怎样合理配置有限的政府监管资源——基于风险的监管模式的兴起及其潜在运行风险  

How to Allocate Government Regulation Resources Reasonably: the Rise of Risk-based Regulation Model and Its Risks

作　　者：孙志建[1] Sun Zhijian

机构地区：[1]上海行政学院公共管理教研部,上海200233

出　　处：《上海行政学院学报》2022年第2期32-44,共13页The Journal of Shanghai Administration Institute

基　　金：国家社会科学基金项目“中国特色行政学研究方式和学术体系建构研究”(19BZZ059)的研究成果。

摘　　要：合理配置有限的监管资源乃现代监管型政府的基础能力。基于风险的监管模式主张以风险为尺度实行数据驱动、精准聚焦以及灵活权变的差异化监管资源配置,从而缓解监管业务无限与监管资源有限之间日渐突出的结构性矛盾。基于风险的监管的兴起同竞争性监管空间的形成、非-零失败政策的确立、基于风险的文化发展以及市场监管数字化转型等因素息息相关。基于风险的监管的有效运行涉及“科学界定监管目标→设定风险包容度→风险识别和确认→风险评级→基于风险的监管响应”五个基本环节。此外,其有效运行需要处理好制度性风险与社会风险、监管科学与监管政治、理性计算与经验法则以及重点监管与无缝监管等辩证关系。基于系统的文献考察,有助于从理论层面为中国特色基于风险的监管之机制设计和能力准备夯实基础。Allocate limited government regulation resources reasonably is one of the basic capabilities of modern regulatory government. The risk-based supervision model advocates the implementation of data-driven, precise focus, and flexible contingent differentiated regulatory resource allocation based on risk, so as to alleviate the increasingly prominent structural contradiction between unlimited regulatory business and limited regulatory resources.The rise of risk-based regulation is influenced by competitive regulatory space, non-zero risk policy, risk-based culture and digital transformation of market regulation. The effective operation of risk-based regulation involves five basic links, i.e. “examining regulation objectives → setting risk tolerance → risk identification and confirmation → risk rating → risk-based regulation response”, and needs to deal with the basic relationships between institutional risk and social risk, regulation science and regulation politics, rational calculation and rule of thumb, and key regulation and seamless regulation. Through the theoretical study of risk-based regulation, it is helpful to provide a knowledge base for the development of China’s classified regulation from the perspective of balanced operation mechanism design and basic capacity preparation.

关 键 词：分级分类监管 基于风险的监管 监管资源分配 循证型决策 监管理论 

分 类 号：D630[政治法律—政治学]