基层政策企业家如何实现政策的创新与制度化?——基于温岭参与式预算的改革实践分析  

How do Implementing Bureaucrats Realize the Innovation and Institutionalization of Local Policies?—Analysis Based on the Reform of Wenling Participatory Budgeting

作　　者：赵琦[1] Qi Zhao

机构地区：[1]北京大学政府管理学院

出　　处：《公共行政评论》2020年第3期152-171,199,共21页Journal of Public Administration

基　　金：国家社科基金重大项目“西方民主制度与国家治理困境研究”(20ZDA109);教育部人文社科重点研究基地重大项目“政府治理与市场监管改革研究”(17JJD810002)。

摘　　要：【问题】政策企业家对公共部门创新政策的提出、引进、转换和执行发挥重要作用。中国基层官员在推进政策创新与制度化过程中面临着怎样的激励与约束,其行动策略及结果如何?已有研究对政策企业家类型学分析不足。【方法】本文以温岭参与式预算改革实践为案例,采用文本分析与深入访谈的方法,识别并分析不同类型的政策企业家在政策创制与政策制度化两个环节的特质、策略及创新效果。【发现】不同层次人员存在角色差异:(1)一线政府工作人员可能充当项目冠军角色,创新政策设计,促使政策目标与实际情况结合。他们会借助专业和信息优势,设计方案,多方试点,并借助专家和媒体的力量落地创新。(2)中高层官员更可能充当过程中介的角色。他们会敏锐觉察制度空间,将创新方案与政治过程结合,并利用社会和政治资本,构建内部联盟和推动民众参与,实现创新制度化。【结论】基于中国多层级的政治体系,认为政治层级是区分基层官员企业家的重要依据。不同层级官员在政治权威、行动策略和政策影响等方面有所差异。对基层官员的分类与深入研究有助于细化对中国政策企业家及地方政策过程的理解。Motivation:Policy entrepreneurs play an important role in proposing,introducing,transforming,and implementing innovative policies in the public sector.What incentives and constraints do Chinese implementing bureaucrats face in promoting policy innovation and institutionalization?What are their action strategies and results?Existing studies were insufficient in analyzing the typology of policy entrepreneurs.Methodology:Through text analysis and in-depth interviews,the article took the reform of Wenling s participatory budgeting as an example to identify the street-level entrepreneurs in the process of policy innovation and institutionalization,and analyze their characteristics,strategies and innovation effects.Findings:Front-line public servants may play the role of project champion,influencing policy design,and promoting the combination of policy goals and actual conditions.They used professional and information advantages,as well as the power of experts and the media,to design schemes,and carry out multiple pilots.By contrast,middle and senior bureaucrats were more likely to play the role of process broker.They were keenly aware of the institutional space and integrated innovative solutions into the political process.Besides,they contributed social and political capital to build internal alliances and promote popular participation to achieve institutionalization of the innovation.Conclusion:Based on China s multi-level political system,the article argues that the political level can be an important basis for distinguishing street-level policy entrepreneurship.Implementing bureaucrats at different levels differ in terms of political authority,action strategy,and policy influence.The classification and in-depth study of implementing bureaucrats can promote the understanding of Chinese policy entrepreneurs and local policy process.

关 键 词：政策企业家 政策创制 政策制度化 项目冠军 过程中介 

分 类 号：D63[政治法律—政治学]