交易成本理论框架下的基层痕迹主义生成逻辑及其治理优化

The Formation Logic and Governance of Grass-roots Trace Doctrine Based on Transaction Cost Theory Framework

厘清痕迹主义的生成逻辑,是优化基层痕迹主义治理、提高基层治理实效的关键。从交易成本理论看,受到路径依赖、意识形态约束、资源约束等制度环境性因素和个体有限理性约束的共同影响,中央被迫采用强制性契约方式把国家治理任务逐级发包给基层政府;基层政府则利用治理任务目标过度简化和纵向行政官僚体系资产专用性强的契约漏洞,采取以痕迹主义为代表的机会主义行为策略来向中央发送虚假履约信号,以规避任务压力和因违反强制契约而受到惩戒,进而使得技术治理在基层沦为新的形式主义。中央需要通过降低交易频率、加强交易协商、提高承诺与威胁可信性和增加交易备择选项等应对措施,压缩基层痕迹主义的生存空间。

Identifying the formation logic is the hinge of correcting the trace doctrine and improving governance performance in grassroots governance.From the perspective of transaction cost theory,due to the combined effect of the institutional environmental factors,including path dependency,ideological constraint and resource constraint,and individual bounded rationality constraint,CPC and the State Council were forced to subcontract the task of national governance to the grass-roots governments form the top down,in the manner of compulsory contract.While used the contract loopholes of the oversimplified goals of governance tasks and the strong asset specificity of vertical administrative bureaucracy,grass-roots governments adopted opportunistic behavior strategy,represented by the trace doctrine to send false performance signals to CPC and the State Council,so as to avoid the pressures to fulfill governance tasks and to escape from punishment for breaking contract,which further let the technology governance become a new formalism at the grass-roots level.Given that,the CPC and the State Council should adopt countermeasures including reducing transaction frequency,strengthening transaction negotiation,improving the credibility of commitment and threat,and increasing transaction alternatives,in order to reduce the probability of optimization.