共同代理关系与监管治理失灵——基于企业委托型第三方检测的实证研究  

Common Agency and the Failure in Regulatory Governance:An Empirical Study on the Third-party Testing Services Entrusted by Enterprise

作　　者：张伊静 刘鹏[1] Yijing Zhang;Peng Liu

机构地区：[1]中国人民大学公共管理学院

出　　处：《公共行政评论》2022年第1期69-88,198,共21页Journal of Public Administration

基　　金：国家社会科学重大基金项目“中国特色政府监管理论体系与应用研究”(18ZDA112)。

摘　　要：近年来,第三方机构成为社会性监管领域的重要监管治理主体,但中国的第三方机构违规出具虚假报告、进行应付式检查等状况时有发生,难以保障监管的有效性。对此,有必要以第三方检测为例,基于共同代理理论,分析第三方监管治理失灵的原因。在讨论了企业委托检测过程中社会公众、生产企业和检测机构间的共同代理关系后,论文结合调研资料,从“委托方间的异质性”和“代理方需求及其处境”两大方面对第三方监管治理失灵的原因进行实证分析。研究发现,社会公众和生产企业在检测过程中的需求偏好和对检测机构的强势程度方面有明显差异,而面对异质性的委托方,检测机构可能会受营利性身份、行业内恶性竞争状况、造假的成本收益状况、声誉机制的运行情况等因素的影响,做出不利于公共利益的行为选择,导致监管治理的失灵。最后,基于研究结论提出加强外部审查监管、调整付费模式、进行价格管控、畅通投诉渠道、规范业务受理行为、推进信息公开等政策建议。The third-party agency has become an important subject in the process of social supervision in recent years.However,the regulation of third-party institutions is not always effective.Intermediaries making false reports,testing beyond qualification,or using low-quality materials continue to be problems.Based on the common agency theory,this paper analyzes the factors contributing to third party failures in China's regulatory process.Our empirical analysis focuses on the causes of failure from the aspects of“the heterogeneity between principals”and“the demand and situation of agents”.In terms of the demand and the degree of influence on testing institutions,there are obvious differences between public and production enterprises.Faced with heterogeneous principals,testing institutions in China may be affected by factors such as their profit-making identity,competition in the industry,the cost-benefit of fraud,the operation of their trust and reputation mechanisms,and their willingness to act against the public interest.We suggest several policy changes,including strengthening external review and supervision,adjusting payment modes,implementing price controls,unblocking complaint channels,standardizing business acceptance behaviors,and requiring information disclosure.

关 键 词：第三方机构 社会性监管 监管失灵 检测机构 共同代理 

分 类 号：D63[政治法律—政治学]