政策创新争先模式的府际学习机制
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摘要
政策创新源于意识到社会问题或现实需求,建立专题学习机制,并将新的认知付诸实践。央地关系是理解中国政策创新的一个重要视角,本文根据中央政府的介入程度、地方政府的学习能力两个变量,区分了政策创新的四种类型,聚焦于其中的争先模式。根据第一行动集团的差异性,剖析了争先模式中府际学习的两种路径,并以自由贸易试验区建设和"多规合一"改革为例,检验府际学习促进政策创新的实践运作。研究发现,政策创新受政治权威主导,在重大政策制定中,中央与地方之间经由多轮互动学习,公共政策才会走向明晰化、定型化。政策创新中的府际学习通过问题建构、政策试验、经验采纳、权威推广四种机制进行运作,在政策试验阶段,政策学习以地方政府为主,随着政策试验取得成效,政策学习转为以中央政府为主。本文的价值在于提出"府际学习"这一概念,剖析了中国政策创新的互动学习路径及运作机制。
Policy innovation stems from realizing social problems or real world needs, establishing specific learning mechanisms, and putting new cognition into practice. The objective of this paper is to illustrate how the Central-Local relations influence policy innovation in China which is considered as an essential perspective. According to the two variables, intervention degree of the central government and learning ability of local governments respectively, this paper distinguishes the four types of policy innovation and focuses on the championship model. Furthermore, this paper analyzes two inter-governmental learning paths of championship model based on the difference of primary action group. In order to verify policy learning practice, two typicalcase studies, involving the construction of "Free Trade Zone" plus "Integrated Urban Planning" reform are used to study in this article. The analysis, based on the policy innovation literature and empirical research which reveals that the significant feature of policy innovation, is the political authority dominates the learning process.When it comes to policy-making with a major issue, policy learning has to be carried out within many rounds between central-local governments, in this way, the public policy will be clear and finalized. From inter-governmental learning perspective, policy innovation mainly relies on four mechanisms: problem driven, pilot test, experience adoption, and authoritative promotion. In the experimental stage, policy learning is mainly conducted by local governments. As the policy experiments achieve remarkable results, policy learning would transform to be dominated by the central government. The main value of this paper is to put forward the concept of "inter-governmental learning" and to analyze the interactive learning path and operational mechanism of China's policy innovation.
Policy innovation stems from realizing social problems or real world needs, establishing specific learning mechanisms, and putting new cognition into practice. The objective of this paper is to illustrate how the Central-Local relations influence policy innovation in China which is considered as an essential perspective. According to the two variables, intervention degree of the central government and learning ability of local governments respectively, this paper distinguishes the four types of policy innovation and focuses on the championship model. Furthermore, this paper analyzes two inter-governmental learning paths of championship model based on the difference of primary action group. In order to verify policy learning practice, two typicalcase studies, involving the construction of "Free Trade Zone" plus "Integrated Urban Planning" reform are used to study in this article. The analysis, based on the policy innovation literature and empirical research which reveals that the significant feature of policy innovation, is the political authority dominates the learning process.When it comes to policy-making with a major issue, policy learning has to be carried out within many rounds between central-local governments, in this way, the public policy will be clear and finalized. From inter-governmental learning perspective, policy innovation mainly relies on four mechanisms: problem driven, pilot test, experience adoption, and authoritative promotion. In the experimental stage, policy learning is mainly conducted by local governments. As the policy experiments achieve remarkable results, policy learning would transform to be dominated by the central government. The main value of this paper is to put forward the concept of "inter-governmental learning" and to analyze the interactive learning path and operational mechanism of China's policy innovation.
引文
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[27]章高荣.高风险弱激励型政策创新扩散机制研究——以省级政府社会组织双重管理体制改革为例[J].公共管理学报,2017(4):1-15.
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(1)这六项管理办法分别为《中国(上海)自由贸易试验区管理办法》、《中国(上海)自由贸易试验区外商投资准人特别管理措施(负面清单)》(2013年)、《中国(上海)自由贸易试验区外商投资项目备案管理办法》、《中国(上海)自由贸易试验区境外投资项目备案管理办法》、《中国(上海)自由贸易试验区外商投资企业备案管理办法》以及《中国(上海)自由贸易试验区境外投资开办企业备案管理办法》。这些管理办法的出台,为上海自贸区运行提供了必要的制度保障,也为制定地方性法规奠定了基础。
(1)“三统一”是指统一数据与年限、统一目标、统一标准;“两协调”是指协调土地利用、协调空间管制;“一平台”是指搭建统一的规划管理信息平台。
[2]韩博天,石磊.中国经济腾飞中的分级制政策试验[J].开放时代,2008(5):31-51.
[3]王绍光.学习机制与适应能力:中国农村合作医疗体制变迁的启示[J].中国社会科学,2008(6):111-133.
[4]约瑟夫·熊彼特.经济发展理论———对于利润、资本、信贷、信息和经济周期的考察[M].何畏,等译.北京:商务印书馆,1991:72-74.
[5]埃弗雷特·M·罗杰斯.创新的扩散[M].唐兴通,等译.北京:电子工业出版,2016:14.
[6] WALKER J. The Diffusion of Innovations among the American States[J]. American Political Science Review,1969,63(3):880-899.
[7] BROWN L A,COX K R. Empirical Regularities in the Diffusion of Innovation[J]. Annals of the Association of American Geographers,1971,61(3):551-559.
[8] MARSH D,SHARMAN J C. Policy Diffusion and Policy Transfer[J]. Policy Studies,2009,30(3):88-269.
[9] BERRY F S. Sizing up State Policy Innovation Research[J].Policy Studies Journal,1994,22(3):56-442
[10] SHIPAN C R,VOLDEN C. Bottom-up Federalism:The Diffusion of Antismoking Policies from U.S. Cities to States[J].American Journal of Political Science,2006,50(4):825-843.
[11] SHIPAN C R,VOLDEN C. The Mechanisms of Policy Diffusion[J]. American Journal of Political Science,2008,52(4):840-857.
[12] NICHOLSON-CROTTY S. The Politics of Diffusion:Public Policy in the American States[J]. The Journal of Politics,2009,71(1):192-205.
[13] BENNETT C J,HOWLETT M. The Lesson of Learning:Reconciling Theories of Policy Learning and Policy Change[J].Policy Science,1992,25(3):275-294.
[14] MAY P J. Policy Learning and Failure[J]. Journal of Public Policy,1992,12(4):331-354.
[15]迈克尔·豪利特,M·拉米什.公共政策研究:政策循环与政策子系统[M].庞诗,等译.上海:三联书店,2006:334.
[16] SABATIER P A. An Advocacy Coalition Framework of Policy Change and the Role of Policy-Oriented Learning Therein[J].Policy Sciences,1988,21(2-4):129.
[17]保罗·A·萨巴蒂尔,汉克·C·詹金斯-史密斯.政策变迁与学习:一种倡议联盟途径[M].邓征,译.北京:北京大学出版社,2011:47-49.
[18] CLARK J. Policy Diffusion and Program Scope:Research Directions[J]. The Journal of Federalism,1985,15(4):61-70.
[19]弗朗西丝·斯图克斯·贝瑞,威廉·D·贝瑞.政策研究中的创新和传播模型[M]//保罗·萨巴蒂尔.政策过程理论.彭宗超,等译.上海:三联书店,2004:230-232.
[20] LINDBLOM C E. The Science of"Muddling Through"[J].Public Administration Review,1959,19(2):79-88.
[21]王正毅.理解中国转型:国家战略目标、制度调整与国际力量[J].世界经济与政治,2005(6):7-14.
[22] SABATIER P A,PELKEY N. Incorporating Multiple Actors and Guidance Instruments into Models of Regulatory Policymaking:An Advocacy Coalition Framework[J]. Administration and Society,1987,19(2):236-263.
[23] BERRY F S,BERRY W D. State Lottery Adoptions as Policy Innovations:An Event History Analysis[J]. The American Political Science Review,1990,84(2):395-415.
[24]周黎安.转型中的地方政府:官员激励与治理[M].上海:格致出版社、上海人民出版社,2008:88-89.
[25]周黎安.中国地方官员的晋升锦标赛模式研究[J].经济研究,2007(7):36-50.
[26] KARCH A J. Emerging Issues and Future Direction in State Policy Diffusion Research[J]. State Politics&Policy Quarterly,2007,7(1):54-80.
[27]章高荣.高风险弱激励型政策创新扩散机制研究——以省级政府社会组织双重管理体制改革为例[J].公共管理学报,2017(4):1-15.
[28]杨宏山.政策执行的路径-激励分析框架:以住房保障政策为例[J].政治学研究,2014(1):78-92.
[29] DAVIS L E,NORTH D. Institutional Change and American Economic Growth[M]. Cambridge:Cambridge University Press,1992:8.
[30]外国经济学说研究会.国外经济学讲座(第三册)[M].北京:中国社会科学出版社,1981:30-31.
[31]约翰·W·金登.议程、备选方案与公共政策[M].丁煌,等译.北京:中国人民大学出版社,2004:226.
[32]易承志.转型期我国中央与地方关系的协调:特征、趋势与路径分析[J].湘潭大学学报(哲学社会科学版),2009(5):31-35.
[33]朱旭峰,赵慧.自下而上的政策学习———中国三项养老保险政策的比较案例研究[J].南京社会科学,2015(6):68-75.
[34]林雪霏.政府间组织学习与政策再生产:政策扩散的微观机制———以“城市网格化管理”政策为例[J].公共管理学报,2015(1):11-23.
[35]陈立文.上海自由贸易区建设的探索与思考[J].中国市场,2014(28):72-77.
[36]贺伟跃.中国(上海)自由贸易试验区制度解读与展望[M].北京:经济日报出版社,2016:13.
[37]钟坚.改革阻力来自何方?上海自由贸易试验区决策内幕[J].凤凰周刊,2013(29):22-27.
[38]沈开艳,黄钟.中国(上海)自由贸易试验区建设理论分析与实践探索[M].上海:上海社会科学出版社,2016:86.
[39]肖林,张.中国(上海)自由贸易试验区制度创新回顾与前瞻[M].上海:格致出版社,上海人民出版社,2017:159-168.
[40]董祚继.“多规合一”的理论与实践[M].杭州:浙江大学出版社,2017:2-3.
[41]李东泉.地方政府在“三规”制度环境下的创新努力及其启示[J].规划师,2014(9):65-69.
[42]王向东,刘卫东.中国空间规划体系:现状、问题与重构[J].经济地理,2012(5):7-15.
[43]谢英挺,王伟.从“多规合一”到空间规划体系重构[J].城市规划学刊,2015(3):15-21.
[44]张克.地方主官异地交流与政策扩散:以“多规合一”改革为例[J].公共行政评论,2015(3):79-102.
[45]赖寿华,黄慧明,陈嘉平,等.从技术创新到制度创新:河源、云浮、广州“三规合一”实践与思考[J].城市规划学刊,2013(5):63-68.
[46]朱江,邓木林,潘安.“三规合一”:探索空间规划的秩序和调控合力[J].城市规划,2015(1):41-47.
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(1)这六项管理办法分别为《中国(上海)自由贸易试验区管理办法》、《中国(上海)自由贸易试验区外商投资准人特别管理措施(负面清单)》(2013年)、《中国(上海)自由贸易试验区外商投资项目备案管理办法》、《中国(上海)自由贸易试验区境外投资项目备案管理办法》、《中国(上海)自由贸易试验区外商投资企业备案管理办法》以及《中国(上海)自由贸易试验区境外投资开办企业备案管理办法》。这些管理办法的出台,为上海自贸区运行提供了必要的制度保障,也为制定地方性法规奠定了基础。
(1)“三统一”是指统一数据与年限、统一目标、统一标准;“两协调”是指协调土地利用、协调空间管制;“一平台”是指搭建统一的规划管理信息平台。
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