基于风险的政府监管:理论发展与实践应用  

Risk-based Regulation:Theoretical Development and Practical Application

作　　者：刘鹏[1] 张嵛楠 王力 Liu Peng;Zhang Yunan;Wang Li(School of Public Administration and Policy,Renmin University of China,Beijing 100872;Zhou Enlai School of Government,Nankai University,Tianjin 300350)

机构地区：[1]中国人民大学公共管理学院,北京100872 [2]南开大学周恩来政府管理学院,天津300350

出　　处：《中国行政管理》2024年第3期111-124,共14页Chinese Public Administration

基　　金：中国人民大学科学研究基金项目/中央高校基本科研业务费专项资金资助(编号:19XNQ036)。

摘　　要：有效应对各类风险的挑战,是中国式现代化面临的一个日益重要的治理议题。本文聚焦于研究西方险基监管理论的发展脉络及其启示,通过对相关文献的系统分析来总结其理论和实践特征,探讨了回应性的险基监管、面向低风险的“良好监管干预设计”矩阵以及以风险披露助推理论,厘清了险基监管的发展脉络。在理论的基础上,关注欧洲主要国家险基监管实践的多维度差异,并归纳出治理传统、组织结构、行业影响与问责设置等解释性因素。结合险基监管理论与实践的启示,提出面向中国式现代化的险基监管在风险评估时要综合考量经济、社会、政治和文化多方面的风险,在具体落实时要充分体现险基监管的适应性和灵活性。Tackling a spectrum of risk challenges has become an increasingly pivotal governance issue facing Chinese path to modernization.Through a review of representative literature of risk-based regulation,this article comprehensively and systematically summarizes the development and practical application of riskbased regulatory governance theory.Firstly,the article posits that the essence of risk-based regulatory theory lies in the rationalization of regulation,which is specifically manifested in the application of risk assessment,especially in the pre-determination of risk control baselines and the principle of proportional allocation of resources.Secondly,this article further outlines the development of really responsive riskbased regulation,the matrix of‘ good regulatory intervention design' aimed at lowing risks and nudging through risk disclosure,clarifying the evolution of risk-based regulation.This article also pays attention to the adoption paths of risk-based regulation in major European countries,which offers explanations for the differentiated choices made by various countries through the aspect of multiple levels,including governance traditions,organizational structures,industrial impacts,and accountability settings.Finally,drawing insights from the theory and practice of risk-based regulation,this article explores risk-based regulation in the context of the modernization of China's governance.

关 键 词：风险社会 险基监管 风险监管 政府监管 

分 类 号：D035[政治法律—政治学]