中国PPP政策工具选择及其选择模式研究——基于中央政策的文本分析
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摘要
为深入了解我国PPP政策工具选择现状,基于政策工具视角,采用文本内容分析方法,以中央政府层面(2013-2017年)颁布的PPP政策文本为分析对象,从政策工具、政策目标、项目生命周期三个维度构建了PPP政策三维分析框架。研究发现:PPP政策工具选择偏好明显,在基本政策工具维度上偏重环境型政策工具,政策目标维度偏重PPP模式推广和合作环境营造,项目生命周期维度偏重项目采购与执行;PPP政策工具选择模式明显,具体表现为两种模式四条路径。
In order to deeply understand the current situation of the selection of PPP policy instrument in China,from the perspective of policy instrument, this article uses the method of text content analysis, takes the PPP policy texts issued by the central government(2013-2017) as the analysis target, and constructs a three-dimensional analytical framework of PPP policy from three dimensions, i.e. policy instrument, policy target, and project life cycle. The study finds that the preference of the selection of PPP policy instrument in China is obvious,which emphasizes the environmental policy instrument on the dimension of basic policy instrument, emphasizes the promotion of PPP model and the construction of cooperative environment on the dimension of policy goal,emphasizes the project procurement and implementation on the dimension of project life cycle; and that the selection mode of PPP policy instrument is obvious, which is embodied in two sub-modes and four approaches.
In order to deeply understand the current situation of the selection of PPP policy instrument in China,from the perspective of policy instrument, this article uses the method of text content analysis, takes the PPP policy texts issued by the central government(2013-2017) as the analysis target, and constructs a three-dimensional analytical framework of PPP policy from three dimensions, i.e. policy instrument, policy target, and project life cycle. The study finds that the preference of the selection of PPP policy instrument in China is obvious,which emphasizes the environmental policy instrument on the dimension of basic policy instrument, emphasizes the promotion of PPP model and the construction of cooperative environment on the dimension of policy goal,emphasizes the project procurement and implementation on the dimension of project life cycle; and that the selection mode of PPP policy instrument is obvious, which is embodied in two sub-modes and four approaches.
引文
[1] GRIMSEY D, LEWIS M K. Public-private partnerships:the worldwide revolution in infrastructure provision and project finance[M]. E. Elgar, 2004:1-8.
[2]国务院新闻办公室.中共中央关于全面深化改革若干重大问题的决定[EB/OL].[2019-01-06].http://www. scio. gov. cn/zxbd/tt/Document/1350709/1350709_1.htm.
[3]财政部PPP中心.全国PPP综合信息平台项目库第11期季报[EB/OL].[2019-01-06].http://www.chinappp.cn/newscenter/newsdetail_14620.html.
[4] MCLAUGHLIN M W. Learning from experience:lessons from policy implementation[J]. Educational evaluation&policy analysis, 1987, 9(2):171-178.
[5] PIERSON P. When effect becomes cause:policy feedback and political change[J]. World politics, 1993, 45(4):595-628.
[6]刘徽.基于政策文本计量的中国PPP政策演化研究[D].天津大学,2017.
[7]陈琤,李丹.PPP政策变迁与政策学习模式:1980至2015年PPP中央政策文本分析[J].中国行政管理,2017(2):102-107.
[8] SADRAN P. Public-private partnership in France:a polymorphous and unacknowledged category of public policy[J]. International review of administrative sciences, 2004, 70(2):233-251.
[9] MOURAVIEV N, KAKABADSE N K. Public–private partnerships in Russia:dynamics contributing to an emerging policy paradigm[J]. Policy studies, 2014,35(1):79-96.
[10]房引宁,蒋丹璐,赵敏娟.流域治理的PPP政策满意度及其影响因素分析[J].当代经济科学,2017(3):102-107+127-128.
[11]温来成,王涛,彭羽.政府与社会资本合作(PPP)项目税收政策研究[J].兰州财经大学学报,2016(3):81-86.
[12]陈振明,薛澜.中国公共管理理论研究的重点领域和主题[J].中国社会科学,2007(3):140-152+206.
[13] LINDER S, PETERS B G. The logic of public policy design:linking policy actors and plausible instruments[J]. Knowledge&policy, 1991, 4(1-2):125-151.
[14] INGRAM A S H. Behavioral assumptions of policy instruments[J]. Journal of politics, 1990, 52(2):510-529.
[15] E. S.萨瓦斯.民营化与公私部门的伙伴关系[M].周志忍,等译.北京:中国人民大学出版社,2002:2-4.
[16] HOWLETT M, RAMESH M, PERL A. Studying public policy:policy cycles&policy subsystems[M].Oxford University Press, 2009:169-170.
[17] LOWI T J. Four systems of policy, politics, and choice[J]. Public administration review, 1972, 32(4):298–310.
[18] DEAN J M, PHIDD R W, DOERN G B. The politics and management of Canadian economic policy[J].Canadian public policy, 1979, 5(3):451.
[19] ROTHWELL R, ZEGVELD W. Reindustrialization and technology[M]. Longman, M. E. Sharpe, 1985:113-130.
[20] MCDONNELL L M, ELMORE R F. Getting the job done:alternative policy instruments[J]. Educational evaluation&policy analysis, 1987, 9(2):133-152.
[21] KEOHANE N O, REVESZ R L, STAVINS R N.The choice of regulatory instruments in environmental policy[J]. Harvard environmental law review, 1998, 22(2):313-367.
[22] HOWLETT M. Managing the“hollow state”:procedural policy instruments and modern governance[J].Canadian public administration, 2000, 43(4):412–431.
[23] HOWLETT M, RAMESH M. Patterns of policy instrument choice:policy styles, policy learning and the privatization experience[J]. Review of policy research,2010, 12(1-2):3-24.
[24] SUCHMAN M C. Managing legitimacy:strategic and institutional approaches[J]. Academy of management review, 1995, 20(3):571-610.
[25] B?CHER M. A theoretical framework for explaining the choice of instruments in environmental policy[J]. Forest policy&economics, 2012, 16(2):14-22.
[26] LINDER S H, PETERS B G. Instruments of government:perceptions and contexts[J]. Journal of public policy, 2008, 9(1):35-58.
[27] JORDAN A, WURZEL R, ZITO A R, et al. European governance and the transfer of‘new’environmental policy instruments(NEPIs)in the European Union[J]. Public administration, 2003, 81(3):555-574.
[28] GOULDER L H, PARRY I W H. Instrument choice in environmental policy[J]. Social science electronic publishing, 2008, 21(1):152-174.
[29] FEIOCK R C, TAVARES A F, LUBELL M. Policy instrument choices for growth management and land use regulation[J]. Policy studies journal, 2008, 36(3):461-480.
[30] HOWLETT M. Globalization and the choice of governing instruments:the direct, indirect, and opportunity effects of internationalization[J]. International public management journal, 2006, 9(2):175-194.
[31] SHRESTHA R K, SHOGREN J F, SMULDERS S.The choice of environmental policy instruments under correlated uncertainty[J]. Resource&energy economics, 2001, 23(2):175-185.
[32] HOWLETT M. Policy instruments, policy styles, and policy implementation[J]. Policy studies journal, 1991,19(2):1-21.
[33] HOWLETT M. Governance modes, policy regimes and operational plans:a multi-level nested model of policy instrument choice and policy design[J]. Policy sciences, 2009, 42(1):73-89.
[34] CHáVEZ C A, VILLENA M G, STRANLUND J K. The choice of policy instruments to control pollution under costly enforcement and incomplete information[J]. Journal of applied economics, 2009, 12(2):207-227.
[35] BORRáS S, EDQUIST C. The choice of innovation policy instruments[J]. Technological forecasting&social change, 2013, 80(8):1513-1522.
[36] HOWLETT M. Beyond good and evil in policy implementation:instrument mixes, implementation styles, and second generation theories of policy instrument choice[J]. Policy&society, 2004, 23(2):1-17.
[37]李健,顾拾金.政策工具视角下的中国慈善事业政策研究——以国务院《关于促进慈善事业健康发展的指导意见》为例[J].中国行政管理,2016(4):34-39.
[38]谢青,田志龙.创新政策如何推动我国新能源汽车产业的发展——基于政策工具与创新价值链的政策文本分析[J].科学学与科学技术管理,2015(6):3-14.
[39]财政部副司长:PPP中已现国资对民资的“挤出效应”[EB/OL].(2016-06-29)[2019-01-16].http://www. ccgp. gov. cn/ppp/ldjh/201606/t20160629_6968969.htm.
[40] HAQUE M S. The diminishing publicness of public service under the current mode of governance[J]. Public administration review, 2001, 61(1):65–82.
[2]国务院新闻办公室.中共中央关于全面深化改革若干重大问题的决定[EB/OL].[2019-01-06].http://www. scio. gov. cn/zxbd/tt/Document/1350709/1350709_1.htm.
[3]财政部PPP中心.全国PPP综合信息平台项目库第11期季报[EB/OL].[2019-01-06].http://www.chinappp.cn/newscenter/newsdetail_14620.html.
[4] MCLAUGHLIN M W. Learning from experience:lessons from policy implementation[J]. Educational evaluation&policy analysis, 1987, 9(2):171-178.
[5] PIERSON P. When effect becomes cause:policy feedback and political change[J]. World politics, 1993, 45(4):595-628.
[6]刘徽.基于政策文本计量的中国PPP政策演化研究[D].天津大学,2017.
[7]陈琤,李丹.PPP政策变迁与政策学习模式:1980至2015年PPP中央政策文本分析[J].中国行政管理,2017(2):102-107.
[8] SADRAN P. Public-private partnership in France:a polymorphous and unacknowledged category of public policy[J]. International review of administrative sciences, 2004, 70(2):233-251.
[9] MOURAVIEV N, KAKABADSE N K. Public–private partnerships in Russia:dynamics contributing to an emerging policy paradigm[J]. Policy studies, 2014,35(1):79-96.
[10]房引宁,蒋丹璐,赵敏娟.流域治理的PPP政策满意度及其影响因素分析[J].当代经济科学,2017(3):102-107+127-128.
[11]温来成,王涛,彭羽.政府与社会资本合作(PPP)项目税收政策研究[J].兰州财经大学学报,2016(3):81-86.
[12]陈振明,薛澜.中国公共管理理论研究的重点领域和主题[J].中国社会科学,2007(3):140-152+206.
[13] LINDER S, PETERS B G. The logic of public policy design:linking policy actors and plausible instruments[J]. Knowledge&policy, 1991, 4(1-2):125-151.
[14] INGRAM A S H. Behavioral assumptions of policy instruments[J]. Journal of politics, 1990, 52(2):510-529.
[15] E. S.萨瓦斯.民营化与公私部门的伙伴关系[M].周志忍,等译.北京:中国人民大学出版社,2002:2-4.
[16] HOWLETT M, RAMESH M, PERL A. Studying public policy:policy cycles&policy subsystems[M].Oxford University Press, 2009:169-170.
[17] LOWI T J. Four systems of policy, politics, and choice[J]. Public administration review, 1972, 32(4):298–310.
[18] DEAN J M, PHIDD R W, DOERN G B. The politics and management of Canadian economic policy[J].Canadian public policy, 1979, 5(3):451.
[19] ROTHWELL R, ZEGVELD W. Reindustrialization and technology[M]. Longman, M. E. Sharpe, 1985:113-130.
[20] MCDONNELL L M, ELMORE R F. Getting the job done:alternative policy instruments[J]. Educational evaluation&policy analysis, 1987, 9(2):133-152.
[21] KEOHANE N O, REVESZ R L, STAVINS R N.The choice of regulatory instruments in environmental policy[J]. Harvard environmental law review, 1998, 22(2):313-367.
[22] HOWLETT M. Managing the“hollow state”:procedural policy instruments and modern governance[J].Canadian public administration, 2000, 43(4):412–431.
[23] HOWLETT M, RAMESH M. Patterns of policy instrument choice:policy styles, policy learning and the privatization experience[J]. Review of policy research,2010, 12(1-2):3-24.
[24] SUCHMAN M C. Managing legitimacy:strategic and institutional approaches[J]. Academy of management review, 1995, 20(3):571-610.
[25] B?CHER M. A theoretical framework for explaining the choice of instruments in environmental policy[J]. Forest policy&economics, 2012, 16(2):14-22.
[26] LINDER S H, PETERS B G. Instruments of government:perceptions and contexts[J]. Journal of public policy, 2008, 9(1):35-58.
[27] JORDAN A, WURZEL R, ZITO A R, et al. European governance and the transfer of‘new’environmental policy instruments(NEPIs)in the European Union[J]. Public administration, 2003, 81(3):555-574.
[28] GOULDER L H, PARRY I W H. Instrument choice in environmental policy[J]. Social science electronic publishing, 2008, 21(1):152-174.
[29] FEIOCK R C, TAVARES A F, LUBELL M. Policy instrument choices for growth management and land use regulation[J]. Policy studies journal, 2008, 36(3):461-480.
[30] HOWLETT M. Globalization and the choice of governing instruments:the direct, indirect, and opportunity effects of internationalization[J]. International public management journal, 2006, 9(2):175-194.
[31] SHRESTHA R K, SHOGREN J F, SMULDERS S.The choice of environmental policy instruments under correlated uncertainty[J]. Resource&energy economics, 2001, 23(2):175-185.
[32] HOWLETT M. Policy instruments, policy styles, and policy implementation[J]. Policy studies journal, 1991,19(2):1-21.
[33] HOWLETT M. Governance modes, policy regimes and operational plans:a multi-level nested model of policy instrument choice and policy design[J]. Policy sciences, 2009, 42(1):73-89.
[34] CHáVEZ C A, VILLENA M G, STRANLUND J K. The choice of policy instruments to control pollution under costly enforcement and incomplete information[J]. Journal of applied economics, 2009, 12(2):207-227.
[35] BORRáS S, EDQUIST C. The choice of innovation policy instruments[J]. Technological forecasting&social change, 2013, 80(8):1513-1522.
[36] HOWLETT M. Beyond good and evil in policy implementation:instrument mixes, implementation styles, and second generation theories of policy instrument choice[J]. Policy&society, 2004, 23(2):1-17.
[37]李健,顾拾金.政策工具视角下的中国慈善事业政策研究——以国务院《关于促进慈善事业健康发展的指导意见》为例[J].中国行政管理,2016(4):34-39.
[38]谢青,田志龙.创新政策如何推动我国新能源汽车产业的发展——基于政策工具与创新价值链的政策文本分析[J].科学学与科学技术管理,2015(6):3-14.
[39]财政部副司长:PPP中已现国资对民资的“挤出效应”[EB/OL].(2016-06-29)[2019-01-16].http://www. ccgp. gov. cn/ppp/ldjh/201606/t20160629_6968969.htm.
[40] HAQUE M S. The diminishing publicness of public service under the current mode of governance[J]. Public administration review, 2001, 61(1):65–82.