问责机制何以奏效？面向公共部门政策执行的实证研究

项目名称： 问责机制何以奏效？面向公共部门政策执行的实证研究

项目编号： No.71473190

项目类型： 面上项目

立项/批准年度： 2015

项目学科： 管理科学

项目作者： 阎波

作者单位： 西安交通大学

项目金额： 56万元

中文摘要： 当代中国公共部门政策执行领域的问责机制难以约束政策执行者的偏差行为，使学术界和实践者意识到需要反思问责机制的形成和作用机理，但缺乏系统梳理和实证研究。本研究在我国中央政府自上而下推行节能减排、计划生育等一票否决事项的背景下，综合运用调查研究、案例研究和实验研究等多元方法，在政策执行视角下对问责机制的形成与作用机理进行剖析，归纳问责机制的关键影响因素和对政策执行策略与绩效的影响。本研究拟从多维视角分析问责机制设计与政策执行者主观感知的关系；从自上而下、自下而上和组织外部的多元情境中识别影响问责机制的关键因素及其作用关系；发现组织的控制、激励和协同等功能要素对问责机制的影响路径；从执行者动机、意愿和基本特征等视角给出解释问责机制动态特征的规律认识；从执行策略及其绩效的角度归纳问责机制的压力效应。综合上述研究发现，回答问责机制何以奏效的谜题，为改进公共部门问责的制度设计提供理论依据。

中文关键词： 问责机制；政策执行；绩效管理；公共治理

英文摘要： It is difficult to restrict the practitioner's deviance by the accountability mechanism (AM) in the fields of policy implementation, yet the studies on exploring the formation and function of AM are rather few. This study investigates the antecedents and consequences of AM by means of multiple research methods and techniques, to analyze the formation and function of that under the context of implementing the policy targets with veto power in public sector, and to conclude the determinants of AM and its' impacts on implementation strategy as well as performance. It consists of following parts: explores the relationship between mechanism design and perceptions of AM, identifies the contextual factors of AM and its effects from upward, downward and outward aspects, recognizes the organizational determinants of AM from control, incentive and collaborative perspectives, distinguishes the effects of motives, intentions and personality on AM, and discovers the relationship between AM and implementation strategies as well as performance. The findings that answer the question how does accountability mechanism work will provide implications for improving the accountability system of public sector.

英文关键词： Accountability Mechanism;Policy Implementation;Performance Management;Governance