政策试点推广的多重逻辑——基于我国智慧城市试点的分析
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摘要
政策试点是我国国家治理与政策创新的重要手段,被认为是中国实现经济腾飞并适应内外部复杂环境的关键。本研究引入动态过程视角,以智慧城市政策试点的推广为考察对象,使用事件史模型、分段常指数模型,分析了地方政府进行智慧城市试点的多重逻辑,即效率逻辑、合法性逻辑和行动者逻辑。在此基础上,使用断点回归设计,对政策试点阶段划分节点的合理性进行了验证。研究发现,在试点起始阶段,地方政府积极利用其自身禀赋,争取试点的"先试先行",从而展现为效率逻辑与行动者逻辑的结合;在局部推广阶段,由于政绩驱动和同级政府进入试点不断增多,从而展现为合法性逻辑与行动者逻辑的结合;在全面推广阶段,随着政策红利的边际递减和政绩驱动弱化,地方政府进入试点只是合法性逻辑使然。本文最后尝试提出一个中国政策试点的一般性解释框架。在单一制的行政体制下,某一试点政策在全国的推广依赖于中央政府诱导性制度的出台,在政策试点的不同阶段,地方政府进入试点也展现为不同的行为逻辑。
The objective of this paper is to illustrate and examine the multiple logics in the promotion of smart city policy pilot with a dynamic process perspective under the background of Chinese central-local relationship. A large-N quantitative study which uses event history analysis model and piecewise constant index model in order to analyzes the multiple logic of local governments entering the smart city pilot. On this basis, the regression discontinuity design is used to verify the rationality of dividing nodes in the policy pilot stage. Then the research finds that in the initial stage of pilot, local governments actively make use of their own advantages to strive for the pilot's "trial first", thus showing the combination of efficiency logic and actor logic. In the local promotion stage, driven by political performance and the increasing number of governments at the same level entering the pilot, local governments enter the pilot showing the combination of legitimacy logic and actor logic.In the stage of comprehensive promotion, local governments enter the pilot program only due to the logic of legality because the marginal decline of policy bonus and the weakening of performance driven. However the key limitation of the study is that the event history analysis model commonly used in policy diffusion research which can only reflect whether a certain city has entered the policy pilot at a certain point and cannot show the difference of policy implementation effect in different cities. Besides, the interaction between efficiency logic,legitimacy logic and actor logic still need to be further clarified. Meanwhile this study proposed a general framework for the interpretation of policy pilot in China. The promotion of a certain policy pilot throughout the country depends on the introduction of the central government's guidance system under the unitary administrative system. In different policy pilot stages, local governments also show different behavioral logic when entering the pilot. This paper introduces the perspective of dynamic process and discusses the multiple logics of policy pilot extension in China, which is different from the static analysis of policy diffusion influencing factors.It basically formed a general context for the promotion of policy pilots in China. It can explain well why appear in the relevant policy documents, before and after the pilot policy promoted the change of government behavior in the process of logic.
The objective of this paper is to illustrate and examine the multiple logics in the promotion of smart city policy pilot with a dynamic process perspective under the background of Chinese central-local relationship. A large-N quantitative study which uses event history analysis model and piecewise constant index model in order to analyzes the multiple logic of local governments entering the smart city pilot. On this basis, the regression discontinuity design is used to verify the rationality of dividing nodes in the policy pilot stage. Then the research finds that in the initial stage of pilot, local governments actively make use of their own advantages to strive for the pilot's "trial first", thus showing the combination of efficiency logic and actor logic. In the local promotion stage, driven by political performance and the increasing number of governments at the same level entering the pilot, local governments enter the pilot showing the combination of legitimacy logic and actor logic.In the stage of comprehensive promotion, local governments enter the pilot program only due to the logic of legality because the marginal decline of policy bonus and the weakening of performance driven. However the key limitation of the study is that the event history analysis model commonly used in policy diffusion research which can only reflect whether a certain city has entered the policy pilot at a certain point and cannot show the difference of policy implementation effect in different cities. Besides, the interaction between efficiency logic,legitimacy logic and actor logic still need to be further clarified. Meanwhile this study proposed a general framework for the interpretation of policy pilot in China. The promotion of a certain policy pilot throughout the country depends on the introduction of the central government's guidance system under the unitary administrative system. In different policy pilot stages, local governments also show different behavioral logic when entering the pilot. This paper introduces the perspective of dynamic process and discusses the multiple logics of policy pilot extension in China, which is different from the static analysis of policy diffusion influencing factors.It basically formed a general context for the promotion of policy pilots in China. It can explain well why appear in the relevant policy documents, before and after the pilot policy promoted the change of government behavior in the process of logic.
引文
[1]XU C.The Fundamental Institutions of China's Reforms and Development[J].Journal of Economic Literature,2011,49(4):1076-1151.
[2]HEILMANN S,SHIH L,HOFEM A.National Planning and Local Technology Zones:Experimental Governance in China's Torch Program[J].The China Quarterly,2013,216:896-919.
[3]HEILMANN S.From Local Experiments to National Policy:The Origins of China's Distinctive Policy Process[J].China Journal,2008,59(59):1-30.
[4]CAI H,TREISMAN D.Did Government Decentralization Cause China's Economic Miracle[J].World Politics,2006,58(4):505-535.
[5]周望.政策试点是如何进行的?--对于试点一般过程的描述性分析[J].当代中国政治研究报告,2013:94-108.
[6]刘伟.政策试点:发生机制与内在逻辑---基于我国公共部门绩效管理政策的案例研究[J].中国行政管理,2015(5):113-119
[7]梅赐琪,汪笑男,廖露.政策试点的特征:基于《人民日报》1992-2003年试点报道的研究[J].公共行政评论,2015,8(3):8-24
[8]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.
[9]HEILMANN S.Policy Experimentation in China's Economic Rise[J].Studies in Comparative International Development,2008,43(1):1-26.
[10]FLORINI A,LAI H,TAN Y.China Experiments:From Local Innovations to National Reform[M].Washington,DC:Brookings Institution Press,2012.
[11]MEI C,LIU Z.Experiment-based Policy Making or Conscious Policy Design?The Case of Urban Housing Reform in China[J].Policy Sciences,2013,47(3):321-337.
[12]刘军强,胡国鹏,李振.试点与实验:社会实验法及其对试点机制的启示[J].政治学研究,2018(4):103-116.
[13]TSAI W H,DEAN N.Experimentation under Hierarchy in Local Conditions:Cases of Political Reform in Guangdong and Sichuan,China[J].The China Quarterly,2014,218:339-358.
[14]ZHU X F,ZHAO H.Social Policy Diffusion from the Perspective of Intergovernmental Relations:An Empirical Study of the Urban Subsistence Allowance System in China(1993-1999)[J].Social Sciences in China,2018,39(1):78-97.
[15]周望.如何“由点到面”?---“试点-推广”的发生机制与过程模式[J].中国行政管理,2016(10):111-115.
[16]吴怡频,陆简.政策试点的结果差异研究---基于2000年至2012年中央推动型试点的实证分析[J].公共管理学报,2018(1):58-70.
[17]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.
[18]朱亚鹏,丁淑娟.政策属性与中国社会政策创新的扩散研究[J].社会学研究,2016(5):88-113.
[19]ZHU X.Mandate versus Championship:Vertical Government Intervention and Diffusion of Iinnovation in Public Services in Authoritarian China[J].Public Management Review,2014,16(1):117-139.
[20]SHIPAN C R,VOLDEN C.The Mechanisms of Policy Diffusion[J].American Journal of Political Science,2008,52(4):840-857.
[21]TOLBERT P S,ZUCKER L G.Institutional Sources of Change in the Formal Structure of Organizations:The Diffusion of Civil Service Reform,1880-1935[J].Administrative Science Quarterly,1983,28(1):22-39.
[22]WALKER R M.Internal and External Antecedents of Process Innovation:A Review and Extension[J].Public Management Review,2014,16(1):21-44.
[23]BERRY F S,BERRY W D.Tax Innovations in the States:Capitalizing on Policy Opportunity[J].American Journal of Political Science,1992,36(3):715-742.
[24]WALKER R M,AVELLANEDA C N,BERRY F S.Exploring the Diffusion of Innovation among High and Low Innovative Localities:A Test of the Berry and Berry Model[J].Public Management Review,2011,13(1):95-125.
[25]MINTROM M.Policy Entrepreneurs and the Diffusion of Innovation[J].American Journal of Political Science,1997,41(3):738-770.
[26]ZHU X,ZHANG Y.Political Mobility and Dynamic Diffusion of Innovation:The Spread of Municipal Pro-Business Administrative Reform in China[J].Journal of Public Administration Research&Theory,2016,26(3):535-551.
[27]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,2015,8(3):79-102.
[28]马亮.公共服务创新的扩散:中国城市公共自行车计划的实证分析[J].公共行政评论,2015,8(3):51-78.
[29]郭磊,周岩.企业年金参保和缴费的扩散研究[J].公共行政评论,2017,10(4):135-157.
[30]于文轩,许成委.中国智慧城市建设的技术理性与政治理性---基于147个城市的实证分析[J].公共管理学报,2016(4):127-138.
[31]周雪光,艾云.多重逻辑下的制度变迁:一个分析框架[J].中国社会科学,2010(4):132-150.
[32]MEYER J W,ROWAN B.Institutionalized Organizations:Formal Structure as Myth and Ceremony[J].American Journal of Sociology,1977,83(2):340-363.
[33]DIMAGGIO P J.Interest and Agency in Institutional Theory[J].Institutional Patterns&Organizations Culture&Environment,1988,1(2):3-22..
[34]汤姆·R.伯恩斯.经济与社会变迁的结构化:行动者、制度与环境[M].周长城,等译.北京:社会科学文献出版社,2010.
[35]HAN S K.Mimetic Isomorphism and Its Effect on the Audit Services Market[J].Social Forces,1994,73(2):637-664.
[36]DIMAGGIO P J,POWELL W W.The Iron Cage Revisited:Institutional Isomorphism and Collective Rationality in Organizational Fields[J].American Sociological Review,1983,48(2):147-160
[37]JENSEN J L.Policy Diffusion through Institutional Legitimation:State Lotteries[J].Journal of Public Administration Research and Theory,2003,13(4):521-541.
[38]NICHOLSON-CROTTY S.The Politics of Diffusion:Public Policy in the American States[J].Journal of Politics,2009,71(1):192-205.
[39]ALLEN M D,PETTUS C,HAIDER-MARKEL D P.Making the National Local:Specifying the Conditions for National Government Influence on State Policymaking[J].State Politics&Policy Quarterly,2004,4(3):318-344.
[40]李林倬.基层政府的文件治理---以县级政府为例[J].社会学研究,2013(4):101-128.
[41]KEARNEY R C,FELDMAN B M,SCAVO C P F.Reinventing Government:City Manager Attitudes and Actions[J].Public Administration Review,2000,60(6):535-548.
[42]杨良松.中国干部管理体制减少了地方政府教育支出吗?---来自省级官员的证据[J].公共管理学报,2013(2):41-51.
[43]赵慧.政策试点的试验机制:情境与策略[J].中国行政管理,2019(1):73-79.
[44]CHENERY H B,SYRQUIN M,ELKINTON H.Patterns of Development,1950-1970[M].New York:Oxford University Press,1975.
[45]LEE D S,LEMIEUXA T.Regression Discontinuity Designs in Economics[J].Journal of Economic Literature,2010,48(2):281-355.
(1)“智慧城市”作为城市的数字化、智能化管理方式经历了一个动态演进的过程,以2004年北京市东城区“城市网格化管理”为始点,逐步演进为“数字化城市管理”,再到2012年正式成为国家层面试点的“智慧城市”,其建设内容与实践不断丰富。
(1)所谓“数字化城市管理”,是综合运用遥感、遥测、网络、多媒体及虚拟仿真等技术对城市的基础设施、功能机制进行信息自动采集、动态监测管理和辅助决策服务的技术系统,再造城市管理流程,从而实现精细化管理的城市管理新模式。它作为“智慧城市试点”的前序政策试点而存在。
(2)对住建部发布的《数字化城市管理工作简报》中无法提取的样本城市,在百度搜索引擎中分别输入“城市名+数字化城管”或“城市名+网格化管理”或“城市名+数字化城管平台”等,对信息加以甄别,获取样本城市采纳创新的事件及其年份的信息。
(3)住建部办公厅[2007]42号函主要内容为,根据全国建设工作会议的工作部署和全国数字化城市管理工作会议要求,加快推进数字化城市管理试点工作。就工作目标而言,2005至2007年为试点工作阶段,2008年至2010年为全面推广阶段。
(1)2012年12月5日住房城乡建设部正式发布了“关于开展国家智慧城市试点工作的通知”,并印发了《国家智慧城市试点暂行管理办法》和《国家智慧城市(区、镇)试点指标体系(试行)》两个文件。
(1)限于篇幅,未列出半对数模型的统计结果,需要的读者请与作者联系索取。
(1)资料来源:http://news.163.com/14/0215/03/9L3IO3UQ00014AED.html。截止到2013年,采纳智慧城市政策的地级市已达230个,占我国地级市总数的81.9%。
[2]HEILMANN S,SHIH L,HOFEM A.National Planning and Local Technology Zones:Experimental Governance in China's Torch Program[J].The China Quarterly,2013,216:896-919.
[3]HEILMANN S.From Local Experiments to National Policy:The Origins of China's Distinctive Policy Process[J].China Journal,2008,59(59):1-30.
[4]CAI H,TREISMAN D.Did Government Decentralization Cause China's Economic Miracle[J].World Politics,2006,58(4):505-535.
[5]周望.政策试点是如何进行的?--对于试点一般过程的描述性分析[J].当代中国政治研究报告,2013:94-108.
[6]刘伟.政策试点:发生机制与内在逻辑---基于我国公共部门绩效管理政策的案例研究[J].中国行政管理,2015(5):113-119
[7]梅赐琪,汪笑男,廖露.政策试点的特征:基于《人民日报》1992-2003年试点报道的研究[J].公共行政评论,2015,8(3):8-24
[8]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.
[9]HEILMANN S.Policy Experimentation in China's Economic Rise[J].Studies in Comparative International Development,2008,43(1):1-26.
[10]FLORINI A,LAI H,TAN Y.China Experiments:From Local Innovations to National Reform[M].Washington,DC:Brookings Institution Press,2012.
[11]MEI C,LIU Z.Experiment-based Policy Making or Conscious Policy Design?The Case of Urban Housing Reform in China[J].Policy Sciences,2013,47(3):321-337.
[12]刘军强,胡国鹏,李振.试点与实验:社会实验法及其对试点机制的启示[J].政治学研究,2018(4):103-116.
[13]TSAI W H,DEAN N.Experimentation under Hierarchy in Local Conditions:Cases of Political Reform in Guangdong and Sichuan,China[J].The China Quarterly,2014,218:339-358.
[14]ZHU X F,ZHAO H.Social Policy Diffusion from the Perspective of Intergovernmental Relations:An Empirical Study of the Urban Subsistence Allowance System in China(1993-1999)[J].Social Sciences in China,2018,39(1):78-97.
[15]周望.如何“由点到面”?---“试点-推广”的发生机制与过程模式[J].中国行政管理,2016(10):111-115.
[16]吴怡频,陆简.政策试点的结果差异研究---基于2000年至2012年中央推动型试点的实证分析[J].公共管理学报,2018(1):58-70.
[17]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.
[18]朱亚鹏,丁淑娟.政策属性与中国社会政策创新的扩散研究[J].社会学研究,2016(5):88-113.
[19]ZHU X.Mandate versus Championship:Vertical Government Intervention and Diffusion of Iinnovation in Public Services in Authoritarian China[J].Public Management Review,2014,16(1):117-139.
[20]SHIPAN C R,VOLDEN C.The Mechanisms of Policy Diffusion[J].American Journal of Political Science,2008,52(4):840-857.
[21]TOLBERT P S,ZUCKER L G.Institutional Sources of Change in the Formal Structure of Organizations:The Diffusion of Civil Service Reform,1880-1935[J].Administrative Science Quarterly,1983,28(1):22-39.
[22]WALKER R M.Internal and External Antecedents of Process Innovation:A Review and Extension[J].Public Management Review,2014,16(1):21-44.
[23]BERRY F S,BERRY W D.Tax Innovations in the States:Capitalizing on Policy Opportunity[J].American Journal of Political Science,1992,36(3):715-742.
[24]WALKER R M,AVELLANEDA C N,BERRY F S.Exploring the Diffusion of Innovation among High and Low Innovative Localities:A Test of the Berry and Berry Model[J].Public Management Review,2011,13(1):95-125.
[25]MINTROM M.Policy Entrepreneurs and the Diffusion of Innovation[J].American Journal of Political Science,1997,41(3):738-770.
[26]ZHU X,ZHANG Y.Political Mobility and Dynamic Diffusion of Innovation:The Spread of Municipal Pro-Business Administrative Reform in China[J].Journal of Public Administration Research&Theory,2016,26(3):535-551.
[27]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,2015,8(3):79-102.
[28]马亮.公共服务创新的扩散:中国城市公共自行车计划的实证分析[J].公共行政评论,2015,8(3):51-78.
[29]郭磊,周岩.企业年金参保和缴费的扩散研究[J].公共行政评论,2017,10(4):135-157.
[30]于文轩,许成委.中国智慧城市建设的技术理性与政治理性---基于147个城市的实证分析[J].公共管理学报,2016(4):127-138.
[31]周雪光,艾云.多重逻辑下的制度变迁:一个分析框架[J].中国社会科学,2010(4):132-150.
[32]MEYER J W,ROWAN B.Institutionalized Organizations:Formal Structure as Myth and Ceremony[J].American Journal of Sociology,1977,83(2):340-363.
[33]DIMAGGIO P J.Interest and Agency in Institutional Theory[J].Institutional Patterns&Organizations Culture&Environment,1988,1(2):3-22..
[34]汤姆·R.伯恩斯.经济与社会变迁的结构化:行动者、制度与环境[M].周长城,等译.北京:社会科学文献出版社,2010.
[35]HAN S K.Mimetic Isomorphism and Its Effect on the Audit Services Market[J].Social Forces,1994,73(2):637-664.
[36]DIMAGGIO P J,POWELL W W.The Iron Cage Revisited:Institutional Isomorphism and Collective Rationality in Organizational Fields[J].American Sociological Review,1983,48(2):147-160
[37]JENSEN J L.Policy Diffusion through Institutional Legitimation:State Lotteries[J].Journal of Public Administration Research and Theory,2003,13(4):521-541.
[38]NICHOLSON-CROTTY S.The Politics of Diffusion:Public Policy in the American States[J].Journal of Politics,2009,71(1):192-205.
[39]ALLEN M D,PETTUS C,HAIDER-MARKEL D P.Making the National Local:Specifying the Conditions for National Government Influence on State Policymaking[J].State Politics&Policy Quarterly,2004,4(3):318-344.
[40]李林倬.基层政府的文件治理---以县级政府为例[J].社会学研究,2013(4):101-128.
[41]KEARNEY R C,FELDMAN B M,SCAVO C P F.Reinventing Government:City Manager Attitudes and Actions[J].Public Administration Review,2000,60(6):535-548.
[42]杨良松.中国干部管理体制减少了地方政府教育支出吗?---来自省级官员的证据[J].公共管理学报,2013(2):41-51.
[43]赵慧.政策试点的试验机制:情境与策略[J].中国行政管理,2019(1):73-79.
[44]CHENERY H B,SYRQUIN M,ELKINTON H.Patterns of Development,1950-1970[M].New York:Oxford University Press,1975.
[45]LEE D S,LEMIEUXA T.Regression Discontinuity Designs in Economics[J].Journal of Economic Literature,2010,48(2):281-355.
(1)“智慧城市”作为城市的数字化、智能化管理方式经历了一个动态演进的过程,以2004年北京市东城区“城市网格化管理”为始点,逐步演进为“数字化城市管理”,再到2012年正式成为国家层面试点的“智慧城市”,其建设内容与实践不断丰富。
(1)所谓“数字化城市管理”,是综合运用遥感、遥测、网络、多媒体及虚拟仿真等技术对城市的基础设施、功能机制进行信息自动采集、动态监测管理和辅助决策服务的技术系统,再造城市管理流程,从而实现精细化管理的城市管理新模式。它作为“智慧城市试点”的前序政策试点而存在。
(2)对住建部发布的《数字化城市管理工作简报》中无法提取的样本城市,在百度搜索引擎中分别输入“城市名+数字化城管”或“城市名+网格化管理”或“城市名+数字化城管平台”等,对信息加以甄别,获取样本城市采纳创新的事件及其年份的信息。
(3)住建部办公厅[2007]42号函主要内容为,根据全国建设工作会议的工作部署和全国数字化城市管理工作会议要求,加快推进数字化城市管理试点工作。就工作目标而言,2005至2007年为试点工作阶段,2008年至2010年为全面推广阶段。
(1)2012年12月5日住房城乡建设部正式发布了“关于开展国家智慧城市试点工作的通知”,并印发了《国家智慧城市试点暂行管理办法》和《国家智慧城市(区、镇)试点指标体系(试行)》两个文件。
(1)限于篇幅,未列出半对数模型的统计结果,需要的读者请与作者联系索取。
(1)资料来源:http://news.163.com/14/0215/03/9L3IO3UQ00014AED.html。截止到2013年,采纳智慧城市政策的地级市已达230个,占我国地级市总数的81.9%。