信息化监管中的监管角色与职能:一个系统文献综述

Regulatory roles and functions in information-based regulation:a systematic review

当监管机构使用信息来推动行为变化以实现公共政策目标时,就会出现信息化监管。与当代监管型国家中较传统的直接命令控制和基于市场的政策工具相比,信息化监管已成为监管公司的另一种方法。尽管国际社会越来越关注,但是在理解监管机构在信息化监管中的角色、监管机构在塑造和利用信息流方面的职能以及履行这些职能所需的行政管理能力方面,仍然存在挑战。在系统综述方法的基础上,本文综合了环境、能源和食品政策领域中130篇同行评审文章的研究结果。本研究提出了监管机构职能的不同类型,并概述了当代监管型国家所需要的新的行政管理能力,特别是在标准制定、保证信息安全和中介以及智能数据管理方面。

Information-based regulation occurs when regulators use information to drive changes in behaviours in order to achieve public policy objectives.Information-based regulation has emerged as an alternative way to regulate firms compared with more traditional direct command-and-control and market-based policy instruments within the contemporary regulatory state.Despite growing international interest,challenges remain in understanding the roles for regulators in information-based regulation,the functions of regulators in shaping and leveraging information flows,and the administrative capacities required to fulfil them.Based on a systematic review methodology,this article synthesises the findings of 130 peer-reviewed articles in the environmental,energy and food policy areas.It develops a typology of functions for regulators and outlines the new administrative capacities required in the contemporary regulatory state,particularly in standard setting,assurance and intermediation,and smart data management.