制度变迁的回退效应和防退机制:一个环境领域的跨案例分析  

Reversion Effects and Anti- reversion Mechanisms of Institutional change:A Cross-Case Analysis in the Environmental Field

作　　者：杨立华[1] 申鹏云[1] 

机构地区：[1]北京航空航天大学公共管理学院

出　　处：《公共行政评论》2015年第1期53-80,199,共28页Journal of Public Administration

基　　金：国家自然科学基金"基于复杂系统观的北方草原区多元协作性治理绩效评价及其改进对策研究"(71373016);国家自然科学基金"PIA框架下科学技术对北方沙漠化治理制度变迁作用模型的实证研究"(71073008);国家社会科学基金重大项目"环境污染群体性事件及其处置机制研究"(14ZDB143);北京市社科规划项目"北京市大气污染多元协作治理机制研究"(14JGB039);中央高校基本科研业务专项资金项目(YWF-14-RWXY-014)

摘　　要：为什么新制度在施行一段时间之后经常会产生退回原初状态的现象,怎样才能有效防止有利的制度变迁产生回退效应,这是制度变迁和改革中经常遇到的难题。研究这些问题不仅是推动制度变迁理论发展的需要,也对优化现实的制度改革和变迁至关重要。论文在控制有效性的方便抽样基础上,选取了21个不同地点、领域及层级的案例,运用跨案件聚类分析的方法,探讨了制度变迁的回退效应和防退机制。研究发现,引起制度变迁回退效应的六个主要影响因子是:1制度供给主体意志折返;2显著反方向利益群体介入;3组合性制度缺乏;4制度变迁目标失衡;5旧制度惯性冲突;6非正式约束的嵌入强度低。同时发现,有效的制度变迁防退机制应满足六个基本的制度设计原则:1制度供给意志主体持续前进;2多元主体参与与制衡;3构建组合式制度体系;4供给目标影响因素协调整合;5实行渐进式变迁;6加强非正式约束的引导作用。这些发现不仅对制度变迁理论的发展而且对现实制度设计、改革和变迁具有指导意义和参考价值。Why institutional change tends to reverse to the original state after a certain period and how to build a mechanism to prevent it from happening again have become the conundrums to cope with in the field of institutional change and reform. Studying these two problems is useful not only for developing the theories of institutional change but also for improving current reforms of institutional change. Based on a convenience sampling by controlled validity and a cross- area cluster analysis method,the study selected 21 cases from different areas,fields and hierarchical levels to explore the reversion effect and anti- reversion mechanism of institutional change. First,the study found six key factors leading to reversion effect of institutional change:1reversions of the willingness and persistence of institutional suppliers,2 interventions from the distinct opposite interests group,3 lack of compound and auxiliary institutions,4disequilibria of various goals of institutional change,5 inertial confinements and collisions from old institution,and 6 insufficient support by embedded informal institutions. Meanwhile,the study found six fundamental design principles for effective anti- reversion mechanisms of institutional change:1 strong willingness and long-term persistence of institutional suppliers;2multi- actor participation and checks and balances;3 building compound and auxiliary institutional systems;4 integration and coordination of factors influencing the goals of institutional change;5 gradual and incremental institutional change;and 6 sufficient and effective support by embedded informal institutions. These findings are of significant guidance and reference value not only for the development of the theories of institutional change but also for practical institutional designs,reforms,and changes.

关 键 词：制度变迁 回退效应 防退机制 环境治理 案例研究 设计原则 

分 类 号：X32[环境科学与工程—环境工程] D630[政治法律—政治学]