什么是政策工具WhatPPT课件.pptx

1、Lecture Four,Policy Instruments,1,2,Outline,什么是政策工具What is policy instrument?政策工具分类Classifying policy instruments政策工具的再分类政策工具的选择政策工具选择的理论,3,Mini Cases,中国的城管执法：对小贩简直是“打砸抢”“毫不留情”深圳城管火烧违章民居没有其他手段？,4,Mini Cases,调控楼价：行政还是经济手段？有人主张行政手段：地方政府阳奉阴违，要以行政手段为主有人主张经济手段：搞市场经济，要多用 经济手段，可是货币政策、金融政策效果 不大。,5,案例讨论,我国政府

2、对互联网的管理技术监控行政处罚舆论引导行业自律网警,6,What is policy instrument?什么是政策工具,政策工具，亦称为政策手段，或治理工具。Policyinstruments:also called policy tools or governing instruments政策工具是政府所拥有的、用于执行政策的实际 手段或工具。政府在构思/规划政策时必须对政策 工具作出选择。These are the actual means or devices governments have at their disposal for implementing policies,a

3、nd among which they mustselect in formulating policy.政府是干预者。政策工具就是干预的手段 Government-as-intervener:Policy instruments as forms of intervention,7,政策工具的分类,不同的政策工具分类：规制性政策工具与非规制性政策工具开支性政策工具与非开支性政策工具命令型工具、激励型工具、能力建设型工 具、系统变迁型工具(McDonald et al)激励型工具、能力建设型工具、符号与规 劝型工具、学习型工具（Schneider and Ingram,1997),8,政策工具

4、的分类,政策工具四大类别：Four categories of policy instruments（Hood,C)组织为基础的工具Organization-based instruments权威为基础的工具Authority-based instruments财政为基础的工具Treasure-based instruments信息为基础的工具Nodality or information-based instruments,权威为基础的工具（A）,9,财政为基础的工具（T）,组织为基础的工 具(O),信息为基 础的工具（）,10,权威为基础的工具Authority-Based instrum

5、ents,管制：政府制定的规定，要求指定目标必 须遵守，不遵守就要受到惩罚。Regulation is a prescription by the government that must be complied with by the intended targets;failure to do so usually involves a penalty.管制有很多方式：规则、标准、许可、禁 止、法律、行政命令。Regulations take various forms and include rules,standards,permits,prohibitions,laws,and ex

6、ecutive orders.,11,权威为基础的工具,Authority-Based instruments命令与控制式管制：Command and control regulation:主要是指处理犯罪行为的管制，涉及警察 与司法系统。Regulations dealing with criminal behaviors,involve the police and judicial system行政指令：Administrative edicts:特别的、准司法政府机构（如；美国的独 立管理委员会）Specialized,quasi-judicial government agency(

7、e.g.,independent regulatory commissions in USA),12,权威为基础的工具Authority-Based instruments,管制的性质：Natures of regulations经济管制：Economic regulations:生产过程的方方面面，特别是有关特定的 产品和服务的控制，例如，对生产价格和 产量，投资回报等控制。Control aspects of the production processes specific to particular goods and services,such as the prices and v

8、olumes of production,or return on investment,and so on.是一种传统的管制方式。A traditional form of regulations,13,权威为基础的工具Authority-Based instruments,社会管制：Social regulations:对医疗卫生、安全和诸如民权和各类歧视 问题等社会行为的控制。Controls in matters of health,safety,and social practices such as civil rights and discrimination of variou

9、s sorts.这些东西更多地与我们的物质和精神健康 而不是钱包有关。They have more to do with our physical and moral well-being than with our pocketbooks.,14,权威为基础的工具,Authority-Based instruments社会管制的事例：Examples of social regulations:有关酒精饮料的消费和出售、赌博、消费产品安 全、职业危害、水危害、空气污染、噪音污染、基于宗教、种族、性别和民族的歧视、色情物品 的规定。rules regarding liquor consumpt

10、ion and sales,gambling,consumer product safety,occupational hazards,water-related hazards,air pollution,noise pollution,discrimination on the basis of religion,race,gender,or ethnicity,and pornography.,15,权威为基础的工具,Authority-Based instruments经济管制与社会管制有交叉地带。There is a great deal of overlap between eco

11、nomic regulations and social ones.社会管制比经济管制更宽泛，而且不像经济管制 那样专注于特定产业。Social regulations tend to be more general than economic ones and do not focus on particularindustries as do economic regulations.社会管制一般是跨部门的，而且受几个政府部门 管辖，关注诸如污染、安全或伦理道德等较广泛 性的问题。Social regulations tend to cut across several sectors a

12、nd come under the jurisdiction of several government agencies,and focus on broader problems or functions,such as pollution,safety,or morality.,16,权威为基础的工具,Authority-Based instruments管制作为政策工具的优点：Advantages of regulations as a policy instrument:所需的信息比较少。Information needed is less政府的行动和计划可以更好地协调。Better

13、co-ordination of government efforts and planning.比较适合于危机管理More suitable in crisis management成本较低Less costly(相对于补贴等）政治上具感染力Politically appealing,17,权威为基础的工具,Authority-Based instruments弱点：Disadvantages:扭曲了志愿或私人部门的活动，带来经济上的无 效率。Distort voluntary or private-sector activities and promote economic ineffic

14、iencies.抑制创新和技术进步。Inhibit innovation and technological progress没有弹性，不允许考虑个别情况。Being inflexible and do not permit the consideration of individual circumstances.管理中的困难。Difficulties in administration高执行成本。High cost of enforcement.,18,19,权威为基础的工具,Authority-Based instruments授权或自我管制Delegated or Self-Regul

15、ation:政府可以允许非政府行动者进行自我管制。Governments allow non-governmental actors to regulate themselves.清晰而直接授权：政府可以通过给与发牌专利给 医生、律师、教师等团体，让其自我管制。These delegations can be explicit and direct,when governments allow professions such as doctors,lawyers,or teachers to regulate themselves through the grant of a licensi

16、ng monopoly to a bar association,a college of physicians and surgeons,or a teachers college(professional regulation).,20,权威为基础的工具,Authority-Based instruments不太清晰的授权：自愿设立标准。Less explicit delegations:voluntary standard-setting.制造企业为自己产品设立标准而独立认证 公司或协会认可其达到了标准。Wheremanufacturing companies develop standards forproducts or where independent certification firms or associations certify that certain standards have met in various kinds of private practices.这些标准不是由政府来执行。These standards are not enforced by