【作者】 魏然；

【导师】 翟学伟；

【作者基本信息】 南京大学 ， 社会学， 2018， 博士

【副题名】以监狱系统的“罪犯危险性评估”试点项目为例

【摘要】 试点制作为目前中国治理模式中独具特色的一种基础性治理制度在改革开放的进程中一直被广泛应用。尽管这是一个学术研究热点,但受限于有关中国政府行为的实证资料难以获取、相关理论研究较为匮乏等条件,既有的研究成果多为脱离微观的试点实践场域、着眼于探讨宏观制度得失的“结果分析”,而非真正能够做出机制性阐释的“过程分析”。因而,本研究试图从组织社会学的角度去尝试解答“试点制到底是如何运作的?”这一核心问题。通过对A省监狱系统的“罪犯危险性评估”试点项目这一个案的追踪性调查,详细揭示了一个发生于官僚组织体系内部的试点项目是如何从基层实践经验逐步上升为国家认可的制度创新模式、并最终得以推广的。本文提出了一个以“包装”概念为核心、包含“拆包、弃包、换包”等一系列对应概念的理论分析框架。其中,“包装”意指官僚组织体系在试点过程中所采取的一种特有的组织行为,即一个“点”上的成功实践经验是需要通过某种技术化加工才能得以提炼为理想化创新模式的。该概念从中性意义上揭示了国家治理制度背景之下官僚科层化组织对于试点项目的权力控制与主导作用,其细分的两种类别“绩效式包装”和“声望式包装”分别从作为试点推动者的中间政府部门以及作为试点实施者的基层部门两个层面进行剖析,这二者共同型构了“包装”的加工机制。而作为延伸概念,“拆包”、“弃包”与“换包”则与上述机制相对,它们分别阐释了处于多重制度逻辑之下的不同组织行动主体即底层的试点实施者及执行试点推广命令的非试点单位,是如何以日常实践方式为依托采取各种应对举措的,其组织行为逻辑呈现了试点制在“落地生根”时所面临的复杂实践场域。总之,该分析框架不仅从历时性角度解析了试点制从选点、立项、实施再到推广的完整运行机制,而且从共时性角度揭示出了试点科层化所包含的不同组织行为主体之间的交互作用,因而有助于我们深入了解这一治理制度的内在机理。最后,本研究认为,试点制作为一种根源于国家治理制度逻辑的渐进式改革方式,其内在的“包装”机制虽然有助于国家权力对政策制定及执行过程的控制与主导,却也容易因科层化自身的问题而引发性质上的改变、造成对试点创新效应的消解。尤其是在以官僚科层组织为载体的公共行政领域,试点改革的影响尚且具有辩证性。但归根结底,这种治理制度仍然在缓慢而深刻地变革着局部的国家治理进程。更多还原

【Abstract】 Pilot institution(shidian zhi)as a kind of basic governance system has been widely used in the process of reform and opening-up in China.Although this is an academic focus,while limited by empirical materials on Chinese government difficult to be obtained and absent theory researches,many existing researches were mostly "results analysis" which was divorced from the micro pilot field and focused on the discussion of macro system rather than "process analysis" that can make a real mechanical interpretation.Therefore,this study attempts to answer the core issue of "how does the pilot institution work?" from the perspective of organizational sociology.Based on the longitudinal investigation of a pilot project case named of "criminal risk assessment" from prison system in A Province,this study revealed how does a pilot project occurred in bureaucratic organization system develop from the experience in the practice gradually into national recognized model of system innovation,and ultimately diffused.This paper puts forward a theoretical analysis framework which takes the concept of"packing"(baozhuang)as the core and contains a series of corresponding concepts,such as"unpacking(chaibao),discarding package(qibao)and replacing package(huanbao)".Among them,"packaging" refers to a specific organization behavior adopted by the bureaucratic organization system in the pilot process,that is,successful practical experience on a "point" can be refined into an idealized innovation model through some technical processing.This concept implies the power control and leading role of bureaucracy in the background of national governance system for pilot projects.Furthermore,the two subdivided categories of"performance packaging" and "prestige packaging" are respectively analyzed from two levels:the middle governments as pilot diffusers and the grassroots departments as pilot implementers,which both constitute the processing mechanism of "packaging".As extended concepts,"unpacking,discarding package and replacing package" are relative to the above mechanism,which respectively illustrates how different organization subjects including the underlying pilot executors and non-pilot units carrying out pilot diffusing orders take various measures for response according to the daily practice under multiple logical institution environment.The logic of organizational behavior presents the complex field of practice faced by the pilot institution when it "takes root".In all,this analysis framework is not only from a diachronic perspective illustrating the integrity of the operation mechanism from choose of "point",formulation and implementation to diffuse,but also reveals from a synchronic perspective the interaction between different organizational subjects involved in the bureaucratization of pilot projects,and thus helps us to thoroughly understand the internal mechanism of governance system.Finally,this study argues that pilot institution is a progressive reform method rooted in the logic of national governance system,although the internal "packaging" mechanism of whom helps the state power to control and lead the process of policy formulation and implementation,it is also easy to cause changes in nature due to the problems of bureaucracy itself and result in the elimination of the effect of pilot innovation.Especially in the field of public administration,the influence of the pilot reform is dialectical.But in balance,this governance system is still slowly and profoundly transforming the local governance process.更多还原