管制是英文Regulation的翻译，通常被译为“管制”、“规制”或者“监管”。在学术界，国内学者翻译国外论著和自己撰写论著时，同时使用“管制”或“规制”，两者不存在实质性的区别；而实际部门广泛使用的“监管”则可分为狭义监管与广义监管，其中，狭义监管概念和范围基本等同于“管制”，而广义监管通常被理解和分拆为“监督与管理”，等同于一般的行政管理。因此，凡是政府机关的所有行政监督与管理行为都被泛称为监管。笔者认为，被泛化的广义监管是对管制的误解。这是因为，管制不同于一般的行政管理。首先，从对象上看，行政管理发生在政府部门内部，其管理对象主要是政府部门的下级（下属）单位；而管制的对象则不是政府的下级（下属）单位，而是独立的市场主体（企业和个人）。其次，从主体与客体的相互关系看，行政管理是政府部门与政府部门的关系，主体和客体之间往往是上下级关系，并不是完全独立的；而管制实际上是政府与市场主体（企业和个人）的关系，其主体与客体之间是完全独立的。最后，从手段上看，行政管理可以依靠（主观的）行政命令来直接控制下级（下属）单位；而管制主要依靠（客观的）法律来规范和约束经济上、法律上独立的市场主体。

尽管不少国内外学者对管制有不同的定义，但不难发现管制至少具有这样几个构成要素：（1）管制的主体（管制者）是政府行政机关（简称政府），通过立法或其他形式对管制者授予管制权。（2）管制的客体（被管制者）是各种经济主体（主要是企业）。（3）管制的主要依据和手段是各种法规（或制度），明确规定限制被管制者的什么决策、如何限制以及被管制者违反法规将受到的制裁。根据这三个基本要素，管制可定义为：具有法律地位的、相对独立的管制者（机构），依照一定的法规对被管制者（主要是企业）所采取的一系列行政管理与监督行为。由于管制的主体是政府，所以管制也被称为政府管制。

管制经济学是一门新兴学科。虽然在20世纪70年代以前，经济发达国家的许多学者就发表了不少有关价格管制、投资管制、进入管制、食品与药品管制、反托拉斯管制等方面的论著，但这些论著各自在较小的领域就特定的对象进行研究，缺乏相互联系；而且，运用经济学原理研究政府管制的论著更是少见。到了20世纪70年代，一些学者开始重视从经济学角度研究政府管制问题，并试图将已有的研究成果加以系统化，从而初步产生了管制经济学。其中，美国经济学家施蒂格勒发表的《经济管制论》等经典论文对管制经济学的形成产生了特别重要的影响。20世纪80年代以来，美国、英国和日本等经济发达国家对一些垄断产业的政府管制体制进行了重大改革，并加强了对环境保护、产品质量与安全、卫生健康方面的管制。这些都为管制经济学的研究提供了丰富的实证资料，从而推动管制经济学的发展。

政府管制的研究内容比较广泛，但大致可以归纳为经济性管制、社会性管制和反垄断管制三大领域。其中，经济性管制领域主要包括那些存在自然垄断和信息严重不对称的产业，其典型产业包括有线通信、电力、铁路运输、城市自来水和污水处理、管道燃气、金融保险业等产业。社会性管制的内容非常丰富，通常可以把社会性管制分为卫生健康、安全和环境保护三个方面，因此又可以把社会性管制简称为HSE管制（Health，Safety and Environmental Regulation）。反垄断管制是一个具有相对独立的研究领域，其主要研究对象是竞争性领域中具有市场垄断势力企业的各种限制竞争行为，主要包括合谋、并购和滥用支配地位行为。

管制经济学是以经济学原理研究政府管制科学性的一门应用性、边缘性学科。从管制经济学产生和发展的过程看，它是因实践的需要而产生与发展的，其理论研究紧密结合现实经济实际，为政府制定与实施管制政策提供了理论依据和实证资料，其研究带有明显的政策导向性，显示出应用性学科的性质。同时，管制经济学涉及经济、政治、法律、行政管理等方面的内容，这又决定了管制经济学是一门边缘性学科。

经济学是管制经济学的基础性学科。这是因为，管制经济学不仅要研究政府管制本身的需求与供给，包括需求强度和供给能力，而且要分析政府管制的成本与收益，通过成本与收益的比较，以确定某一政府管制的必要性。同时，管制政策的制定与实施也要以经济学原理为依据，如经济性管制的核心内容是进入管制与价格管制，进入管制政策的制定与实施要以规模经济、范围经济、垄断与竞争等经济理论为重要依据，以在特定产业或领域形成规模经济与竞争活力相兼容的有效竞争格局；而价格管制政策的制定则以成本与收益、需求与供给等经济理论为主要依据。对每一项社会性管制活动都要运用经济学原理，进行成本与收益分析，论证管制活动的可行性和经济合理性。

行政管理学与管制经济学具有直接的联系。因为管制的基本手段是行政手段，管制者可以依法强制被管制者执行有关法规，对他们实行行政监督。但是，任何管制活动都必须按照法定的行政程序进行，以避免管制活动的随意性。这就决定了管制经济学需要运用行政管理学的基本理论与方法，以提高管制的科学性与管制效率。

政治学是与管制经济学密切相关的一门学科，从某种意义上讲，管制行为本身就是一种政治行为，任何一项管制政策的制定与实施都体现着各级政府的政治倾向，在相当程度上包含着政治因素。事实上，管制一直是发达国家政治学研究的一个重要内容，管制是与政治家寻求政治目的有关的政治过程。

法学与管制经济学也紧密相关。这是因为，管制者必须有一定的法律授权，取得法律地位，明确其权力和职责；同时，管制的基本依据是有关法律规定和行政程序，管制机构的行为应受到法律监督和司法控制。这就使管制经济学与法学存在必然联系。

管理学与管制经济学也有较大的联系。管制者与被管制者之间通常存在着较为严重的信息不对称性，管制者如何引导被管制者尽可能地采取有利于社会公众利益的行为，这是一个复杂的多重博弈过程，要求管制者必须掌握管理学知识，具有较强的管理能力。

管制经济学的这种边缘性学科性质，需要学者进行跨学科的协同研究。事实上，发达国家就是从多学科对政府管制进行多维度研究的，并强调跨学科研究。

中国对管制经济学的研究起步较晚，据笔者所掌握的资料，最早介绍到中国的管制经济著作是施蒂格勒著的《产业组织和政府管制》（潘振民译，上海三联书店1989年版），在这部文集中，其中有4篇是关于政府管制方面的论文。随后，出版了日本学者植草益著的《微观规制经济学》（朱绍文、胡欣欣等译，中国发展出版社1992年版），这是介绍到中国的第一本专门讨论管制经济的专著，在中国有很大的影响。从20世纪90年代以来，国内学者在借鉴国外管制经济学的基础上，并结合中国实际，出版了许多论著，为管制经济学在中国的形成与发展奠定了基础。但从总体上说，中国对管制经济学的研究还处于起步阶段，在许多方面需要结合中国实际进行深入研究。

在计划经济体制下，中国不存在现代管制经济学所讲的管制问题，不能把计划理解为管制，不能把计划经济体制理解为传统管制体制。因为市场是对计划的替代，而管制是对市场失灵的校正和补充。管制是由法律授权的管制主体依据一定的法规对被管制对象所实施的特殊行政管理与监督行为。管制不同于一般的行政管理，更不同于计划。否则就没有必要讨论管制经济学在中国的发展，就没有必要讨论通过改革如何建立高效率的管制体制问题。从国际经验看，就垄断性产业而言，美国等少数发达国家主要以民营企业为经营主体，与此相适应，这些国家较早在垄断性产业建立现代管制体制。而英国、日本和多数欧洲国家则对垄断性产业曾长期实行国有企业垄断经营的体制，只是在20世纪80年代才开始对垄断性产业实行以促进竞争和民营化为主要内容的重大改革，并在改革过程中，逐步建立了现代管制体制。

中国作为一个从计划经济体制向市场经济体制过渡的转型国家，政府管制是在建立与完善社会主义市场经济体制过程中不断加强的一项政府职能。传统经济理论认为，自然垄断产业、公用事业等基础产业是市场失灵的领域，市场竞争机制不能发挥作用，主张直接由国有企业实行垄断经营，以解决市场失灵问题。在实践中，长期以来，中国对这些基础产业实行政府直接经营的管理体制。但是，新的经济理论与实践证明，国有企业垄断经营必然导致低效率，并强调在这些产业发挥竞争机制的积极作用。因此，从20世纪90年代以来，中国像世界上许多国家一样，对这些产业逐步实行两大改革，一是引进并强化竞争机制，实现有效竞争；二是积极推行民营化，一定数量的民营企业成为这些产业的经营主体，在这些产业形成混合所有制的经营主体，以适应市场经济体制的需要。这样，政府就不能用过去管理垄断性国有企业的方式去管理具有一定竞争性的混合所有制企业或民营企业，而必须实行政府职能转变，建立新的政府管制体制，以便对这些产业实行有效管制。同时，在经济发展的基础上，中国日益强调对环境保护、卫生健康和工作场所安全等方面的管制。这些都使政府管制职能表现出不断强化的趋势。为此，党的十三大明确提出，政府的四大基本职能是：经济调节、市场监管、社会管理和公共服务，首次把市场监管（政府管制）作为一项重要的政府职能。

浙江财经大学是国内较早地系统研究政府管制经济学的高等学校，在政府管制领域承担了国家重大科技专项课题、国家社会科学基金和国家自然科学基金项目20多项、省部级研究项目50多项，在政府管制领域已出版了30多部学术著作，在《经济研究》等杂志上发表了一批高质量的学术论文，其中，一些成果获得了“孙冶方经济科学著作奖”、“薛暮桥价格研究奖”、“高等学校科学研究优秀成果奖（人文社会科学）”等。学校已形成了一个结构合理、综合素质较高、研究能力较强的研究团队。为适应政府管制经济学研究的需要，更好地为政府制定与实施管制政策服务，学校成立了跨学科的浙江财经学院政府管制研究院，其中包括政府管制与公共政策研究中心（浙江省社会科学重点研究基地）、管制理论与政策研究创新团队（浙江省重点创新团队）、公用事业管制政策研究所（学校与住房和城乡建设部合作研究机构）等研究平台。政府管制研究院的主要研究方向包括：政府管制基础理论研究、垄断性行业管制理论与政策研究、城市公用事业政府管制理论与政策研究、社会性管制理论与政策研究、反垄断管制理论与政策研究、金融风险监管理论与政策研究、政府管制绩效评价理论与政策研究等。为系统出版学校教师在政府管制领域的学术著作，在中国社会科学出版社的大力支持下，我们将持续出版《政府管制研究系列文库》，这也是学校对外开展学术交流的窗口和平台。欢迎专家学者和广大读者对文库中的学术著作批评指正。

王俊豪

2012年元月于杭州

Regulation is a translation of the English Regulation, usually translated as "regulation", "regulation" or "regulation". In academia, there is no substantive difference between the use of "regulation" or "regulation" when domestic scholars translate foreign works and write their own works; The "supervision" widely used in the actual sector can be divided into narrow supervision and broad supervision, in which the concept and scope of narrow supervision are basically equivalent to "regulation", while broad supervision is usually understood and split into "supervision and management", which is equivalent to general administrative management. Therefore, all administrative supervision and management acts of all government agencies are generally referred to as supervision. The author believes that generalized regulation in a broad sense is a misunderstanding of regulation. This is because control is different from general administration. First of all, from the perspective of objects, administrative management occurs within government departments, and its management objects are mainly subordinate (subordinate) units of government departments; The object of control is not the subordinate (subordinate) units of the government, but independent market entities (enterprises and individuals). Secondly, from the perspective of the mutual relationship between subject and object, administrative management is the relationship between government departments and government departments, and the relationship between subject and object is often superior-subordinate, not completely independent; Regulation is actually the relationship between the government and market subjects (enterprises and individuals), and the subject and object are completely independent. Finally, from the point of view of means, the administration can rely on (subjective) administrative orders to directly control subordinate (subordinate) units; Regulation mainly relies on (objective) laws to regulate and constrain economically and legally independent market entities. Although many domestic and foreign scholars have different definitions of regulation, it is not difficult to find that regulation has at least the following components: (1) The subject of control (regulator) is the government administrative organ (referred to as the government), and the regulator is granted control power through legislation or other forms. (2) The objects of control (the regulated persons) are various economic agents (mainly enterprises). (3) The main basis and means of control are various regulations (or systems), which clearly stipulate what decisions to restrict the regulated person, how to restrict it, and the sanctions that the regulated person will receive if it violates the law. According to these three basic elements, control can be defined as: a series of administrative management and supervision acts taken by relatively independent regulators (institutions) with legal status against the regulated persons (mainly enterprises) in accordance with certain laws and regulations. Since the subject of regulation is the government, regulation is also called government regulation. Regulatory economics is an emerging discipline. Although before the 70s of the 20th century, many scholars in economically developed countries published many works on price control, investment control, entry control, food and drug control, antitrust control, etc., these works each conducted research on specific objects in a small field and lacked interconnection; Moreover, the use of economic principles to study government regulation is even rarer. In the 70s of the 20th century, some scholars began to pay attention to the study of government regulation from the perspective of economics, and tried to systematize the existing research results, thus initially producing regulatory economics. Among them, classic papers such as "Economic Regulation Theory" published by American economist Stigler have had a particularly important impact on the formation of regulatory economics. Since the 80s of the 20th century, economically developed countries such as the United States, the United Kingdom and Japan have carried out major reforms in the government control system of some monopoly industries, and strengthened the control of environmental protection, product quality and safety, and health and health. All these provide rich empirical data for the study of regulatory economics, thereby promoting the development of regulatory economics. The research content of government regulation is relatively extensive, but it can be roughly summarized into three major areas: economic regulation, social regulation and anti-monopoly control. Among them, the field of economic regulation mainly includes those industries with natural monopoly and serious information asymmetry, and its typical industries include cable communications, electric power, railway transportation, urban tap water and sewage treatment, pipeline gas, finance and insurance and other industries. The content of social control is very rich, usually social control can be divided into three aspects of health, safety and environmental protection, so social control can be referred to as HSE control (Health, Safety and Environmental Regulation). Anti-monopoly control is a relatively independent research field, which mainly studies various anti-competitive behaviors of enterprises with market monopoly power in competitive fields, mainly including collusion, mergers and acquisitions and abuse of dominant position. Regulatory economics is an applied and marginal discipline that studies the scientific nature of government regulation based on economic principles. From the perspective of the process of the emergence and development of regulatory economics, it is produced and developed due to the needs of practice, and its theoretical research is closely combined with the actual economic reality, providing theoretical basis and empirical data for the government to formulate and implement regulatory policies, and its research has obvious policy-oriented nature, showing the nature of applied disciplines. At the same time, regulatory economics involves economic, political, legal, administrative and other aspects, which determines that regulatory economics is a marginal discipline. Economics is the basic discipline of regulatory economics. This is because regulatory economics not only studies the demand and supply of government regulation itself, including demand intensity and supply capacity, but also analyzes the costs and benefits of government regulation, and determines the necessity of a government regulation through the comparison of costs and benefits. At the same time, the formulation and implementation of regulatory policies should also be based on economic principles, such as the core content of economic control is entry control and price control, and the formulation and implementation of entry control policies should be based on economic theories such as economies of scale, scope economy, monopoly and competition, so as to form an effective competition pattern compatible with economies of scale and competitive vitality in specific industries or fields; The formulation of price control policies is mainly based on economic theories such as cost and benefit, demand and supply. For each social control activity, economic principles should be applied, cost and benefit analysis should be carried out, and the feasibility and economic rationality of the regulatory activity should be demonstrated. There is a direct link between administrative science and regulatory economics. Because the basic means of control are administrative means, the regulator can compel the regulated persons to implement the relevant laws and regulations in accordance with the law and exercise administrative supervision over them. However, any regulatory activity must be carried out in accordance with the administrative procedures established by law in order to avoid arbitrariness in the control activity. This determines that regulatory economics needs to use the basic theories and methods of administrative management to improve the scientific nature and efficiency of control. Political science is a discipline closely related to regulatory economics, in a sense, regulatory behavior itself is a political behavior, the formulation and implementation of any regulatory policy reflects the political tendency of governments at all levels, and contains political factors to a considerable extent. In fact, regulation has always been an important part of the study of political science in developed countries, and regulation is a political process related to politicians seeking political ends. Law and regulatory economics are also closely related. This is because the regulator must have a certain legal authority, acquire legal status, and clarify its powers and responsibilities; At the same time, the basic basis of control is the relevant legal provisions and administrative procedures, and the actions of the regulatory bodies should be subject to legal supervision and judicial control. This makes it necessary for regulatory economics to be linked to jurisprudence. Management and regulatory economics are also more related. There is usually a serious information asymmetry between the regulator and the regulated, and how the regulator guides the regulated person to take behavior conducive to the public interest as much as possible, which is a complex multiple game process, requiring the regulator to master management knowledge and have strong management ability. This marginal disciplinary nature of regulatory economics requires scholars to conduct interdisciplinary collaborative research. In fact, developed countries conduct multi-dimensional research on government regulation from a multidisciplinary perspective, and emphasize interdisciplinary research. According to the information available to the author, the earliest work on China's regulatory economy is Stigler's Industrial Organization and Government Regulation (translated by Pan Zhenmin, Shanghai Sanlian Bookstore, 1989), in which four papers are on government regulation. Subsequently, he published Microregulatory Economics (translated by Zhu Shaowen, Hu Xinxin and others, China Development Press, 1992) by Japanese scholar Uekusa, which was the first monograph introduced to China devoted to the regulated economy and had a great influence in China. Since the 90s of the 20th century, domestic scholars have published many works on the basis of learning from foreign regulatory economics and combining with China's actual conditions, laying the foundation for the formation and development of regulatory economics in China. However, on the whole, China's research on regulatory economics is still in its infancy, and in many aspects it needs to be studied in depth in light of China's actual conditions. Under the planned economic system, China does not have the regulatory problems mentioned in modern regulatory economics, and planning cannot be understood as regulation, and the planned economic system cannot be understood as a traditional regulatory system. Because the market is a substitute for planning, and regulation is a correction and complement to market failures. Control is a special administrative management and supervision act carried out by a regulatory entity authorized by law on the subject of control in accordance with certain laws and regulations. Control is different from general administration and even more different from planning. Otherwise, there would be no need to discuss the development of regulatory economics in China, and there would be no need to discuss how to establish an efficient regulatory system through reform. From the perspective of international experience, as far as monopoly industries are concerned, a few developed countries such as the United States mainly use private enterprises as the main body of operation. Britain, Japan and most European countries have long implemented the system of monopoly operation of state-owned enterprises for monopoly industries, and only in the 80s of the 20th century began to implement major reforms to promote competition and privatization of monopoly industries, and in the process of reform, a modern control system was gradually established. As a country in transition from a planned economy to a market economy, government control is a government function that has been continuously strengthened in the process of establishing and improving the socialist market economy system. Traditional economic theory holds that natural monopoly industries, public utilities and other basic industries are areas of market failure, and the market competition mechanism cannot play a role, and advocates that state-owned enterprises directly implement monopoly operation to solve the problem of market failure. In practice, for a long time, China has implemented a management system of direct government operation for these basic industries. However, the new economic theory and practice prove that the monopoly operation of state-owned enterprises will inevitably lead to low efficiency, and emphasize the positive role of competition mechanism in these industries. Therefore, since the 90s of the 20th century, China, like many countries in the world, has gradually implemented two major reforms in these industries: one is to introduce and strengthen the competition mechanism to achieve effective competition; The second is to actively promote privatization, and a certain number of private enterprises have become the main operators of these industries, and the main body of mixed ownership has been formed in these industries to meet the needs of the market economic system. In this way, the government cannot manage mixed-ownership enterprises or private enterprises with a certain degree of competition in the same way as monopoly state-owned enterprises in the past, but must carry out the transformation of government functions and establish a new government control system in order to effectively control these industries. At the same time, on the basis of economic development, China has increasingly emphasized the regulation of environmental protection, health and workplace safety. All of this has led to a trend towards the strengthening of government regulatory functions. To this end, the 13th National Congress of the Communist Party of China clearly stated that the four basic functions of the government are: economic regulation, market supervision, social management and public services, and for the first time market supervision (government regulation) is regarded as an important government function. Zhejiang University of Finance and Economics is the earliest institution of higher learning in China to systematically study government regulation economics, and has undertaken more than 20 national major science and technology special projects, more than 20 projects of the National Social Science Foundation and the National Natural Science Foundation of China, more than 50 provincial and ministerial research projects in the field of government regulation, and has published more than 30 academic works in the field of government regulation, and published a number of high-quality academic papers in journals such as Economic Research, among which some achievements have won the "Sun Yefang Economic Science Book Award", "Xue Xiqiao Price Research Award", " Outstanding Achievement Award in Scientific Research of Colleges and Universities (Humanities and Social Sciences)", etc. The school has formed a research team with reasonable structure, high comprehensive quality and strong research ability. In order to meet the needs of government regulatory economics research and better serve the government's formulation and implementation of regulatory policies, the school has established an interdisciplinary Institute of Government Regulation of Zhejiang University of Finance and Economics, including the Research Center for Government Regulation and Public Policy (Zhejiang Provincial Key Research Base of Social Sciences), the Research and Innovation Team of Regulation Theory and Policy (Zhejiang Key Innovation Team), and the Institute of Public Utility Regulation Policy (a cooperative research institution between the University and the Ministry of Housing and Urban-Rural Development). The main research directions of the Institute of Government Regulation include: basic theory of government regulation, monopoly industry regulation theory and policy research, urban public utilities government regulation theory and policy research, social regulation theory and policy research, anti-monopoly control theory and policy research, financial risk supervision theory and policy research, government regulation performance evaluation theory and policy research, etc. In order to systematically publish the academic works of school teachers in the field of government control, with the strong support of China Social Sciences Press, we will continue to publish the "Government Regulation Research Series Library", which is also the window and platform for the school to carry out academic exchanges with the outside world. Experts, scholars and readers are welcome to criticize and correct the academic works in the library. Wang Junhao in Hangzhou in January 2012（AI翻译）