中国“央地互动型”决策过程研究——基于节能政策制定过程的分析

China's "Central-Local Interaction" Decision Making:Based on the Case Study of Energy-saving Policy Making Process

研究"何种绿色低碳政策是最优的"固然重要,但"政策是怎样出台的"这一问题同样无法忽视,因为决策机制是影响政策质量的重要因素。从决策过程中的府际关系出发,本文提出"央地互动型"政策制定过程框架,并以节能政策制定为例,探讨中国政策制定模式是否有利于做出高质量决策,从而有效应对资源环境挑战。研究发现:(1)中国政策制定具有"高层驱动、行政主导、央地互动"的特征,但是央地互动的模式是多样的,既有中央主导下的寻优模式,也有央地协商下的妥协模式,还有地方实践注入中央政策的学习模式;(2)尽管互动模式不同,但以"央地互动"为重要特征的决策过程在一定程度上促进了政策的科学制定,通过解决信息不对称和分歧、促进政策"干中学",对完善节能政策起到了实质作用;(3)同时,政策制定过程仍存在制度约束不足、地方信息质量的不确定性、科学支撑不够等问题。据此,文章进一步提出了改进建议。本研究有助于更全面地理解中国决策过程中的央地关系及其作用。

The objective of this paper is trying to understand whether China's decision-making mechanism is able to combating the complex resource and environmental issues,which have been main challenge in China.From the perspective of inter-governments relationship in decision-making,the author proposes a framework of 'central-local interaction' policy making process,which is used to conduct the case study of several key energy-saving policies since 2005,including energy intensity target decomposition,energy-saving performance evaluation institution and energy cap-and-trade mechanism. The result shows that:(1)China's policy making process is characterized by 'top-leadership driven,administration dominant and central-local interaction',but the models of central-local interaction are multiple. Three types of interaction models are identified in this study,including optimizing model under central government's control,compromise model under central-local negotiation,and learning model that injecting local initiative into the national policy.(2) Although the interaction patterns differ,the central-local interactions in decision making process play a key role for the formulation of effective energy-saving policies,through combating asymmetric information,resolving dissent and promoting 'learning by doing'.(3) Besides,there are also several drawbacks of 'central-local interaction' policy-making process,mainly lies in the absence of institutional arrangement,uncertainty of local information quality and the lack of research support. Existing literatures on green and low-carbon policies usually focus on the issue regarding 'which policy is the best',this paper emphasizes on the question that 'how policy is made',from a comprehensive perspective of central-local relationship in decision making.