行业自律的定位、动因、模式和局限

Industry Self-regulation:Its Functions,Motivations,Types and Constrains

行业自律既是行业内交易规则的自我制定过程,也是一种与政府监管相并列的市场治理手段。学术界对行业自律动因的解释可以概括为六种观点,即"成本收益说"、"风险规避说"、"保护公地说"、"制度驱动说"、"市场失灵说"和"创新驱动说"。目前中国行业组织的自律类型,从行业自律与政府规制的关系角度看,属于条件型自律;从政府干预程度的角度看,属于批准型甚至强制型自律;从政府与行业组织在自律体系中的作用看,属于强制性自律中的合作式自律;从自律体制运行有效性的角度看,自愿协商自律和竞争性自律同时存在。中国行业自律的优势主要表现在:有利于政府职能转变,减轻政府负担,降低规制成本,专业性和针对性,更高的行业标准,减轻了信息不对称;其局限主要表现在:缺乏法律保障,权利和权力不足,缺乏监督,中介地位的模糊性,规制不足,以及行业组织自身的反竞争性。

Industry self- regulation is both a self- making process, but al~ market governance means. Aeademic inter-pretation for the motivation of industry self- regulation can be summarized as six views, including ＂cost- benefit calculation,＂ ＂risk aversion＂, ＂protection of the commons＂, ＂system driven＂, ＂market failure,＂ and ＂innovation - driven＂. The type of industry self-regulation in China is conditional, enforced, cooperative with government, and competitive. The advantages of industry self- regulation in China are mainly promoting the transformation of government functions, reducing government burden, reducing the cost of regulation, more professional and focused, higher industry standards, thereby redueing the information asymmetry. Its limitations include lack of legal protection, rights and powers, lack of supervision, the ambiguity of intermediate status, lack of regulation, and the anti- competitive behaviors of the industry organization.