论政策执行的“断裂带”及其作用机制——以“节能家电补贴推广政策”为例

The "Fracture" and its Mechanism in Policy Implementation System——A Case of "Subsidy and Promotion Policy for Energy-saving Appliances"(2009—2013)

政策执行中最为薄弱的环节到底在哪里?其作用机制是怎样的?这是中国政策执行研究中的重大问题。本文以组织理论和治理理论的结合为视角,以"节能家电补贴推广政策"为例,对这一问题进行了研究。主要发现是,政策执行各主体的行为选择构成了一种"断裂型"的结构。这一结构中的"断裂带"位于政府组织和作为政策对象的普通公众之间,由互动规则的断裂、信息流的断裂、利益流的断裂所构成。这一"断裂带"的作用机制是:政策在经过政府组织和普通公众之间的执行主体时会发生互动规则的转换;而多任务的政策执行方式却使得政府的监管职责和惩戒措施虚化;在上述两个前提之下,政府组织和普通公众之间的执行主体往往成为政策执行的"街头官僚",其违规行为使得互动规则的转换失控,从而导致政策执行失效。这一研究对于推进中国政策执行研究的启示在于:应扩大理论视野,加强综合研究;政府组织和普通公众之间的执行主体及其行为对于政策执行具有重要意义;强化政府监管职责和惩戒措施对于解决政策执行"断裂带"问题具有重要价值。

What is the weakest part in China's policy implementation? And what is the mechanism inside?This is one of the major issues in the policy implementation research. In this article,the author study this issue based on the organization theory and governance theory. Looking into one of the typical cases,the author studied the policy subject's selective behaviors in the implementation of 'subsidy and promotion policy for energysaving appliances'. The main finding is:the subject's behaviors in policy implementation constituted a 'fracture'. The 'fracture' is between governmental organizations and the general public,and constituted by the gaps of engagement rules,information flow,and interest flow. The mechanism of the 'fracture' is:the interactive rules of the policy will convert when policy passes the executive bodies between the governmental organizations and the general public. At the same time,the multi-tasking policy implementation modality results to the fake of government regulatory responsibilities and disciplinary measures. In course of the above two premises,the executive bodies' irregularities makes the interactive rule conversion out of control,which leading to the failure of policy implementation. This article's revelation to policy implementation research is:firstly,the scholars should expand the theory vision,and strengthen the comprehensive study;secondly,the executive bodies between governmental organizations and the general public is crucial in the policy implementation;thirdly,strengthen the governmental regulatory responsibilities and disciplinary measures are significant to solve the 'fracture'.