治理研究 ›› 2026, Vol. 42 ›› Issue (5): 19-32.

• 社会治理·数智社会治理专题 • 上一篇    下一篇

迈向预期性治理:基于衍生品逻辑的治理变革

张乾友   

  • 收稿日期:2026-01-20 出版日期:2026-09-15 发布日期:2026-10-28
  • 作者简介:张乾友,南京大学政府管理学院教授。
  • 基金资助:
    国家社科基金重点项目“国家治理中的非预期结果及其应对研究”(23AZZ013)

Toward Anticipatory Governance:Governance Transformation through the Logic of Derivatives

Zhang Qianyou   

  • Received:2026-01-20 Published:2026-09-15 Online:2026-10-28

摘要:

当代治理日益依赖通过算法对个体未来行为的概率性判断展开处置。相比于传统治理,这一处置模式不指向已发生的具体行为,而指向尚未发生的可能性。金融衍生品的运作逻辑为刻画这一新兴治理形态提供了有效的分析视角,正如衍生品通过抽离与重组形成不依赖于基础资产连续性的合成结构,算法处置同样通过从个体生活中抽离信号、对信号进行统计性整合形成不依赖于因果连续性的概率判断。这一同构关系揭示了当代治理的认识论转变及其引发的三重挑战,即错误难以归因于具体决策者的可问责性挑战、治理工具滞后于治理对象的可治理性挑战以及传统申辩功能被削弱的正当性挑战。当代治理通过向预期性治理转型来回应这些挑战,其通过程序可追溯、风险分级、权利重构三项原则,将治理的运作基础从事实转向可能性,构成了一种新的治理模式。

关键词: 治理, 可能性, 衍生品, 数据治理, 预期性治理

Abstract:

Contemporary governance increasingly relies on algorithmic probabilistic judgments concerning individuals’ future behavior to carry out interventions. Unlike traditional governance,which is directed at concrete acts that have already occurred,this mode of intervention is directed at possibilities that have not yet materialized. The operational logic of financial derivatives provides an effective analytical perspective for characterizing this emerging form of governance. Just as derivatives form synthetic structures that are independent of the continuity of the underlying asset through abstraction and recombination,algorithmic intervention likewise extracts signals from individuals’ lives and integrates them statistically to produce probabilistic judgments that are independent of causal continuity. This isomorphic relationship reveals an epistemological shift in contemporary governance,together with the three challenges it engenders. First is the accountability challenge,whereby errors are difficult to attribute to specific decision-makers. Second,the governability challenge,whereby governance tools lag behind the objects of governance. Finally,the legitimacy challenge,whereby the traditional function of defense is weakened. In response,contemporary governance is undergoing a transformation toward anticipatory governance. Through the three principles of procedural traceability,risk stratification,and the reconstruction of rights,it shifts the operational basis of governance from facts to possibilities,thereby constituting a new mode of governance

Key words: governance, possibility, derivatives, data governance, anticipatory governance

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