激励与约束并举:中国改革过程中的中央主导型创新——基于两个典型案例的分析  

Combining Incentives and Constraints:Central-Led Innovation in China's Reform Process--An Analysis Based on Two Typical Cases

作　　者：王猛[1] WANG Meng(College of State Governance,Southwest University,Chongqing,400715,China)

机构地区：[1]西南大学国家治理学院,重庆400715

出　　处：《行政论坛》2025年第1期54-65,共12页Administrative Tribune

基　　金：国家社会科学基金青年项目“规划治理中地方政府行为差异的内在机理及调适路径研究”(21CGL039)。

摘　　要：以地方创新推动全国改革是中国制度转型的典型特征。在非对称分权的央地结构下,基于创新激励与风险约束提出的政策创新“激励-约束”框架,既可以描摹中央对地方创新呈现出的双重特征,又可以解释中央主导型创新的运作逻辑。对家庭联产承包责任制和扩大企业自主权改革的案例分析表明,在地方政策创新和改革探索中,中央通过激励与约束并举形成了中央主导型创新的形态。无论是默许自主型,还是授权试点型,中央既给予地方充分的创新激励与政策支持,也通过范围控制和结果评价等方式来管控风险。中央对地方创新的激励与约束是通过领导认可、指定试点、资源倾斜、吸纳推广等激励机制与人事管理、政策干预、评估裁决、思想教育等约束机制共同实现的。因此,中央主导型创新实现了推进改革进程与维持发展稳定的平衡与结合。Promoting national reform through local innovation is a typical feature of China's institutional transformation.Under the asymmetric decentralized central-local structure,the"incentive-constraint"framework for policy innovation,based on incentive support and risk constraints,not only illustrates the dual features of the central government's influence on local innovation but also explains the operational logic of central-led innovation.The case analysis of the reform of the household contract responsibility system and the expansion of enterprise autonomy demonstrates that in local policy innovation and reform exploration,the central government has formed a central-led innovation model by combining incentives and constraints.Whether it is acquiescence-autonomy or authorization-pilot type,the central government has provided sufficient innovat ion incentives and policy support to local governments,while managing risks through scope control and outcome evaluation.The central government's combination of incentives and constraints for local innovation is achieved through incentive mechanisms such as leadership recognition,pilot designation,resource allocation,and absorption-promotion,alongside constraint mechanisms such as personnel management,policy intervention,evaluation and adjudication,and ideological education.As a result,the central-led innovation has achieved a balanced combination of advancing the reform process while maintaining development stability.

关 键 词：央地结构 制度变迁 政策创新 中央主导型创新 地方创新 “激励-约束” 

分 类 号：D63-31[政治法律—政治学] D6[政治法律—中外政治制度]