【作者】 董幼鸿；

【导师】 蒋云根；

【作者基本信息】 华东师范大学 ， 政治学理论， 2008， 博士

【摘要】 我国对政策科学研究兴起于20世纪80年代初,学术界大量引入西方政策科学理论,并结合我国政策运行实践,在中国特色的政策科学理论体系建设方面取得显著成绩。但在政策运行各个环节研究上普遍存在不平衡现象,其中在政策制定、政策执行环节方面研究投入较多,理论建树也较明显,研究深度、广度远远超过政策评估研究,这为本论文深入研究“政策评估”提供了较大空间。政策评估研究应包括三个层面:一是政策方案预评估(前评估);二是政策实施过程中效果评估(阶段评估);三是政策实施以后绩效评估(后评估)。本文中政策评估主要是将政策实施以后的效果和效益评估(包括政策制定和政策执行的绩效)作为研究对象,并将政策评估放到我国地方政府视域中进行研究,籍此推进地方政府政策评估制度化建设。地方政府政策评估是指按照一定客观标准,对政策实施后的效益、效率、效果等进行评估,确定政策实施后是否达到预期目标、达到的程度如何、对社会生活带来哪些影响(正面影响或负面影响)等,以此来判断政策方案本身的优劣、政策执行中的效率,根据政策评估结果来决定地方政府政策延续、调整、废止、替代等措施。政策评估的主要功能有检验政策效果、确定政策走向、明确政策责任、推进民主参与、优化资源配置、教育和动员公众等。我国地方政府政策评估研究尽管没有形成完整的体系,但有些地方政府对政策进行了不同程度的评估,在实践上取得一定成绩。但因我国地方政府政策评估中存在诸多不足,诸如,评估理论不成熟、评估的法制缺乏、地方政府利益驱动、信息公开程度不高、评估主体缺失等,这些不足严重影响了地方政府政策评估的动力和积极性。为了发挥政策评估在地方政府管理中的作用和功能,激发地方政府进行政策评估的动力,从政策生态学和新制度主义理论视角对政策评估中问题进行了深入剖析,探寻其中深层原因,力图探索有效治理对策。其中,从政策生态学来看,当前我国地方政府所处政治环境里缺乏推动政策评估的内部和外部政策生态要素;从新制度主义理论来看,地方政府政策评估动力不足的重要原因由于支撑评估行为运行的相关制度不健全,诸如,监督政策行为制度、干部人事管理制度、信息公开制度、问责制等不完善,难以发挥政策评估相关制度的整体合力,影响我国地方政府政策评估的进程。为了将理论与实践结合起来,特选择了上海市政府私车牌照拍卖政策作为个案,运用政策生态学和新制度主义理论方法剖析了该政策评估中不足及其深层原因,为分析我国地方政府政策评估动力不足的原因提供启示。在分析地方政府政策评估动力不足的深层原因后,撷取了美国、日本政府政策评估制度建设为例,分析这两个国家政府政策评估制度建设的基本内容,总结国外政府政策评估制度的经验和措施,借此为我国地方政府政策评估制度化建设提供借鉴。为了解决我国地方政府政策评估中存在的问题,激发地方政府政策评估的动力,我们可以制度设计为路径,建构适合我国地方政府政策评估的政策生态,加快地方政府政策评估制度化建设进程。从以下五个方面提出建设性对策和建议:其一是完善地方政府政策评估的法律法规体系,规范地方政府政策评估为,提高地方政府政策评估的权威性和规范性;其二是以政策网络理论为指导,加强政策评估中政策评估网络建设,完善公民参与政策评估制度体系,提高地方政府政策评估的公民参与度。其三是大力发展现代行政文化,健全干部人事管理制度,完善地方政府政策评估监督管理制度,为地方政府政策评估提供持久的动力;其四是通过建立和完善政策预评估制度、政策评估甄别制度、信息公开和政策评估申诉制度,为我国地方政府政策评估提供外部环境,保障地方政府政策评估行为顺利运行;其五是健全地方政府政策评估结果运用机制,为保障地方政府政策评估持久发展提供良好的外部政策生态。总之,地方政府政策评估是政策运行中重要环节,它是对地方政府政策方案的制定和执行的绩效进行综合评定和判断,目的促进政策运行过程更加优化,合理配置地方政府的有限资源,提高地方政府对公众的回应性和责任性。为此,我们地方政府应加强政策评估体系建设,以政策评估制度建设为路径,建构适合政策评估的生态环境,推动地方政府政策评估工作顺利开展,实现我国地方政府政策评估制度化,提高地方政府政策评估力,逐步实现地方评估型政府建设的目标。并通过评估型政府建设来深化我国地方行政管理体制改革,为推进地方民主政治制度建设提供有效的路径和载体。更多还原

【Abstract】 The research of policy science began in 1980’s. Under the guide of policy science theory in west countries, We have been mading progresses in the research of policy process theory on the basis of the policy experience in China. But there are some unbalance in the research of the process of policy ,we have been paying more attention to the research of the policy making and policy implementing instead of the policy evaluation. So there are more space to make research of the policy evaluation in my dissertation.There are there aspects in the research of policy evaluation , such as the pre-evaluation of policy program ; the evaluation of the policy during the implementation and the post-evaluation of the policy implementation . This dissertation will fouse on the evaluation of the performce of policy implementation.The policy evaluation means that evaluates the efficiency and effectivness of policy implementation by the objective standards.So we can make a decision whether the local government policy evaluation will be continued ,be adapted or be stopped and so on .The function of the policy evaluation are that examining the effiency of policy ,deciding the trend of the policy ,confirming the obligation of the policy and optimizing the disposal of the resource.There are some progress in the research of policy evaluation in some local government while we have paid a lot of attention on the policy making and policy implementation .But the problems which including the insufficient theory of evaluation , lacking the law of policy evaluation ,failing the openness of the information during the policy evaluation, have impacted the process of the policy evaluation in local governmet.In order to develop the further function of policy evaluation in the public administration , We should anlysis the reason of the problems of policy evaluation and provide some countmeasures.Therefore,we anlysis the potential reason of problems according to the theory of policy ecology and Neo-institutionalism theory . They affect deeply the process of policy evaluation because there are short of efficient systems as the supervising the policy behavior ,civil severants management and the responsibility of administration.We select the auction policy of the aotomobile cards permission in Shanghai as a case for explaining the reseaons of problems in the policy evaluation .After anlysising the reasons of problems in the policy evaluation, introducing the example of USA and Japan on the policy evaluation so that we can make a conclusion about the intems of the policy evaluation in the two countries.So it is possible to use them for reference to optimize the evaluational systems of policy for local government in China.For the sake of solving the problems in the process of the policy evaluation for local government in China and stimulating the impetus of promotoing the policy evaluation , it is necessary to establish the systems for pushing forward the policy evaluation and propel to construct the evaluational systems of policy for local government in China.There are some contrete countermeasures for perfecting the systems of policy evaluation . First, completeing the systems of law of policy evaluation for regulating the behavior of policy evaluation ;Second, strengthening the constructing of policy networks for improving the system of public participation ;Third ,developing the modern culture, supervising systems of policy evaluation for providing the impetus to the policy evaluation ; Fourth, perfecting the systems of pre-evaluation of policy ,of slecting systems for policy evaluation and of the administrative appeal system for ensuring the policy evaluation for local government;Fifth, improving the management of the results of policy evaluation to guarantee the lasting process of policy evaluation in the future.In brief, in order to develop the process of policy evaluation smoothly , we should strengthen the evaluational systems of policy for local government and optimize the ecological environment of policy evaluation relying on the way of systems setting. On the basis of the policy evaluation, we should improve the capacity of policy evaluation and realize the goal of the evaluational government.更多还原