从制度主义转向行动主义的社会治理--读张康之教授《公共行政的行动主义》

近代以来的社会治理突出了制度主义的逻辑，社会治理的一切活动都是在制度的框架下开展的。制度主义逻辑中的社会治理依附于中心—边缘的社会结构，政府位于社会治理的中心，通过制度对社会进行普遍性的统一的治理，结果却在对技术理性的追求中把社会治理导向了精英治理的格局。自20世纪80年代起，人类社会进入了高度复杂性与高度不确定性的历史阶段，政府垄断社会治理的局面受到了挑战，依靠制度的社会治理出现了失灵，因而需要谋求新型社会治理模式的建构。就现实的社会治理过程来看，由于社会治理主体的多元化，行动与制度之间的逻辑关系被重置。民主的内涵从制度转向行动，专注于行动会把社会治理引向合作治理的方向。张康之教授的《公共行政的行动主义》为我们展示了社会治理从制度主义到行动主义的转向，并创造性地描述了走向合作治理的图景。     

New Institutionalism and Minority Protection in the National Legislatures of Finland and Denmark

The individual camps within the new institutionalist paradigm generally argue that every political actor operates within a specific framework of opportunities and that the physical environment in which bargaining takes place is very important to understanding political outcomes. This article uses three of the new institutionalisms to answer two important questions concerning minority‐protecting institutions in the national constitutions of Denmark (Article 42) and Finland (Section 66). First, why were such institutions developed? Second, why were these institutions ultimately removed in Finland, but not in Denmark? For both countries, it is argued in this article that historical and discursive institutionalism are useful for understanding why such protections were originally considered necessary by particular political groups in society: the rise of socialism during the late twentieth and early twenty‐first centuries compelled non‐reformist parties to push strongly for constitutional change that would legalize powerful procedural tools that could delay and potentially reverse policy decisions passed in parliament. However, the article invokes rational choice institutionalism to explain why the outcomes in terms of the use of such institutions differed over time in the two countries: differences concerning the scope and timing of the relevant procedures compelled opposition parties to utilize them differently. As a result, the legislative process was often stalemated in Finland (and the procedures were subsequently removed in 1992), while in Denmark, the procedures contributed to a parliamentary culture based on consensus and pre‐legislative bargaining and hence, still remain.     

The Four Faces of Institutionalism: Public Policy and a Pluralistic Perspective

Contending conceptions of the "new" institutionalism claim to offer approaches that can develop generalizable social scientific theories of behavior. This article challenges that proposition, arguing that contingencies exist in which specific forms of institutionalism are best suited to addressing particular types of questions. Viewed through the prism of public policy, it develops the argument that 'policy dictates politics.' It suggests that four variants of institutionalism (historical, new economic, normative, and billiard ball) are each systematically most appropriate to examine the issues in the policy domains of redistribution, regulation, modernization, and liberalization, respectively.     

理解治理多样性：一种国家治理的新科学

现代社会及其公共事务的复杂性对治理构成了严峻的挑战。为了应对公共事务的复杂性、多规模性、嵌套性和动态性,很多研究者提出了不同的治理理论,并且都试图寻找“治理万能药”,以一种治理方式适用所有情景。然而人类要真正解决所面临的公共事务治理难题,就需要实现“认识论哲学”的转型,以“多样性”的思维范式取代“单一性”思维范式,按照“治理多样性”的新范式来重构治理体制“。治理多样性”分析范式是一种治理的新科学,其分析框架主要包括“行动者、机制、物品属性、结构和绩效”等要素,核心是公共事务与治理系统的有效匹配,实现基于“多行动者——多机制——多属性——多结构——多目标”的治理,多样性是其内在逻辑。治理本身是一个复杂演进和相互调适的过程“。治理多样性”要应用于治理实践,就需要发展出“诊断、设计和学习模型”。     

Experimentalist interactions: Joining up the transnational timber legality regime

This paper analyzes the interactions between the separate components of the emerging transnational timber legality regime, both public and private. It examines how far, and through what institutional mechanisms, these interactions are producing a joined-up transnational regime, based on a shared normative commitment to combat illegal logging and cooperative efforts to implement and enforce it. The paper argues that the experimentalist architecture of the EU FLEGT initiative has fostered productive, mutually reinforcing interactions both with public timber legality regulation in other consumer countries and with private certification schemes. But this emerging regime remains highly polyarchic, with broad scope for autonomous initiatives by NGOs and private service providers, along with national governments, international organizations, and multi-donor partnerships. Hence horizontal integration and coordination within it depend on a series of institutional mechanisms, some of which are distinctively experimentalist, while others can also be found in more conventional regimes. These mechanisms include cross-referencing and reciprocal endorsement of rules and standards; recursive learning through information pooling and peer review of implementation experience; public oversight and joint assessment of private certification and legality verification schemes; and the “penalty default” effect of public legality regulation in consumer countries, which have pushed both exporting countries and transnational firms to comply with the norms and procedures of the emerging transnational regime. The paper's findings thus provide robust new evidence for the claim advanced in previous work that a joined-up transnational regime can be assembled piece by piece under polyarchic conditions through coordinated learning from decentralized experimentation, without a hegemonic power to impose common global rules.     

Designing stakeholder consultations: Reinforcing or alleviating bias in the European Union system of governance?

Consultations with stakeholders are a policy instrument widely used by policy makers to design policies and prepare legislative proposals across national and supranational systems of government. The European Union has recently reviewed its stakeholder consultation regime and asked for stakeholders’ policy input. This offers an opportunity to examine empirically stakeholders’ own evaluation of the regime and to ask a fundamental question about its democratic credentials: Do stakeholders recognise the EU consultation regime as reinforcing bias in interest representation by benefiting policy insiders, or conversely as an instrument that alleviates bias in supranational policy making? Building on rational choice institutionalism, this article outlines the potential distributional outcomes of the regime and argues that they are likely to vary along the lines of a classic divide in policy making that opposes policy insiders to outsiders. Two competing narratives are discussed in relation to the expected direction of this variation by focusing on insiders’ incentives to support or oppose the regime. The observable implications are tested empirically on an original dataset containing information about stakeholders’ positions on the evaluation of the regime status quo, its proposed further institutionalisation and their recommendations for change. The findings describe a consultation regime that seems to have created conditions alleviating bias in stakeholders’ participation in supranational policy making. This is evident in the lack of systematic, significant differences between insiders and outsiders in the evaluation of the consultation regime. Where differences do occur, they are consistent with the image of a consultation regime that has not reinforced bias in favour of policy insiders. These actors are found to be more critical of the regime status quo, its institutionalisation and more inclined to recommend policy improvements. This supports an optimistic view over the democratic credentials and legitimacy of the EU consultation regime and outlines an additional scenario under which policy actors that are traditionally associated with exerting more power and influence find themselves stripped of their privileged position in the context of European supranational governance.     

Social humanities

With the rise to eminence and influence of scientists in recent years the distinction between scientific judgment and the judgment of scientists has been increasingly blurred. In particular, the meaning and definition of the social sciences and of their auxiliary or more applied disciplines has become confused. On the one hand, several value-centered undertakings such as policy analysis or planning have laid claim to status as sciences, while on the other hand, social scientists have increasingly attacked the legitimacy or reasonableness of the goal of value-free social science. Scientific publicists further confuse the discussion by arguing for the discovery of a value-free, scientific basis for society in which applied science equals policy. The result has been to damage the effectiveness of both scientific and nonscientific efforts, and to confuse the relationship of their activities in the minds of those who regularly feel compelled to cross a variety of scientific and nonscientific frontiers.     

The Potential of Path Dependence in Political Studies

This article explores the difficulties with both the theoretical content and application of the concept of 'path dependence' in political studies, but suggests that, by combining it with insights from morphogenetic social theory, we can provide a coherent framework for its use. After providing a brief survey of the literature on path dependence, it presents a summary of the most significant criticisms made of the approach. The article then moves on to examine morphogenetic social theory and its potential to meet these criticisms before concluding by characterising the elements of a path-dependent system incorporating insights from both new institutionalism and morphogenetic social theory.     

Accommodation or ‘cleansing’: Germany's state employees from the old regime

Two theoretical traditions within comparative political analysis suggest very different answers to the question of what post‐transformation East Central European states should do with bureaucrats from the old regime. A state‐centred Weberian ‘competence’ institutionalism suggests a de‐politicised accommodation and retention of former officials. A society‐centred timing/intensity/mobilisation perspective suggests a politicised ‘cleansing’ of bureaucrats. Applied to the Federal Republic of Germany, the successor regime to the GDR, each perspective is found to be wanting. In their place, this essay offers a distinctly German statist ‘political’ institutionalism combined with a distinctly Western German societalist politicisation.     

Game Changing – Tracing the Positions,Strategies and Interaction Modes of the German Länder towards the (Ever Expanding?) European Union

This article investigates how the positions, strategies and modes of interaction of the German Länder have changed over time in response to the process of Europeanization. By applying the method of process tracing within a theoretical framework of rational choice institutionalism, the article concentrates on the Länder's responses to (1) the transfer of policy competences to the European level and (2) the enlargement of the European polity. Thereby, the article sheds new light on the Europeanization of the German federal system. It is shown that the transfer of policy competences to the European level have had the greatest impact on the Länder, which have reacted increasingly strategically by successfully demanding more power in the national coordination mechanism. However, the European Union enlargements have also had an effect as together with the transfer of policy competences they have resulted in a more sceptical attitude of the Länder towards (the perceived ever expanding) European Union.     

Mr. Justice Brandeis and the Creation of the Federal Register

The creation of the Federal Register in 1935 was crucial in enhancing transparency in American national government and its accountability under law. This historic action during the troubled New Deal era established a core institutional framework that endures as the nation begins a new century and as public administration struggles with an era of new institutionalism. Drawing on archival records and interviews, this article examines the political, administrative, and legal factors that led to the Register's creation. In particular, it sheds light on the little known but pivotal role played by Justice Brandeis in an extrajudicial capacity in this process. Brandeis's actions derive, in part, from his lifelong concern for fostering government openness and ensuring accountability under law from government bureaucracy. Without his intervention, it is unlikely the Federal Register Act would have been enacted at the time and in its important institutional form.     

A theoretical basis for participatory planning

Arguments are presented for the reconsideration of models which guide planning behavior and structure planning organizations. Hierarchical organizations are contrasted with reticular organizations and the latter are presented as necessary for effective citizen participation. Legitimacy is presented as a fundamental basis of justifying planning action and historical shifts in forms of legitimacy are noted. Participation, as a form of legitimacy, and several aspects of participatory planning are discussed in terms of recent systems thinking. It is argued that participatory planning increases the effectiveness and adaptivity of the planning process and contributes adaptivity and stability to the societal system. Further, it is argued that citizen participation is an essential element in making the planning process a learning system. This leads to a strengthening of the definition and role of communities in the urban system, and to an unexpected requirement of planners who would adopt a participatory planning process.     

Tasmania's Tamar Valley Pulp Mill: A Comparison of Planning Processes Using a Good Environmental Governance Framework

In November 2004, the Tasmanian government requested the state's planning body, the Resource Planning and Development Commission (RPDC), to undertake an evaluation of a proposal to establish a pulp mill at Long Reach near Bell Bay on Tasmania's Tamar Estuary. In early 2007, Gunns Limited, the project's proponent, pulled out of the RPDC process and the government established an alternative, ‘fast‐track’ process under the Pulp Mill Assessment Act (PMAA). This article evaluates the RPDC and the PMAA assessment processes using a ‘good environmental governance’ framework composed of eight criteria – transparency, accountability, openness, balance, deliberation, efficiency, science and risk. The comparison reveals that although the RPDC process fell short of the ideal, it was markedly superior to the PMAA process that replaced it. The case highlights how political economic power can be used to the detriment of public planning and the communities and environment that rely on it.     

坚持科学执政、民主执政、依法执政——兼论我国社会主义民主政治建设问题

坚持科学执政、民主执政、依法执政,是发展社会主义民主政治的必然要求和必要条件,也是推进国家治理体系和治理能力现代化的关键所在。为此,要把党的领导方式和执政方式嵌入到社会主义民主和法治的制度框架之中,把科学执政、民主执政、依法执政有机统一起来,把“为人民执政”和“靠人民执政”有机统一起来。其前提是澄清我国民主政治建设的一些重大理论和实践问题,在知行合一的前提下不失时机地推进社会主义民主政治建设。     

中国食品安全监管——基于体制变迁与绩效评估的实证研究

自新中国成立以来,中国食品安全管理体制经历了一个怎样的历史变化过程?从历史制度分析的方法论出发,如何从监管者、监管对象以及监管过程三个角度来界定这样的历史变化过程?现行的食品安全监管体制绩效如何?根据不同时期食品安全管理主体、对象以及政策工具的差异,将建国以来我国食品安全管理体制区分为指令型体制、混合型体制与监管型体制三个阶段,同时对不同阶段的发展脉络、具体特征以及体制利弊进行了归纳总结。此外,选择了四个具有代表性的指标,对1990年至今的中国食品安全变化态势进行了测量,发现我国食品安全的形势经历了一个明显的V型曲线发展过程,并据此对这一过程提出自己的解释假设,以此为中国食品安全监管的历史和现状提供一个白描式的描述图景。结合历史制度主义的分析范式,从四个方面综合分析出制约中国食品安全监管绩效优化的四大结构性因素,从而将其监管绩效的现状与历史制度根源联系起来,提出未来中国食品安全监管体制的改革方向。     

Science and Politics in the Regulation of Genetically Modified Organisms in Brazil

This paper analyzes the regulation of genetically modified organisms (GMOs) in Brazil, focusing on the debates that preceded the enactment in 2005 of the current Biosafety Law and the factors (both domestic and international) that influenced the policy‐making process. More specifically, it identifies the social and governmental actors that influenced the congressional debates, showing how their interests and agenda were translated into two different institutional frameworks. Here, the policy outcome was what we call a “hybrid” and “conciliatory” regulatory model, which formally acknowledges the importance of both technical/scientific and social/political considerations in the evaluation of GMO biosafety and engages most of the stakeholders in the regulatory process. The new policy regime also establishes a middle ground between the conflicting demands of promoting agricultural development and protecting the country's biodiversity.     

Science Use in Regulatory Impact Analysis: The Effects of Political Attention and Controversy

Scholars, policy makers, and research sponsors have long sought to understand the conditions under which scientific research is used in the policy‐making process. Recent research has identified a resource that can be used to trace the use of science across time and many policy domains. U.S. federal agencies are mandated by executive order to justify all economically significant regulations by regulatory impact analyses (RIAs), in which they present evidence of the scientific underpinnings and consequences of the proposed rule. To gain new insight into when and how regulators invoke science in their policy justifications, we ask: does the political attention and controversy surrounding a regulation affect the extent to which science is utilized in RIAs? We examine scientific citation activity in all 101 economically significant RIAs from 2008 to 2012 and evaluate the effects of attention—from the public, policy elites, and the media—on the degree of science use in RIAs. Our main finding is that regulators draw more heavily on scientific research when justifying rules subject to a high degree of attention from outside actors. These findings suggest that scientific research plays an important role in the justification of regulations, especially those that are highly salient to the public and other policy actors.     

Decision process models and the needs of policy-makers: Thoughts on the foreign policy interface

Many political scientists are not at all convinced that empirically verifiable generalizations about political behavior can ever be produced. There are thus many who believe that political scientists can never exert a significant impact upon the public policy-making process. Perhaps one way of narrowing the gap between the researcher and the policy-maker is to examine the public (foreign) policy decision-making process, pinpoint the leverage points within the process where social and political scientists (who engage in foreign policy analysis) might help, and then list the kinds and methods of analysis that would contribute the most to the process. The work of Harold D. Lasswell, James E. Anderson, E. S. Quade, William D. Coplin, and Charles F. Hermann can help us define the (foreign) policy-making process and locate the points at which scientific analysis can help the (foreign) policy-maker. The matching of these leverage points with types and instances of relevant analyses, as well as the methodologies necessary to carry out the analyses results in a matrix of decision tasks and research tasks which may be viewed as an agenda for the conduct of policy relevant research.The views and conclusions contained in this document are those of the author and should not be interpreted as necessarily representing the official policies, either expressed or implied, of the Defense Advanced Research Projects Agency or any other agency of the U.S. Government.     

Stages in the Evolution of Holocaust Studies: From the Nuremberg Trials to the Present

Measuring genocide is an effort to treat the Holocaust within the framework of the history of ideas, specifically, how an event of enormous magnitude in terms of life and death issues as such embodied within a political system called National Socialism has an intellectual afterlife of some consequence. The article attempts to develop a four-stage post-Holocaust accounting of events that took place between 1933 and 1945. The first stage is biographical and autobiographical, followed by a second stage of ethnographies of survivors and victimizers. The third stage is dominated by historians and social scientific efforts to examine the “logic” of mass murder. The fourth and current stage is microanalysis, in which sharp and clear distinctions are made between differential treatment of victims in a variety of regions, states, nations, and even concentration camps. It should be understood that these four stages do not negate one another but co-exist in the lasting if uneasy effort to understand the Holocaust.     

The Dynamics of Intra-jurisdictional Relations in the Inuit Regions of the Canadian Arctic: An Institutionalist Perspective

One of the most exciting developments in Canadian federalism has been the emergence of Aboriginal self-governing regions. This paper constructs a theoretical framework for exploring the evolution of intra-jurisdictional relations in the self-governing Inuit regions of the Canadian Arctic. Intra-jurisdictional relations in these regions are characterized by a unique set of relationships between elected governments and organizations that represent the beneficiaries of land-claims agreements. Using the literature on historical institutionalism, we argue that the nature of Inuit intra-jurisdictional relations following the establishment of self-government can be explained by the institutional choices made prior to the signing of land-claims agreements and/or self-government agreements. To illustrate the potential of our framework for analysing Inuit intra-jurisdictional relations, we briefly examine the experiences of Nunavut, an Inuit-dominated region and the newest territory in the Canadian federation.