不确定性下新兴产业监管的组织学习——以中国电商平台监管为例  

The Organizational Learning Process of Regulating Emerging Industries under Uncertainty:A Case Study of China's E-Commerce Platform Regulation

作　　者：蔡泽洲 薛澜[1] Cai Zezhou;Xue Lan(School of Public Policy&Management,Tsinghua University)

机构地区：[1]清华大学公共管理学院

出　　处：《管理世界》2024年第12期147-169,共23页Journal of Management World

摘　　要：在新一轮科技革命和产业变革中,如何对技术路径和商业模式具有高度不确定性的新兴产业进行有效监管是全世界监管者面临的难题。过去十多年,中国消费互联网蓬勃发展,走在国际前列,也带动了中国新兴产业监管的进步与发展,但由于信息收集的困难,鲜有研究去反映这一实际过程,尤其缺乏对中国监管机构的实证研究。本文基于田野调查和系列深度访谈获取的大量一手数据,结合历史资料,为认识中国监管机构和监管体系提供了实证基础。本文选取中国电子商务平台监管实践为背景,以主要监管机构为研究对象,运用组织学习理论,分析了监管机构对新兴产业作出监管回应的动态演进过程。研究发现,对新兴产业的监管本质上是在不确定性下监管机构通过组织学习作出监管回应的过程。伴随产业发展和监管机构组织学习的过程,监管机构感知到的主导不确定性类型发生变化,面对产业实质、行动策略和政策环境不确定性,监管机构对应采取整合性、互动性和制度性等主要组织学习模式加以应对,形成差异化的监管回应。在中国监管体系中,除新兴产业本身的不确定性外,被监管企业、横向和纵向的地方政府和职能部门、宏观决策层等方面的不确定性,都会对监管机构的组织学习产生影响。为进一步提高政府监管效能,一方面监管机构要持续加强组织学习,另一方面在整体监管思路上要妥善处理监管与发展的关系。In the new round of technological revolution and industrial transformation,many emerging industries have demonstrated a high degree of uncertainty in technology paths and business models.How to regulate these industries effectively has brought challenges to regulators around the world.The vigorous development of China's consumer Internet economy in the past decade has led to the progress and development of China's regulation on emerging industries.However,due to the difficulty of information gathering,empirical studies on the actual process of China's emerging industry regulation in response to the technological revolution and industrial transformation are rare,especially those on China's regulators.This paper provides an empirical analysis for our understanding of the change of China's regulators and regulatory system,based on a lot of first-hand data obtained through fieldwork and a series of in-depth interviews,combined with his⁃torical data.This study selects the practice of China's e-commerce regulation as the research case and the main regulatory government agency as the research object,to examine the evolution of regulatory responses of e-commerce platform economy,using the theoretical per⁃spective of organizational learning.The research findings are as follows.First,the regulation of emerging industries is essentially an organi⁃zational learning process by the regulatory agency under uncertainty.Second,with the development of emerging industries and the learning process by the regulatory agency,the main type of uncertainty that the regulatory agency is facing is changing as well.When facing sub⁃stantive,strategic,and policy uncertainties about the nature of the industry,the behaviors of regulated firms and other government bodies,and macro policies respectively,the regulatory agency correspondingly adopts synthetic,interactive,and institutional organizational learning modes,which results in the different regulatory responses we observe in practice.Third,in China's regulatory system,in addition to

关 键 词：新兴产业监管 电商平台 不确定性 组织学习 

分 类 号：F724.6[经济管理—产业经济] F203