监管的企业嵌入式创新机制——基于自贸试验区双案例演化分析

A research on the enterprise-embedded innovation mechanism of supervision:An evolutionary analysis of two cases based on free trade pilot zones in China

传统创新领域的研究中企业、政府和制度环境相对独立。然而,随着中国政府"放、管、服"和基层服务化改革的持续推进,企业能够以社会网络关系为载体,依托与政府和业务关联企业的强联系和弱联系实现网络性互动,从而改善制度环境,实现创新绩效。在复杂制度环境下打破企业与政府的角色锁定成了创新的关键问题。本文通过对自贸试验区海关通关改革案例的演化分析,研究了监管的企业嵌入过程,研究发现:(1)企业可以通过专业性和业务契合嵌入到监管规则的制定和监管的实施过程;(2)监管的企业嵌入式创新机制能够在专业性和治理成本等方面有效提升监管的创新效率;(3)相对监管的智能化创新,监管的企业嵌入式创新更符合企业发展的实际需要。研究为监管的企业嵌入式创新机制提供了前沿范本,对于中国情景下合作治理的理论与实践创新具有启示意义。

As the Chinese government keep implementing the reform of"release power,management and service"strategy and grass-roots servicization policy,cooperative governance has become an important innovative orientation of the construction of modern governance system.Enterprises can take social network relationships as the carrier,while relying on strong and weak links with the government and business-related enterprises to achieve network interactions,so as to improve the institutional environment and achieve innovation performance.But due to the western value orientation of"role locking"in social network relationships,there are very few researches on the enterprise-embedded governance system reform which is represented by"regulating co-governance"and enterprises′breakthrough of regulatory system constraints through special capacity building and multi-dimensional innovation of their own business and external supervision under complex institutional environment.That is to say,from the perspective of practice orientation,the micro-governance reform of the modern governance system of China pilot free trade zone has gone ahead of theoretical research in order to meet the actual needs of the government′s regulatory reform oriented by the demand of market subjects.We urgently need to study how to realize the innovation of enterprise"embedded"decision-making mechanism from enterprise appeal expression to supervision.As for the research methods,this paper adopts dual-case analysis and studies the case evolutionary process and theoretical development of the customs clearance mode of global quality traceability system initiated by Guangdong Nansha customs and the enterprise-embedded innovation mechanism of supervision improved by Dalian customs.At the same time,the case description,case analysis and case applicability discussion are presented systematically by using normative qualitative research method.Firstly,the paper presents the global quality traceability system supervision and customs clearance mode advocated by Chinese pilot free trade zone,Guangzhou Nansha new district,and studies the construction path of open governance environment based on the sharing of regulatory rules.The global quality traceability system has been copied and promoted in Guangdong ports,which provides a cutting-edge model for promoting the construction of China′s quality traceability system,and has won a positive response from international interests.Based on the mechanism analysis,the problems of global quality traceability system are analyzed theoretically.Intellectualization,on the contrary,aggravates the absence of supervision subjects in the original supervision system.The mass data processing involves several different specialties,which calls for a good level of expertise in supervision.To put it in other words,the comprehensive characteristics of daily data as well as the professional call and continuous optimization of industry supervision have become urgent issues under the absence of supervision subject.In the case of the prominent problem of intelligent decision-making structure,regulators must give priority to the problem of the absence of the main body of open cooperative governance under the sharing of regulatory rules.Secondly,the paper presents the case of enterprise-embedded innovative pattern of customs supervision constructed by Dalian Administration of Customs and studies the innovation mechanism of multi-subject participation.It significantly reduces the operating cost of the enterprise and optimizes the insufficient participation of multiple subjects in the cases of the traceability system of specialization and supervision.On the basis of mechanism analysis,the validity and applicability of enterprise-embedded innovative mechanism of customs supervision are analyzed theoretically.Then it puts forward the construction path and emphasis of the multi-subject participation mechanism of co-supervision.In conclusion,the embedding of the supervision subjects′expertise can optimize the subject absence problem of cooperative governance,which helps achieve the incentive compatibility of innovation performance among top regulatory subjects,intermediate regulatory participants and the market subjects being regulated.Thirdly,the paper analyzes the effectiveness of the enterprise embedded innovation mechanism proposed in this paper,and at the same time elaborates the theoretical effectiveness,reform direction effectiveness and operation operator effectiveness respectively.Generally speaking,the embedded innovation mechanism of regulated enterprises achieves the vertical and deep embedding of the governance chain based on the combination of professionalism and business,surpasses the single way of"voting with the feet"of traditional public economics,and realizes the relevance and effectiveness from cooperative governance to cooperative innovation.The"embedded"innovation mechanism of supervised enterprises conforms to the reform orientation of the modernization of China′s national governance system and governance capacity.Although there is still room for deepening and improving the case results,the reform in the deep-water area and the latest reform practice can provide a new reference for the modernization reform of grassroots governance.On the whole,professional embedding can optimize the subject vacancy problem of cooperative governance,so as to achieve the compatibility of innovation performance incentive between top regulatory subject,intermediate regulatory participant and regulated enterprise.Last but not least,this study extracts the operating mechanism of enterprise-embedded innovative pattern of supervision and points out that the key of cooperative governance system is to give full play to the advantages of efficient,pluralistic,timely and effective feedback and professionalism of cooperative governance.As we all know,although government regulation,third-party coordination,public supervision and corporate standardization all have their inherent positions,it is not necessary to define the roles of government and enterprises as opposites.At the same time,the leading concept of the administrative system reform of Chinese government,"release,manage and serve",includes the idea of integration and harmony.It comes from practice and serves the development needs of market subjects.In principle,the enterprise-embedded innovative pattern is itself an effective mobilization of external resources of the government.Hence,in the process of mobilizing the participation of multiple subjects,we should focus on solving the problems of the longitudinal and profound embedding of the governance system and the incentive compatibility of multiple subjects.As far as I am concerned,the enterprises are the most creative production factor.Through capacity building,them can not only improve the institutional environment,but also realize bad speculation on new rules.As a result,in the stage of intellectualization exploration,the core of enterprise-embedded innovative pattern of supervision is the interactive process among the market subject,the supervision subject and the system environment.In sum,this study helps to strengthen the re-understanding of cooperative governance theory in the Chinese context and provides a frontier model for the enterprise-embedded innovative pattern of supervision.