负外部性如何塑造地方政府的政策行为?——以适老化改造中加装电梯政策为例  

How Negative Externalities Shape the Policy of Local Governments:A Case of the Elevator Installation Policy for Ageing Populations inOld Residential Compounds

作　　者：朱春奎[1,2,3] 吴昭洋 Zhu Chunkui;Wu Zhaoyang

机构地区：[1]复旦大学国际关系与公共事务学院 [2]复旦大学上海市科技创新与公共管理研究中心 [3]复旦大学上海机关事务研究中心

出　　处：《云南行政学院学报》2024年第5期108-122,F0002,共16页The Journal of Yunnan Administration College

基　　金：国家社科基金重大项目“中国基本公共服务供给侧改革与获得感提升研究”(16ZDA081)。

摘　　要：负外部性问题是基层社会治理的关键所在。基于全国114个城市的207份加装电梯政策文件,对地方政府应对负外部性的两种政策取向及其政策转换行为进行了动态识别,分析了两种政策取向所对应的负外部性治理方式及其内生的社会治理困境。研究表明:负外部性问题内嵌于地方政府的政策行为,表现为首次政策出台和后续政策修订中有关政策取向的差异化选择和跨期变动。具体地,68.42%的样本城市以“严格”的政策取向初次设定加装电梯政策,但随着政策取向的调整,最终选择“放松”的政策取向的城市占比达71.05%;50个样本城市的政策取向发生了由“严格”向“放松”的转变,其根源并非“自上而下”的层级任务压力,而是前期政策实践为地方政府认识负外部性所带来的潜在风险规模提供了有效信息,使其对潜在冲突风险的控制力得到增强。在推动解决老旧小区加装电梯难题的社会治理实践中,应对负外部性要依靠政策规制,但不能过度依赖政策规制,提升负外部性治理能力需要在风险预判、协同推进正负外部性活动以及靶向社区双重再造等方面重点发力。The negative externality is the key to grass-roots governance.Based on 207 documents on the Elevator Installation Policy from 114 cities across China,this paper dynamically identifies the two policy orientations of local governments and their policy shifts in dealing with negative externalities.Then it analyzes the approaches of governance corresponding to the two policy orientations and the inherent social governance dilemmas.Results show that negative externality is embedded in the policies of local governments,manifested as differentiated choices and inter-temporal changes of policy orientations in the introduction of the first policy and the subsequent policy revision.Specifically,68.42%of the sample cities initially launched the policy"strictly",while the proportion of cities that ultimately choosing a“loose”policy reached 71.05%after the adjustment of policy orientation.Besides,50 cities shifted from“strict”to“loose”and the root cause is not the“top-down”hierarchical task pressure,but the previous policy practice that provides effective information for local governments to recognize the potential scale of risks brought by negative externalities,thereby enhancing their control over potential conflicts risks.In promoting the social governance practice of solving the problem of elevator installation in old residential compounds,dealing with negative externalities should not overly rely on policy regulation.Enhancing the governance capacity in tackling negative externalities requires focusing on risk predictions,simultaneous promotion of activities that generate positive and negative externalities and dual regeneration of communities.

关 键 词：负外部性问题 社会治理 政策行为 老旧小区加装电梯政策 

分 类 号：C934[经济管理—管理学]