当代中国公共政策过程中利益集团的行动逻辑

【作者】 陈水生；

【导师】 竺乾威；

【作者基本信息】 复旦大学 ， 行政管理， 2011， 博士

【摘要】 现实表明,中国利益集团已成长壮大并介入和影响中国公共政策过程及结果。因此,本研究旨在回答这样一个核心问题,即当代中国公共政策过程中利益集团的行动逻辑是怎样的?围绕这个核心问题需回答：当代中国利益集团的产生原因和发展现状如何?利益集团介入公共政策的动机何在?利益集团凭借哪些资源以及采取怎样的策略影响公共政策?利益集团行动对公共政策制定模式有何影响?论文结合政策过程和政策网络理论,从行动舞台、行动主体、行动过程和行动结果四个方面建构利益集团行动逻辑的整体分析框架,重点从为何、凭何以及如何即行为动机、行为资源和行为策略三方面分析利益集团影响公共政策的行动过程。中国的政治制度结构和决策体系构成了利益集团影响公共政策的行动舞台。论文将中国公共政策制度化结构概括为“三位一体,以党为主”模式。随着越来越多的利益集团参与政策过程,由官僚垄断的“单一决策圈模式”开始向官僚主导、利益集团参与的“复合决策圈模式”转变。利益集团对公共政策的影响逐步显现出来。利益集团是指为实现和维护特定目标和共同利益,在政治过程中采取集体行动的组织化群体。利益集团有三个典型特征：具有共同利益和目标、具有组织化结构、采取集体行动。关于利益集团的形成理论,比较有代表性的包括杜鲁门的“絮乱理论”,“衍生理论”和“平衡理论”,奥尔森的利益集团发生论和罗伯特·索利兹伯里的交换理论。论文将中国利益集团的产生总结为“社会内生演进”模式,即遵循着社会结构变迁—利益分化—利益组织化—利益集团形成的发展理路。根据利益集团的组织化程度和追求的利益目标,论文将中国利益集团分为企业型利益集团、协会型利益集团、机构型利益集团和公众利益集团四类。利益集团的行动始于一定的利益认知,绝大多数利益集团在物质性利益激励下采取行动,影响公共政策；另外,也有少数公众利益集团,它们行动是为了追求价值性利益。论文从利益认知、利益激励、利益涉入和利益竞夺四个方面分析利益集团的利益驱动路线。论文指出,利益驱动构成了利益集团介入政策过程的逻辑基础和行为动机。论文选取“两税”合并政策和“26度空调节能”政策具体分析利益集团介入公共政策的动因。利益集团影响公共政策必须具有一定的资源网络结构。资源禀赋的强弱及其结构体系将直接影响利益集团行为策略的选择。利益集团的资源要素结构可分为经济资源、政治资源、组织资源、信息资源和关系资源,这五种资源组合成一定的网络结构序列,构成利益集团行为选择的资源基础。资源要素越强,结构网络越全面,利益集团在政策博弈过程中就会占据较大优势,从而为其行为策略提供有效的选择空间,其行动能力也越强。论文以《劳动合同法》制定过程中利益集团的博弈为例,通过对全国总工会和外企为代表的利益集团的政策博弈发现,由于全总在成员规模、组织结构、政治资源、传媒资源等方面拥有较大优势,因而在立法博弈过程中,它拥有更多行为策略选择空间,从而使这部法律更符合它的主张和利益。两者在资源禀赋和资源网络结构方面的差异,决定了其后续行动政策效力的强弱。利益集团的行为策略是集团运用其资源影响公共政策的方法。利益集团的行为策略既取决于某项政策与其利益关联度,又取决于它拥有的资源网络结构。利益集团影响中国公共政策的策略主要有利益表达、多重游说、合作联盟、俘获官僚和形塑舆论等方式。第一,利益表达可分为制度化、准制度化和非制度化的表达通道。制度化的利益表达主要包括人大、政协会议和民主党派协商会议；准制度化表达主要有行业协会、媒体舆论和信访等;非制度化渠道主要包括非正式的个人接触、贿赂、通过个人关系网络上书、利用金钱赎买知识专家造势、召开新闻发布会等方式。第二,多重游说,即接近政治权威和决策核心,通过专家学者等利益代言人游说,通过施压性行动如上书、公开信等行动游说,通过主管部门及领导或人大政协提案等。第三,合作联盟。利益集团在公共政策过程中还会形成各种互动合作联盟,从而增强在公共政策过程中的博弈能力。第四,俘获官僚。通过各种手段与官僚精英结成利益共同体,从而为其影响公共政策创造有利条件。第五,通过收买知识精英和大众传媒形塑舆论。论文以房地产调控政策为例,分析房地产利益集团在政策过程中是如何通过策略组合实现利益最大化的。通过分析2003年房地产调控中的“121文件”与“18号令”的博弈过程,可以发现房地产利益集团运用构建利益共同体与行动联盟、进行利益表达、形塑公共舆论等策略把持和操控了调控政策,消解了政策效果。总之,中国利益集团是经济社会政治发展的产物,即“社会内生演进”的结果,因而需积极创造有利条件——社会土壤、政治环境、经济结构、文化心理等促进利益集团的健康均衡有序发展。其次,中国利益集团已涉入公共政策过程,影响政策结果；利益驱动、资源主导和策略组合构成利益集团在公共政策过程中的行动逻辑,即“利益-资源塑造行为”。再次,透过利益集团影响公共政策过程的分析,论文将中国公共政策模式变迁概括为从官僚垄断的“单一决策圈模式”向官僚主导、利益集团参与的“复合决策圈模式”转变。但也要看到,这种新的决策模式还处在变化成长中,其发展还受制于政治制度、社会情境、国民情绪以及利益集团自身的发展。因而其未来走势还有待实践的进一步检验。最后,论文将利益集团介入和影响政策过程以及利益集团行为的分析称为利益集团政策学,并提出了一个初步分析框架：制度分析、利益分析、主体分析、过程分析和结果分析。更多还原

【Abstract】 With the deep development of China’s Reform and Opening Up, interest groups have already greatly affected China’s public policies. This study aims to answer the main question of the logic of interest groups’action in the process of public policy-making in Contemporary China. It includes the following four related sub-questions:what are the original reasons and current situations of interest groups in contemporary China? What are the motives of interests groups to get involved in public policy making process? What are the resources and tactics interest groups take to affect public policy? How does the interest groups’action influence the model of public policy-making? The dissertation, with theories of policy process and policy network, forms the analysis framework from four aspects, namely platform, actors, process and outcomes. It emphasizes on why, by what and how, that is motives, resources and tactics, interest groups influence the action process of public policy.The political institutions structure and policy-making system of China constitute t the platform where interest groups affect the public policy. The dissertation generalizes the institutionalized structure of China’s public policy-making as the model of "Three as One, Party as Core". As more and more interest groups participate in the process of policy-making, the former Model of Single-actor Policy-making Circle monopolized by the bureaucracy starts to transform into the Model of Compound-actor Policy-making Circle, in which the bureaucracy is the core while interest groups are the participants. So the influence of interest group on public policy gradually becomes evident.The dissertation defines interest group as the organizational group which takes collective actions in order to realize and guarantee specific objectives and common interests. The interest group takes on three features:common interests and objectives, organizational structure and collective action. Typical theories on the formation of interest group contain Truman’s "disorder theory", "proliferation theory" and "equilibrium theory"; Olson’s "collective action theory"; and Salisbury’s "exchange theory". The dissertation summarizes the formation of China’s interest group as the "Socially Endogenetic Model" which follows the developing mechanism of social structure change—iterest differentiation—interest organizing—interest group generating. In criteria of the organizational degree and pursued interest objectives, the dissertation divides the interest groups in China into four kinds as Entrepreneurial Interest Group, Associational Interest Group, Institutionalized Interest Group and Mass Interest Group.Action of interest group derives from the recognition of group interests. Most interest groups take action to affect public policy in pursuit of material interests while some mass interest groups in pursuit of value interest. The paper analyzes the interest-driven path interest groups in the four fields of interest recognition, interest stimulation, interest permeation and interest contest. The interest motivation paves logical basis for interest group’s involvement in the process of policy-making. The paper analyzes the motives of interest groups’involvement in public policy from the case studies of policies of "Unifying the Two Sets of Enterprise Income Tax" and "Air Conditionings Energy Saving at 26 Centigrade".There must be a certain resource network structure for interest groups to exert effect on public policy. The power and structure of resource endowment will directly affect the tactics choices of interest groups’behavior. The resources of interest groups include economic, political, organizational, informational and relational resources, which make a certain structural sequence and resource basis for behavior choices of interest group. Ordinarily speaking, stronger resource endowment and a more comprehensive structural network lead to advantages for interest groups in the process of policy bargaining, which provides effective space for behavior tactics and makes a stronger action ability. The dissertation analyzes the case of the interest group’s bargaining in the policy-making of Law of the PRC on Employment Contracts. By comparison of All-China Federation of Trade Unions and foreign companies, we find that the former has more tactical choices in the legislation bargaining resulting from advantages of member size, organizational structure, political resources and media resources and so on. Therefore, the Law of the PRC on Employment Contracts is more favorable to the claim and interests of All-China Federation of Trade Unions. Resources endowment and resource networking structure difference of the two results into their strong or weak efficiency of subsequent action.Action tactics of interest group are their ways to affect public policy with capital. The tactics not only depend on the degree of interest relation between interest groups and certain policy, but also depend on their resource networking structure. Tactics of China’s interest groups affecting public policies mainly are pluralistic interest expressing, lobbying, cooperative allying, capturing of bureaucrat, forming public opinion and so on. Firstly, pluralistic interest expressing channels include institutional quasi-institutional and non-institutional ones Institutional interest expression mainly consists of People’s Congress Conference, Political Consultative Conference and Democratic Party’s Consultative Conference; quasi-institutional expressing channels mainly are professional associations, mass media and the Appeals Systems, etc. Non-institutional channels are informal personal contact, bribery, letters by way of personal relations, propaganda by bought intellectuals and press conference and other methods. Secondly, lobbying is to get contact with political authority and decision core by such interest agents as professionals and scholars or by means of such pressing actions as writing letters and publicizing letters and so on. Thirdly, interest groups also form interactive, cooperative alliance in the process of public policy in order to strengthen the bargaining capacity. Fourthly, interest groups capture bureaucrats to build interest alliance with bureaucratic elites. Fifthly, they buy into intellectual elites and mass media to mould public opinion. The dissertation takes the example of real estate regulation policy. It analyzes how the real estate interest groups realize maximum interests by combination of the above tactics. According to the analysis of the bargaining process of real estate regulation of "121 Document" and "Number 18 Regulation", it finds out that real estate interest groups use a combination of three-dimensional action tactics to hold the regulation policies, and alleviate the policy effectiveness. Such combined tactics include building interest community and interactive alliance, making use of pluralistic resource advantage to lobby the policy central circle, expressing interests by pluralistic means, and forming public opinions. Different interest groups will choose one kind of above tactics or a certain combination in specific policy-making process in order to exert effective effects on policies.To sum up, interest groups in China result from the economic, social and political development, which means they are socially endogenetic outcomes. It is necessary to positively build favorable conditions of social context, political environment, economic structure and cultural psychology for the balance and effectiveness of interest group’s development in China. Secondly, interest groups in China have permeated into the policy process and affected the results of public policies Interest motivation, resource predomination and tactics combination build the action logic of interest groups in the policy-making process, which is "Interest-Resource shape Behavior". Thirdly, by analyzing the process how interest groups affects the public policies, the dissertation generalizes the public policy model in China one transforming from Model of Single-actor Policy-making Circle monopolized by the bureaucracy to Model of Compound-actor Policy-making Circle characteristic of bureaucracy as core and interest groups as participant. But this new policy-making model is still in change and growth for the reasons of political institutions, social situations, citizen moods and interest groups itself. Therefore, the future of this new model depends upon the practice. Finally, the dissertation defines the analysis on the interest groups’involvement and affecting process of policy-making as "Policy Science of Interest Group", whose elementary framework consists of institution, interest, actor, process and outcome analysis.更多还原