016-01/28/c_1117928490.htm,2016-01-28.
[12]李克强.在全国深化简政放权放管结合优化服务改革电视电话会议上的讲话[EB/OL].新华网,http://www.xinhuanet.com/2017-06/29/c_1121236906.htm 2017-06-29.
[13]刘亚平.中国式“监管国家”的问题与反思:以食品安全为例[J].政治学研究,2011(2).
[14]周建军.积极应对全球范围的产业集中和资本垄断[J].学习与探索,2017(1).
[15]Dowdle,Michael.Beyond the Regulatory State:China and“Rule of Law”in a Post-Fordist World.The Governance and Globalization Working Paper Series,2010.
[16]Olson,Mary.Substitution in Regulatory Agencies:FDA Enforcement Alternatives.Journal of Law,Economics,and Organization,1996(2):376.
[17]曹正汉,周杰.社会风险与地方分权:中国食品安全监管实行地方分级管理的原因[J].社会学研究,2013(1).
[18]楼继伟.推进各级政府事权规范化法律化[N].人民日报,2014-12-01.
[19]中国行政管理学会课题组.平衡监管和市场:疫苗安全的挑战和对策[J].中国行政管理,2018(10).
[20]胡颖廉.剩余监管权的逻辑和困境——基于食品安全监管体制的分析[J].江海学刊,2018(2).
[21]Mertha,Andrew.China’s“Soft”Centralization:Shifting Tiao/Kuai Authority Relations since 1998.The China Quarterly,2005(184):791.
[22]倪星,王锐.从邀功到避责:基层政府官员行为变化研究[J].政治学研究,2017(2).
[23]Hamburg,Margaret.Innovation,Regulation,and the FDA.N Engl J Med,2010(363):2228-2232.
[24]杨悦.监管科学的起源[J].中国食品药品监管,2019(4):14.
[25]邵明立.树立和实践科学监管理念[J].管理世界,2006(11).
[26]齐明山.创新监管体制,促进科学监管[J].中国工商管理研究,2006(4).
[27]吴定富.坚持科学监管,防范化解风险促进保险业稳健发展[J].保险研究,2011(2).
[28]刘明康.科学监管创新监管推进中国银行业改革开放——谈构建中国特色银行业监管模式[J].紫光阁,2011(8).
[29]赵文君.“让人民群众买得放心、用得放心、吃得放心”——专访国家市场监督管理总局局长张茅[EB/OL].中央人民政府门户网站,http://www.gov.cn/xinwen/2018-04/10/content_5281388.htm 2018-04-10.
[30]胡颖廉.用大监管护航大市场[N].人民日报,2018-05-25.
[31]陈振明,薛澜.中国公共管理理论研究的重点领域和主题[J].中国社会科学,2007(3).