监管沙盒:数据要素治理新方案

Regulatory Sandbox:a New Approach to Data Element Governance

如何形成包容审慎的监管环境是当前数据要素治理的关键问题。文章采用实证研究和比较研究的方法,提出科层式监管的刚性化管控会导致缺少容错纠错的制度空间,监管部门的科层划分也使组织内部存在信息流通问题,无法适应包容审慎的监管要求。数据监管沙盒体现了包容审慎的监管理念,具有主体多元、公开透明、规则豁免等制度特征。数据监管沙盒中的协同监管能增加制度弹性,扁平化的组织结构能促进信息流通,最终实现对科层式监管困境的消解。文章从实施主体、申请资格、监管行为和监管方式等方面提出构建我国数据监管沙盒的对策,建议由“国家数据局+行业主管部门”作为实施主体,将创新性作为申请资格的核心评价标准,监管行为应注重释放数据要素价值,并通过企业、行业组织及平台的协同治理实现监管目的。

How to form an inclusive and prudent regulatory environment is a key issue in the current data element governance.Using empirical and comparative research methods,this paper proposes that the rigid control of bureaucratic supervision leads to a lack of institutional space for fault tolerance and error correction,and the hierarchical division of regulatory departments also causes the information flow problems within organizations,making it impossible to adapt to the requirements of inclusive and prudent regulation.The data regulatory sandbox embodies the regulatory concept of inclusiveness and prudence,with institutional features such as multiple subjects,openness and transparency,and exemptions from rules.Collaborative supervision in the data regulatory sandbox can enhance the institutional flexibility,and the flat organizational structure can facilitate the flow of information,and ultimately solving the dilemma of hierarchical regulation.The paper puts forward countermeasures to build China's data regulatory sandbox in terms of implementation subject,application qualification,supervision behavior and regulation mode,and suggests that"national data bureau+industry authorities"should be the implementation subject,innovation should be the core evaluation criterion of application qualification,and the regulation behavior should focus on releasing the value of data elements.Through the joint governance of enterprises,industry organizations and platforms,the purpose of regulation could be achieved.