【作者】 刘磊；

【导师】 吴理财；

【作者基本信息】 华中师范大学 ， 政治学理论， 2019， 博士

【摘要】 当前对于地方政府创新的研究主要聚焦在创新的“重要性”、“正当性”、“稳定性”和“发展性”上,而缺少对创新持续行为的一系列变化过程的考察,而本文认为地方政府的“创新”行为不仅十分重要,而且创新的“可持续性”也同等重要。根据对中部地区五省16个地方政府创新获奖项目的实践跟踪调查发现,很多地方政府创新项目不仅在发起地起着有效的社会治理效果,而且还具有强持续性并不断扩散到其他地方,呈现出“深化发展”的样态;也有些地方政府创新项目不温不火的继续存在着,因较弱的持续性却并没有在更大范围得到扩散,呈现出“原地踏步”的样态;但也有不少地方政府创新项目不但不具有可持续性,甚至在始创地表现为逐渐衰落,名存实亡和完全消失,呈现出“动力衰竭”的样态。为什么曾经获奖的地方政府创新项目的命运会产生如此的差异,其可持续性呈现出不同的样态?如何有效的推动地方政府创新的可持续发展?这是本文着力要解决的问题。本文试图将地方政府创新可持续性的样态放置在“国家—社会”框架下来进行考察分析,通过将理想中的“国家”进一步分解为“制度”和“政府”实践面向的操作化“国家”,建构出了“政府—制度—社会”的分析框架,以此来深入解析地方政府创新样态中的“深化发展”、“原地踏步”和“动力衰竭”的发生机理、机制及其原因,进而来理出地方政府创新可持续性的理论、关系及其机制。通过对地方政府创新可持续性样态的分析发现:其一,创新之所以“深化发展”,“嵌入型政府”是行动动因,这种“嵌入”包括将国家话语嵌入到创新的理念中以及以组织的方式嵌入到社会之中;“制度再优化”是重要的制度实践机制,它是以“制度性保障”中的配套改革和监督机制以及“制度性改进”中的制度调适和制度应变机制来弥补既有制度空间的不足;“反嵌式社会”表明了社会对创新发展的反嵌能力,包括“主动反嵌”和“被动反嵌”,正是因为社会的反嵌行动才进一步影响到了地方政府的创新行动以及既有制度改善的空间。其二,创新之所以“原地踏步”,“动员型政府”是创新持续的主因,它是一种行政动员、社会动员以及基层动员的权力推动,但是因为“动员”本身的间断性、保守性和强制性的缺陷危及到了创新的深入发展;“制度性逃避”是创新不能深入发展的根本原因,地方政府对既有制度的坚持保证了创新的继续存在,却因为制度上的顺从和保守性而未能在社会环境变化中进行及时转换导致制度创新不连续;“依附性社会”是创新不能深入发展的客观原因,因为社会对地方政府的行政、资源和机会等的“依附”,因而只能跟从地方政府的创新行动步伐。其三,创新之所以“动力衰竭”,“脱耦型政府”使得创新丧失了行动和组织的基础,正因为地方政府内部的“脱耦”,故而导致地方政府与社会的“失联”;“制度化困境”导致创新根本没有有效的制度性保障,一方面是制度生成困境,另一方面则是制度执行困境;“脱嵌化社会”因为社会本身“脱嵌”于传统的社会结构和既有体系,而又未能融入到现代化的治理结构中,导致社会远离于国家(政府和制度)的行动和制度体系,更遑论社会的反嵌力和参与性。进一步地,在结合创新样态的经验事实和哈耶克的二元秩序观理论的基础上,首先,提出了“社会中的创新”,即创新的行动、政策和制度与社会环境和社会结构体系相对接并逐步融合,以此实现协调发展的创新持续过程,它包含了“创新缘于社会”、“吸纳社会力量”、“治理规则的转换”和“创新嵌入社会结构和体系”层层递进的四层含义,呈现为“内生于社会”和“社会嵌入”两个基本特征。其次,在关系层面,从既有的理论出发,探讨了创新中三种典型样态所呈现的国家(政府和制度)与社会的关系,以此透视“社会中的创新”的真实性,其中,“深化发展”中呈现为“互嵌式”关系;“原地踏步”中呈现为“吸纳与依附”关系;“动力衰竭”中呈现为“离散性”关系。最后,在机制分析上,以创新样态的经验事实为借鉴前提、以既有的理论和关系为基础,建构了“社会中的创新”的可持续性机制,认为:政府的维度,需要建构政府行动机制,包括主体动力机制、组织文化机制以及社会融吸机制;制度的维度,要考虑到既有制度的社会实践性,因而需要建构宏观与实践相联结的“上下衔接”机制以及制度实践中的局部优化机制;社会的维度,要考虑到社会对创新的反馈作用,也就是社会本身的主体作用,包括社会参与机制和舆论监督机制。更多还原

【Abstract】 The research of local government innovation mainly focuses on the "importance","legitimacy","stability","developmental",but lack of investigation into a series of changes in innovation sustainability.This paper argues that local government’s"innovation" behavior is not only very important,but also the sustainable development of innovation is equally important.A follow-up survey of 16 local government innovation award-winning projects in five provinces in central China,many local government innovation projects not only play an effective role in social governance in the place of origin,but also have a strong sustainability and continue to spread to other places,which showing a "deep development" pattern.Some local government innovation projects continue to exist in a tepid manner,because the weaker sustainability has not been spread in a wider range,which showing a "march on the spot" pattern.However,many local government innovation projects are not sustainable,even shows a gradual decline,the existence and disappearance of the name in the initial stage,which showing a "power exhaustion" pattern.Why did the fate of the award-winning local government innovation projects differ so much and their sustainability take on different forms?How to effectively promote the sustainable development of local government innovation?This is the problem that to be solved in this paper.This paper attempts to place the sustainability of local government innovation in the framework of "country-society" for investigation and analysis.This paper constructs an analytical framework of "government-system-society" by further decomposing the ideal"country" into "system" and "government" practice-oriented operational "country".So we can deeply analyze the mechanism,mechanism and reasons of "deep development","march on the spot" and "power exhaustion" in the innovation mode of local government,and then work out the theory,relationship and mechanism of innovation sustainability of local government.Through the analysis of the sustainability of local government innovation,we find that:Firstly,the reason why innovation "deep development".the "embedded government" is the driving force for the further development of innovation,which includes embedding the national discourse into the concept of innovation and embedding it into society in an organizational way."system re-optimization" is an important system practice mechanism in innovation and sustainable development,which makes up for the deficiency of existing system space by supporting reform and supervision mechanism in"system guarantee" and system adjustment and system response mechanism in "system improvement"."anti-embedded society" shows the anti-embedded ability of society to innovative development,which including "active anti-embedded" and "passive anti-embedded".It is the anti-embedded action of society that further affects the innovation action of local governments and the space for improvement of existing systems.Secondly,the reason why innovation is "march on the spot"."mobilization government" is the main reason for the sustainability of innovation,which is a kind of power promotion of administrative mobilization,social mobilization and grass-roots mobilization.However,the discontinuity,conservatism and mandatory defects of"mobilization" itself endanger the further development of innovation."institutional evasion" is the fundamental reason why innovation can not develop in depth.Local governments adherence to the existing system guarantees the continued existence of innovation.However,the institutional innovation is discontinuous due to the compliance and conservatism of the system and the failure of timely transformation in the changing social environment."dependent society" is the objective reason why innovation can not develop in depth.Because the "dependence" of society on local government’s administration,resources and opportunities that can only follow the pace of local government’s innovative action,while "dependence" means that the anti-embedding ability of society is not high and because of the self-interest development tendency.As a result,the influence of society on local government’s innovation is limited.Thirdly,the reason why innovation is "power exhaustion".Further,this paper first puts forward "innovation in society" on the basis of combining the empirical facts of innovation pattern and Hayek’s theory of dualistic order,that is,the action,policy and system of innovation are connected with and gradually integrated with the social environment and social structure system,so as to realize the sustainable innovation process of coordinated development.They includes the four layers of "innovation is due to society","absorbing social forces","transformation of governance rules" and "innovation embedded into social structure and system" and present in two levels:"endogenous to society" and "social embedding".Secondly,On the relationship level,in order to perspective the authenticity of "innovation in society",this paper explores the relationship between the country(government and system)and society in three typical forms of innovation which starting from the existing theories.Among them,"deep development" presents as "inter-embedded" relationship,which shows as"country embeddedness" and "social anti-Embeddedness" relational form,"march on the spot" presents as "absorption and dependence" relationship,which shows as "political absorption" and "social dependence" relational form,and "power exhaustion" presents as"discrete" relationship,which shows as "country separation" and "social de-embeddedness" relational form.Finally,in the analysis of mechanism,the sustainable mechanism of "innovation in society" is constructed on the basis of the experience and facts of innovation and the existing theories and relations.It holds that the government’s dimension requires the construction of government action mechanism,which including the main motive force mechanism,the organizational culture mechanism and the social assimilation mechanism.The dimension of the system should take into account the social practicality of the existing system.Therefore,it is necessary to construct the mechanism of "up-down linking" between macro and practice and the local optimization mechanism in the actual system.In the dimension of society,we should take into account the feedback of society to innovation,that is,the main role of society itself,which including the mechanism of social participation and the mechanism of public opinion supervision.更多还原