以文辅政:领导文书制定的运作机理  

Governance with Documents:The Operational Mechanisms of Drafting Leadership Documents

作　　者：谢振达 Zhenda Xie

机构地区：[1]复旦大学国际关系与公共事务学院

出　　处：《公共行政评论》2024年第5期161-178,200,共19页Journal of Public Administration

基　　金：国家社会科学基金重点项目“共建共治共享的社会治理制度运行机制及实践模式创新研究”(22AZD085)。

摘　　要：以文辅政,借由文书辅助主政者完成政治任务或行政工作,是当代中国政治的基本运作模式。论文主要研究领导文书的制定过程。领导文书发挥着层级沟通和权威传递的基本功能,既是主政者释放信号与工作动员的常规工具,又是其向上履职表态的常用载体,但其制定过程却没有得到学术界的充分关注。论文选取A区综合部门为案例研究对象,通过参与式观察、结构化访谈和非正式访谈等途径收集数据。研究发现,在制定机理上,区别于学界关注较多的公务文书,领导文书主要涉及“块”上的治理内容而非“条”上的流程节点;其制定过程是一项组织资源和组织职责高度不对等的行政工作,主要面临异质信息处理难题和跨部门协作困境。在运作机理上,文书通过对上级精神的遵从和对下级工作的指引部署,塑造政治认同并提升治理效率,促进了科层制的权威传递。文书本为上下级间的信息沟通载体,执笔者通过信息的选择性呈现、包装和模糊化,加剧了上下级间的信息不对称,从而制约了科层制的信息传递。Governance with documents,which assists policymakers in completing political and administrative work through written materials,is a fundamental operational mode in contemporary Chinese politics.This paper focuses on the drafting of grassroots leadership speech reports,which serve as essential tools for hierarchical communication and authority transmission.These documents are not only routine instruments for signaling intentions and mobilizing efforts but also common vehicles for demonstrating to higher level audiences the commitment of lower-level leaders to fulfilling their duties.However,this topic has not received sufficient attention from the academic community.A comprehensive department in District A was chosen as a case study,and data was collected through participatory observation,structured interviews,and informal interviews.Leadership documents,differing from the often-studied administrative documents,primarily involve governance content within "blocks" rather than procedural nodes within "lines."The drafting process is an administrative task characterized by a significant asymmetry in organizational resources and responsibilities.The challenges are in handling heterogeneous information and cross-departmental collaboration.For operational mechanisms,leadership documents reinforce compliance with higher-level directives and provide guidance for lower-level work,shaping ideological identification and enhancing governance efficiency.This is meant to promote the transmission of authority within the bureaucratic system.Although documents are intended to serve as communication carriers between different hierarchical levels,drafters use strategies to selectively present information,thereby exacerbating information asymmetry and constraining information communication within the bureaucratic system.

关 键 词：领导文书 科层制 领导意图 权威传递 信息沟通 

分 类 号：D63[政治法律—政治学]