政策执行研究“第三阶段”的核心议题与理论逻辑进路

学术界普遍认为,政策执行研究业已经历了三个发展阶段。第一阶段将政策执行议题引入公共管理研究领域,第二阶段提出了"自上而下"与"自下而上"两个政策执行过程模型,第三阶段从20世纪末延续至今,在这一阶段学界尚未形成有关核心议题与主要理论发现的共识性认知。基于对政策执行研究第三阶段文献的关键词网络分析与内容梳理,本文总结提出这一阶段政策执行研究的核心议题,即"哪些因素导致了政策执行失败的发生"。围绕这一核心议题,国内外研究者们以自上而下与自下而上模型为认知基础,沿循"先单一方向、再上下综合、最后由内至外"的逻辑进路,挖掘出五大类可能导致政策执行失败的因素,即政策设计与政策特质、政策执行者个人特质及行动选择、科层结构与制度、央地关系以及外部环境因素。这五大因素构成了一个完整的政策执行失败解释因素理论框架。

Core Issue and Logic Approach of Policy Implementation Study in the Third Generation

Public administration researchers generally contend that policy implementation study has gone through three generations of development so far.The first generation introduced implementation issues into the field of policy research and the second generation proposed two well-known policy implementation processes models,which are the Top-down model and the Bottom-up model.Though the third generation of policy implementation study has developed for decades,consensus about its core issue and logic approach is not reached yet.Based on network analysis method and theoretical analysis,this paper proposes that the core topic of the third-generation policy implementation study is to dig out the multiple factors that lead to policy implementation failures.Inspired by the Top-down model and Bottom-up model,factors discovered by researchers could be classified into five categories,which are policy design and trait,policy implementer’s preference and action choice,bureaucratic structure and arrangement,central-Local relation and factor from external envi-ronment.A theoretical framework about factors of policy implementation failure is established then.