【作者】 王颖；

【导师】 高翔；

【作者基本信息】 浙江大学 ， 行政管理专业， 2020， 硕士

【摘要】 在全球范围内,政策企业家都是推动公共政策变革的关键群体。改革开放后,伴随中国公共政策过程逐渐走向开放、包容,政策企业家也成为参与、影响中国公共政策的重要行动者。以普遍的政策企业家理论为对照,围绕中国政策企业家的研究注重采用个案研究或比较案例的方式刻画政策企业家的身份特质,呈现其如何介入公共政策过程,通过议题塑造等行为策略影响公共政策。这些研究不仅增加了学界对中国政策企业家群体的认识,也呈现了当代中国公共政策过程的多样化特征。不过,已有研究较多将国家间的公共政策模式差异视作一种给定,较少细致区分不同国家的政策企业家行为策略的差异。政策企业家活跃在公共政策过程中,比较不同国家的政策企业家身份特质、行为策略等方面的差异,有助于我们更加准确地理解中国政策企业家行为模式的独有特征,也能增加学界对当代中国公共政策过程的深入理解。致力于刻画、比较中美两国政策企业家的行为模式及其差异,本文采用了元分析方式,系统搜集了1999-2019年期间公共行政和政治学领域主流期刊上关于中美两国政策企业家的46个案例。基于文献回顾,本文建立了政策企业家行为策略的理论分析框架,并从文献中提取了32个中国政策企业家的案例、14个美国政策企业家的案例。在此基础上,本文运用政策企业家行为策略的理论分析框架,综合比较案例分析和基于案例编码的统计检验,形成了以下四个主要发现:第一,中美政策企业家的活动场域和政策影响方式有差异。中美两国的政策企业家都有途径影响特定公共政策的结果,但美国政策企业家的政策影响制度化、法制化程度更高。即中国政策企业家更多在行政过程(政府)中发挥影响力,最终形成政府规章等;美国政策企业家更多在政治过程(国会)中发挥影响力,最终将政策确认为法律。近年来,中国的政策企业家也开始更加重视通过法定程序推动政策变革。第二,中美政策企业家参与的政策领域及其塑造议题的方式有差异。中国的政策企业家更侧重政策方案的价值取向,特别重视推动民生和社会治理等领域的政策变革。在塑造议题时,中国的政策企业家更加侧重代表弱势群体发声,并且他们同样注重塑造正面的个人形象,表明政策的合法性和正当性。美国的政策企业家参与的公共政策领域更为多元,同时建立并主导了一个有较强包容性的议题塑造模式,侧重将利益相关群体纳入到公共政策讨论过程之中,确保政策议题更好契合社会整体观念,并得到公众认可。简言之,中国的政策企业家更侧重于将自己视作某个群体在公共政策中的代言人,美国的政策企业家则更侧重于将自己视作推动某个公共政策的主导者。第三,中美政策企业家的专业化程度有差异。中国的政策企业家更侧重公共政策的价值取向,但较不重视相关方案的可操作性。美国的政策企业家则会针对特定政策问题开展更为系统、细致的政策方案设计,解决技术细节问题。第四,中美政策企业家建立同盟的倾向性有差异。建立同盟是中美两国的政策企业家贯穿政策过程中最为重要的行为策略,但中国的政策企业家更为重视体制内中央、地方关键决策者和领导者的支持和认可。中美政策企业家参与、影响公共政策的模式差异也是两国公共政策模式及其政策企业家群体发展程度的差异。在公共政策领域,美国比中国的发展历程更长,发育也更为成熟。相应的,美国的政策企业家参与公共政策的范围更广泛,影响途径更为制度化和更具包容性,政策方案的专业化程度也更高。当前,中国政府治理现代化的能力快速提高,公共政策正逐步走向更为开放、包容的开门决策模式。这一变化催生政策企业家群体的兴起,但总的来说,中国政策企业家参与的政策领域仍然有限,影响公共政策的专业化水平和包容性程度有待提升。更多还原

【Abstract】 On a global scale,policy entrepreneurs are the key group promoting policy changes.Since the reform and opening-up,the Chinese policy process has become open and inclusive and policy entrepreneurs have turned into important actors influencing Chinese policies.Relevant Chinese research tends to characterize the identity of policy entrepreneurs through case study or case comparison and presents how they get involved in and influence the policy process to increase the cognition of Chinese policy entrepreneurs and present the diversity of contemporary Chinese policy processes.However,the existing research less focuses on the differences in the behavioral strategies of policy entrepreneurs in different countries.Policy entrepreneurs are active in the policy process,so it helps understand the unique characteristics of behavior of Chinese policy entrepreneurs and increase the cognition of contemporary Chinese public policy processes to distinguish the differences in behavioral strategies of policy entrepreneurs in different countries.Aimed at characterizing and comparing the behavioral patterns of Chinese and American policy entrepreneurs,this research employs meta-analysis to systematically collect 46 cases of Chinese and American policy entrepreneurs published in mainstream public administration journals from 1999 to 2019.Through the literature review,this research establishes a theoretical analysis framework for the behavioral strategies of policy entrepreneurs and extracts 32 Chinese cases and 14 American cases from the literature to comprehensively compare the case analysis and the Pearson test based on case coding and acquire the following four findings:First,Chinese and American policy entrepreneurs act in different fields.Chinese policy entrepreneurs usually exert influence in the administrative process(government)and eventually form government regulations,while American policy entrepreneurs often exert their influence in the political process(congress)and finally recognize policies as laws.In recent years,Chinese policy entrepreneurs also increasingly influence policies through legal procedures.Second,they get involved in different policy areas and have different ways to propose issues.Chinese policy entrepreneurs prefer livelihood and social governance and avoid political sensitivity,while American policy entrepreneurs get involved in diverse policy areas and their values follow the overall social ideas to be recognized by more stakeholders.Third,they have different professional levels.Chinese policy entrepreneurs focus on the value orientation of public policy but pay less attention to the operability of scheme,while American policy entrepreneurs tend to make systematic and detailed scheme design for specific policy issues and solve problems of technical details.Fourth,there are differences in the tendency of policy entrepreneurs to form alliances between China and the United States.Alliance building is the most important behavioral strategy for policy entrepreneurs in China and the United States throughout the policy process,but policy entrepreneurs in China pay more attention to the support of central and local key decision makers and leaders within the system.The differences between Chinese and American policy entrepreneurs in their influence on public policies reflect the differences between the two countries in policy models and development levels of policy entrepreneurs.The United States has more mature public policies due to their longer development history so that American policy entrepreneurs are more widely engaged in public policies and influence them through more institutionalized and inclusive channels at a higher professional level in policy scheme.At present,the Chinese government promotes governance modernization rapidly,and public policies are gradually moving towards the more open and inclusive decision model.In this change,the group of policy entrepreneurs rise,but overall,there are still limited policy areas for Chinese policy entrepreneurs,so the professional and inclusive levels that influence public policies need to be improved.更多还原