事中事后监管工具结构创新:五年实践的回顾与展望

Structural Innovation of In-process and After-the-fact Supervision Tools:Review and Prospect of Five-year Practice

在过去五年(2013-2018)中,为了推动政府监管从传统“有限准入+处罚”模式升级为更加注重事中事后监管的全过程监管模式,各级政府按照行为监管、线面式监管、平台型监管以及公私混合监管等方向推进监管机制创新。基于监管体系要素和监管创新主体模型两个维度构建复合框架,可以从工具结构层面对事中事后政府监管机制创新进行系统梳理和展望。目前,我国政府已逐步确立同行为-结果监管相适应的事中事后监管工具结构或机制体系,但在行为导向机制、元规制以及新事物监管等方面存在薄弱点。未来可以从绩效导向型监管、基于过程的监管以及“监管沙箱”计划等方面进一步推进事中事后监管机制创新。

The past five years(2013-2018)have witnessed governments at all levels promoting the innovation of regulation mechanism in the direction of behavior regulation,linear-type regulation,platform-based regulation and public-private mixed regulation,with an attempt to make a shift from the traditional model of“limited access+penalty”to the in-process and afterwards regulation,a comprehensive process.This research,based on two key dimensions including the elements of regulatory system and the subject model of regulatory innovation,constructs a composite analytical framework,which can systematically sort out the innovation of in-process and afterwards regulatory mechanism from the perspective of tool structure.The research tells:Chinese government has gradually built up a complete tool structure or mechanism system of in-process and afterwards regulation adaptable to behavior-outcome supervision;But there can be found some weaknesses in constructing behavior-orienting mechanism,meta-regulation and regulation of new phenomena;The innovation of mechanism of in-process and afterwards regulation should be strengthened from the aspects of regulation performance-based and process-based,as well as the“Regulatory Sandbox”plan.