治理结构与政策执行:基于3个城市社区建设资金使用案例的实证研究

Governance Structure and Policy Implementation: An Empirical Study on the Use of Community Building Fund in Three Cities

对于政策执行的"空转"问题,已有解释主要从地方政府自身利益、政策设计缺陷、政府内部碎片化等视角分析,但这些解释往往局限于行政体制内部,没有把社会多元主体对政策执行路径的影响纳入解释框架。本文尝试把影响政策执行的行政维度和社会维度结合起来,考察基层治理结构对政策执行的影响机制并尝试分析何种治理结构更能够促进政策的有效执行。本文采取了访谈和案例研究方法,发现不同的基层治理结构对政策执行路径的影响机制是差异化的,有效地引入共治式的治理结构更能够改进政策执行绩效,而财政分包体制下的统合式结构或者吸纳式结构,由于缺乏有效激励和监督机制,存在着政策执行的"软预算约束"问题,最终导致了政策执行的偏差和低效,但公共参与和监督因素的增加将改进政策执行的有效性。

This paper has focused on the issue of effectiveness of policy implementation and discussed the different mechanisms on which different structures of grassroots governance have exerted influences, based on the cases about the use of community development funds provided by the municipal government of Beijing, Shanghai and Shenzhen, by using participated observation and case studies. Comparing these three cases, this research finds out, grassroots governance structure is a key factor to understand the performance of policy implementation and the structure that more democratic participation and supervision is more helpful to enhance the effectiveness of policy implementation rather than the one either with corporatist characteristics or the administrative absorption of society. Theoretically, this paper makes contributions to the framework of literatures by using a more comprehensive structural perspective including not only administrative structure but also social economic structure to explain the path and consequence of Chinese policy implementation.