【作者】 曹堂哲；

【导师】 张国庆；

【作者基本信息】 北京大学 ， 行政管理， 2008， 博士

【摘要】 纵观公共行政管理史,从古罗马的“行政奇迹”至今,“执行”(execution)问题一直都是古老而常新的话题。就学科而言,政治学、行政学、工商企业管理学、政治经济学等学科都从各自的视角关注和回应了这一问题,以至于我们陷入了执行理论的混乱“丛林”。就实践而论,无论是西方国家还是当代中国,都深受国家机关和公共行政机关不能完全、正确、有效地贯彻和落实国家目标和公共行政目标这一执行难题的困扰。就当代中国政府管理而言,当代中国政府执行难题在理论上滥觞于“哈耶克兰格论战”,在实践上则肇端于对“高度集权的苏联模式”的反思和毛泽东开始的对中国特色社会主义事业的探索。分权化改革可以看作是对计划经济体制下解决执行难题的战略回应。改革开放以来,中国通过“增量改革”逐渐改变了计划经济体制,初步建立了社会主义市场经济体制。在这一发展转型和渐进改革过程中,国家向社会、企业、市场和地方“放权让利”的速度超过了“国家制度建设”的速度,利益分化和多元利益主体之间的目标冲突和利益矛盾,使得多元主体难以协同指向公共利益,诸侯经济、各自为政、地方保护主义等现象丛生,导致了国家能力(国家贯彻政策的执行能力)的衰减。中国进入人均1000-3000美元这一现代化的十字路口之时,国家调整了发展战略,提出了科学发展的理念,但是科学发展理念与多元主体目标、利益和既定制度之间的矛盾并不能即刻化解,这些复杂的矛盾阻碍了新时期发展战略的执行,“十五”规划环境指标的落空、2003年开始的宏观调控政策执行乏力、“政令不出中南海”等等现象就充分暴露了长期以来形成的“放权”与“国家制度建设”之间的矛盾。本文基于上述历史、学科和实践的背景,聚焦于政府的公共行政执行问题。通过对古今中外的“执行”理论进行梳理,以及对中国政府公共管理过程中执行问题的观察,笔者认为:学术界对公共行政执行的研究存在两极化现象,即要么研究公共行政执行的宏观层面,要么研究公共行政执行的微观层面,这种两极化分析视角,必然造成全景观察和分析政府管理执行的某些缺失,影响关于政府执行的整体判断的合理性、可靠性。与此相联系,有必要寻求新的视角、采用新的方法、使用新的途径建构具有生命力的中层理论,用以回应世界范围内、特别是当代中国目前面临的公共行政执行问题。为此本文尝试性地提出了公共行政执行的中层理论。本文试图构建的公共行政执行的中层理论具有双重含义:第一重含义与社会学家默顿(R.B.Merton)提出的,用以区别宏观理论(grand theory)和微观(microcosmic theory)理论的中层理论(Theories of the Middle Range)含义一致。公共行政执行的中层理论区别于公共行政执行的宏观理论和微观理论;公共行政执行研究的宏观理论指的是在国家与社会关系的宏观分析框架下,研究整个国家制度实体贯彻和实施国家意志、实现国家目标的相关理论群簇。所谓的“宏观”指的是研究概念的抽象程度高、研究的视野宽、研究的范围涉及整个国家制度实体,而不仅仅局限于行政机关。公共行政执行研究的微观理论即对公共行政执行微观行为的研究,公共行政执行的微观行为指的是公共行政执行过程中可观察的变量及其变量之间的相互关系。这里的微观并非指政策范围的狭小、时间的短暂或者影响力微弱,而是与“可观察”“可测量”“可以经验”含义相同。换言之,公共行政执行的中层理论的聚焦点是公共行政机关,介于国家制度实体和具体微观行为之间。第二重含义是本文关注的重点。本文试图建构的公共行政执行的中层理论以批判实在主义(Critical Realism)认识论为基础,以“权力结构”、“协同机制”和“微观行为”为核心范畴,以回答公共行政执行的基本问题为宗旨、以连接公共行政执行的宏观理论和微观理论为功能,以解释西方国家和当代中国公共行政执行实践为运用、以提出当代中国政府执行力建设的战略路径为落点,试图采用新的途径和方法回应公共行政执行的理论和实践问题。以下分而述之。(一)理论的核心范畴和方法论基础:本文试图构建的公共行政执行的中层理论既不同于国内外已有的公共行政执行理论,也不是简单地“移植”其他学科的相关研究,比如:工商企业管理领域的“执行力”(Execution)研究、政策科学领域的政策执行(Policy Implementation)研究、政治学领域的国家能力(State Capacity)研究等等,而是从公共行政执行的特性出发,将公共行政执行定义为行政机关为了落实和实施国家意志、国家目标,依法贯彻法律、法规和公共政策的过程和诸活动的总称;将公共行政执行力(executive powers of public administration)定义为公共行政执行权力结构协同转换过程中所表现出来的合力。在此基础上本文提出了权力结构、协同机制和微观行为三个核心范畴,尝试性地建构了公共行政执行的中层理论。“权力结构和协同机制”属于批判实在主义(Critical Realism)所谓的真实层面(real),―微观行为‖则属于批判实在主义所谓的经验层面(empirical)和实际层面(actual)。(二)理论的逻辑关系:本文尝试建构的公共行政执行的中层理论的三个核心范畴是统一的整体,理论逻辑关系如下:第一,权力结构是这一理论框架的本体论维度。权力概念是政治学、政策科学和行政学分析的基盘(infrastructure)概念。本文将权力作为分析公共行政执行的本体论基础,在对古今中外经典权力理论流派进行梳理的基础上,提出了权力的整合性定义:权力就是意欲实现某种目标的多元利益主体之间,以利用资源而形成的资源转换能力为基础,从而在具有一定的主体间支配能力的条件下,通过交往而形成的一种非平衡性的相互作用和相互关系。意欲实现某种目标的多元主体既不断地生产动态的权力关系结构,同时又受到既定的权力关系结构的制约。这一定义体现了行动(agency)与结构(structure)之间的二重属性。进而,笔者通过“权力结构”的概念消解了“行动”和“结构”的两极紧张关系,使得权力分析进入权力结构的动态性转换这一逻辑环节。公共行政执行权力结构是公共行政执行权力构成要素组成的具有整体性、转换性(动态性和生成性)、自我调整性、规律性的因果机制体系。这种有规律的运行路径和运行程序本质上是权力要素之间的作用方式,即公共行政执行“机制”。这种机制是一种结构性的原因,外在地表现为可观察的经验世界变量之间的恒常联系。公共行政执行权力结构(Power Structure)由九个亚结构构成,即目标结构(Goal Structure)、价值结构(Value Structure)、利益结构(Interests Structure)、激励结构(Incentive Structure)、资源结构(Resource Structure)、制度结构(Rule Structure)、技术结构(Technology Structure)、交往结构(Communication Structure)和量化结构(Quantity Structure)。将这几个结构首字母合写,得出本文分析公共行政执行权力结构的GVIIRRTCQ模型。第二,协同机制是这一理论框架的方法论和认识论维度。协同机制(Synergy Mechanism)就是各个元素(主体)通过互动(冲突和合作),共同努力以实现既定目标或协定目标的过程、作用方式和程序。公共行政执行权力结构的特殊性在于这种结构具有趋于目的的属性,即公共行政执行权力结构会围绕公共意志(既定目的或协同目的)进行结构转换。公共行政执行力实质上是一种协同作用表现出来的合力,本质上是一种“协同执行力”。为此笔者将协同理论群簇的协同思想引入,用以认识和分析公共行政执行权力结构的动态性转换。从协同理论的三个途径(系统途径、网络途径和制度主义途径)认识和分析公共行政执行权力结构的协同机制。这些机制可以概括为:公共行政执行的生态协同机制(Ecology Synergy)、政治与行政协同机制(Politics-Administration Synergy)、决策—执行—监督协同机制(Decision-Agency-Supervise Synergy)、职能——结构协同机制(Function-Structure Synergy)、部际协同机制(Inter-Agency Synergy)、府际协同机制(Inter-governmental Synergy)和嵌入性协同机制(Embed Synergy)。将这几个协同机制的首字母合写,得出了本文分析公共行政执行协同机制的EPDFIIE模型。第三,微观行为是这一理论框架的现象维度。这里的“微观”并非指政策范围的狭小、时间的短暂或者影响力微弱,而是与“可观察”、“可测量”和“可以经验”含义相同。公共行政执行力的微观行为就是公共行政执行过程中可观察的变量及其变量之间的相互关系。西方的政策执行(Policy Implementation)研究主要就是一种行为主义方法论指导下的微观行为研究。权力结构和协同机制揭示了微观行为的作用方式和作用机理,而微观行为则是权力结构和协同机制的外在表现。总而言之,本文进行中层理论建构的时候,遵循了本体论、认识论、方法论和现象论统一的原则。(三)理论的宗旨和功能:公共行政执行研究的核心在于解释和阐明“执行结果为何会偏离既定的或协定的公共目标”这一基本问题。本文将公共行政执行过程看作是公共执行权力结构协同转换的过程,从权力结构和协同机制的角度回答了公共行政执行的基本问题。本文尝试建构的中层理论可以很好地连接公共行政执行的宏观层面和微观层面。权力结构的概念是连接公共行政执行的宏观层面和中观层面的纽带。批判实在主义(Critical Realism)认识论,则是中观层面和微观行为过渡的桥梁。(四)理论的运用:本文运用公共行政执行的中层理论,围绕公共行政执行权力结构的GVIIRRTCQ模型和公共行政执行协同机制的EPDFIIE模型,对英国、美国和日本20世纪后半期以来,通过行政改革优化政府执行权力结构和协同机制以提升执行力的理念、理论、制度安排和措施进行了新的阐释。(五)理论的落点:本文运用公共行政执行的中层理论审视了当代中国政府执行问题,并提出了解决这些问题的战略路径。本文在权力结构的协同性转化机制的理论基础上提出了分析当代中国公共行政执行的类型学概念。为了进一步阐释这一类型学概念,本文选取了2003-2007年房地产宏观调控政策执行作为案例,对其进行了理论分析,总结归纳了当代中国政府执行力建设所面临的核心问题和改革战略:即执行权力结构的失衡和执行协同的失效是导致中国政府执行问题的根本原因,因此重塑公共行政执行权力结构和协同机制是中国政府执行力建设的基本战略路径。更多还原

【Abstract】 According to Chinese and Western academic research,"execution" research and "execution of public administration" theoretical research were in chaos and "jungle" state.What was the most important,there was not a Middle-Range Theory to response many complaints which were proposed in the construction practice of contemporary Chinese government execution powers.Therefore,the paper firstly proposed the Middle-Range Theory which was used to research public administration execution.The signification of the theory was dual: on the one hand,its signification was the same to that of sociologist R.B.Merton’s Theories of the Middle Range.The theory was different from grand theory and microcosmic theory which were researched by public administration execution.The second signification was on the basis of Critical Realism epistemology.The power structure and synergy mechanism in the theory belonged to the so-called real level of Critical Realism while microcosmic behavior belonged to so-called empirical level and actual level.The Middle-Range Theory explored mechanism while microcosmic theory(policy implementation research area)explored experienced and observable microcosmic behavior association between variables.The Middle-Range Theory was not only different from the available public administration execution theory both home and abroad,but also not simply transplanted related study for other disciplines,for instance,execution ability study in business field,policy implementation research in policy science field,state capacity study in politics field and so on.The paper took the road of inherent nature of public administration public administration execution,public administration execution was defined as generic terms that administration aimed at carrying out national will and national goal as well as the course and activities carrying out laws,regulations and public policy according to law.Executive power of public administration was defined as the resultant force showing in the synergy conversion process of public administration execution power,it was result or validity.Therefore, the author established Middle-Range Theory for public administration execution by using power structure,synergy mechanism and microcosmic behavior three core categories.Public administration execution Middle-Range Theory proposed in the paper possessed unique ideas: firstly,power structure was the ontological dimensionality of the Middle-Range Theory frame.Power concept was the infrastructure concept which was analyzed by politics,policy science and administration.The paper took power as the ontological foundation for analyzing public administration execution.Power conformability definition was proposed on the basis of arranging classical power theory schools in ancient and modern times both home and abroad.The definition incarnated the duality of agency and structure.Furthermore,the author solved the double-pole strained relations of "agency" and "structure" with "power structure" concept,and made the right analysis enter into logical link dynamic transition for power structure.Public administration execution power was the cause-and-effect mechanism system possessing integrity,convertibility(dynamic characteristic and formation characteristic),self-adjustment characteristic and regularity which were composed of public administration enforcement power elements.Such regular operating path and operating procedure were action mode of right elements essentially;it was public administration execution "mechanism ".Such mechanism was a kind of structural reason.It behaved as constant contact among observable empirical world variables.Public administration execution power structure was composed of nine substructures;they were Goal Structure,Value Structure,Interests Structure,Incentive Structure,Resource Structure,Rule Structure,Technology Structure,Communication Structure and Quantity Structure.Write the initial letter of these structures together could get the GVIIRRTCQ frame which analyzed public administration execution power structure.Secondly,Synergy Mechanism was methodology and epistemology dimensionality of the Middle-Range Theory.Synergy mechanism was process,action mode and procedure that various elements(main body)jointly achieved arranged goal or convention goal through mutual action(collision and cooperation).The author introduced into synergy thinking of synergy theory group variety cognizing and analyzing dynamic transition of public administration execution power structure.The synergy mechanism of public administration execution power was cognized and analyzed from three approaches: system approach,network approach and institutionalism approach.These mechanisms could be generalized as: public administration execution Ecology Synergy,Politics-Administration Synergy,Decision-Agency-Supervision Synergy,Function-Structure(Institution)Synergy,Inter-agency Synergy,Inter-governmentalSynergy and Embedded Synergy.Write the initial letter of these synergy mechanisms together could get the EPDFIIE model which analyzed public administration execution synergy structure.Thirdly,microcosmic behavior was phenomenal dimensionality of the Middle-Range Theory.Here,microcosmic not indicated narrow policy coverage,transient time or weak influence.It was the same to signification of "observable"," measurable " and "empirical".The Western policy implementation research was mainly microcosmic behavior study under the guidance a kind of behaviorist methodology.The microcosmic behavior for public administration execution power was correlation of observable variables and its variables in public administration implementation procedures.According to critical realism epistemology,power structure and synergy mechanism revealed action mode and action mechanism of microcosmic behavior while microcosmic behavior was external expression of power structure and synergy mechanism.In a word,the Middle-Range Theory construction of the paper conformed to uniform principle of ontology,epistemology and methodology.The paper proposed public administration execution Middle-Range Theory possessed unique function.Firstly,basic questions for public administration execution were answered from power structure and synergy mechanism.Public administration implementation procedure was a purposive process.The core of public administration execution research consisted in interpreting and illustrating the basic problem why implementation result deviated from fixed or concerted common goal.The author considered that public administration implementation procedure was process of public execution power structure synergy conversion.Basic questions for public administration execution were answered from power structure and synergy mechanism.Secondly,the established Middle-Range Theory of the paper could commendably joint macrocosmic level and microcosmic level of public administration execution.In the paper,power structure concept was the logical link which connected macrocosmic level and microcosmic level of public administration execution.Power structure hierarchical characteristic and integrity made macrocosmic national and social power structure connect with public administration execution power structure.Critical realism methodology provided for transitional bridge from macrocosmic level power structure synergy conversion mechanism to microcosmic behavior.In general,the established Middle-Range Theory for public administration execution power structure synergy conversion of the paper was a kind of mechanism analyzing theory;it was also a medium theory connecting macrocosmic proposition and microcosmic behavior.The paper used Middle-Range Theory analytical framework of public administration execution illustrating that UK,USA and Japan promoted execution power philosophy,theory,system arrangement and measures through administrative reform optimizing government execution power structure and synergy mechanism in the latter half of 20 th Century.The illustrations for measures were taken for promoting UK,USA and Japan government execution power centered for public administration execution power GVIIRRTCQ model and public administration execution synergy mechanism EPDFIIE model;the two models provided frame for public administration execution comparative research.The paper surveyed contemporary Chinese government execution problems by using public administration execution Middle-Range Theory and proposed strategical approaches for solving these problems.The paper proposed public administration execution typology concept analyzing contemporary Chinese government execution on theoretical basis of power structure synergy conversion mechanism(especially on the basis of function and structure synergy mechanism theory).So as to further illustrate typology concept,the paper took execution for 2003-2007 real estate macroeconomic control policy as cases.Theoretical analysis was carried out for the policy,core problems and reform strategies for contemporary Chinese government execution power construction were summarized.Power structure unbalance in execution and invalidation of execution synergy were the primary cause which resulted in Chinese government execution problems.Therefore,reshaping public administration execution power structure and synergy mechanism were basic strategical approach for Chinese government execution power construction.更多还原