监管型国家背景下独立监管机构的发展与启示——基于美国、德国、巴西三国监管机构的观察

A Comparative Study of Independent Regulatory Agencies: Evidences from the United States, Germany and Brazil

以专业、独立著称的独立监管机构是监管型国家的重要制度基础,可为我国监管体制改革提供经验借鉴,但国内学术界对于这一监管模式还缺乏深入、全面的分析。结合独立监管机构的源起和全球扩散,采用比较公共行政的方法,对美国、德国、巴西三个代表性国家独立监管机构的模式、特征进行分析,研究得出,美国、德国、巴西的独立监管机构分别代表了委员会模式、内设模式和标准化模式。它们在人事自主性、财务独立性、决策独立性等方面既有共通之处,也有明显差异;差异产生的原因包括创设目的和背景、利益相关者博弈、制度传统与禀赋、政策学习与示范等。基于对各国独立监管机构的设置及影响因素的分析,对我国的监管改革提出若干建议。

Independent regulatory agencies(IRAs)have become an important institutional foundation of the regula-tory state since the 1980s.However,existing literature cannot provide a comprehensive explanatory framework to inter-pret the characteristics of this regulatory model.In view of this,this paper makes a comparative analysis of the IRAs from three typical countries,namely,the United States,Germany,and Brazil.It finds that the IRAs in the United States,Germany,and Brazil represent the Committee model,the built-in model,and the standardization model respec-tively.There are both similarities and differences in the source of authorization,personnel independence,financial inde-pendence,and decision-making independence.The establishment background,stakeholder game,system tradition,poli-cy learning,and the pressure from international organizations are the main reasons for the differences of IRAs in different countries.Finally,this paper puts forward some suggestions on the ongoing regulatory reform in China.