公共政策分析.7 政策工具

政策工具Policy Instruments2What 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。Policy instruments: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,and among which they must select 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 intervention3政策工具的分类组织类工具 Organization-based instruments权威类工具 Authority-based instruments财政类工具 Treasure-based instruments信息类工具 Information-based instrumentsNodalityAuthorityTreasureOrganizationInformation Monitoring and ReleaseCommand and Control RegulationGrant and Loans Direct Provision of Goods and Services and Public EnterprisesAdvice and ExhortationSelf-regulationUser ChargesUse of Family,Community,and Voluntary OrganizationsAdvertisingStandard-setting and Delegated RegulationTaxes and Tax ExpendituresMarket CreationCommissions and InquiriesAdvisory Committees and ConsultationsInterest Group Creation and FundingGovernment ReorganizationSOURCE:Adapted from Christopher Hood,The Tools of Government(Chattham,NJ:Chattham House,1986),124-55权威类工具Authority-Based instruments管制：政府制定的规定，要求指定目管制：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。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：规那么、标准、许管制有很多方式：规那么、标准、许可、禁止、法律、行政命令。可、禁止、法律、行政命令。Regulations take various forms and include rules,standards,permits,prohibitions,laws,and executive orders.6权威类工具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(e.g.,independent regulatory commissions in USA)7权威类工具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效劳的控制，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 volumes of production,or return on investment,and so on.是一种传统的管制方式。A traditional form of regulations8权威类工具Authority-Based instruments 社会管制：Social regulations:对医疗卫生、平安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 various 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.9权威类工具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、消费产品平安、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 consumption 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.10权威类工具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 economic 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 particular industries 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、平安或伦理道德等较广泛性的问题。Social regulations tend to cut across several sectors and come under the jurisdiction of several government agencies,and focus on broader problems or functions,such as pollution,safety,or morality.11权威类工具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政府的行动和方案可以更好地协调。Better co-ordination of government efforts and planning.比较适合于危机管理More suitable in crisis management本钱较低Less costly政治上较吸引Politically appealing12权威类工具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 inefficiencies.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 高执行本钱。High cost of enforcement.13权威类工具Authority-Based instruments 授权或自我管制Delegated or Self-Regulation:政府可以允许非政府主体进行自我管制。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 licensing monopoly to a bar association,a college of physicians and surgeons,or a teachers college(professional regulation).14权威类工具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到达了标准。Where manufacturing companies develop standards for products 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 government.15权威类工具Authority-Based instruments 优点Advantages:节省本钱：Cost-saving:governments do not have to pay for the creation,administration,and renewal of such standards.缺点：Disadvantages:管理自愿标准往往缺乏效力：如安隆丑闻Ineffective or inefficient administration of voluntary standards.For instance,Enron scandal(2002)and accounting professional regulations.16财政类工具Treasure-based instruments这类工具以政府的财政资源和政府筹集及支付资金的能力为根底。This category relies on government financial resources and the governments ability to raise and disburse funds.包括政府向个人、公司、组织的各种形式的财政转移，It refers to all forms of financial transfers to individuals,firms,and organizations from governments or from other individuals,firms,or organizations under government direction.这些转移也是向私人部门提供的诱因或阻碍以使其符合政府的意愿。These transfers can serve as incentives or disincentives for private sectors to follow the wishes of government.17财政类工具Treasure-based instruments 补贴：补助金、税务鼓励、贷款 Subsidies:Grants,Tax incentives,and loans补助金：Grants:expenditures made in support of some end worthy in itself,almost as a form of recognition,reward or encouragement,but not closely calibrated校准to the costs of achieving that end.税务鼓励：Tax incentives:involving remission of taxes in some form,such as deferrals缓交,deductions 减除,credits 赊欠,exclusions不予计列,or preferred rates优惠税率,contingent on some act(or the omission of some act).从政府取得低息贷款也是一种补贴。Loans from the government at an interest rate below the market rate are also a form of subsidy.18财政类工具Treasure-based instruments 优点：Advantages:容易确立。Easy to establish 弹性管理工具。Flexible instrument to administrate鼓励创新。Encourage innovation 低本钱。Low cost政治上更易接受。Politically more acceptable.19财政类工具Treasure-based instruments 缺点：Disadvantages:难以通过正式的预算过程。Difficult to pass through the formal budgetary process.收集信息的本钱高。High cost of gathering information取得预期效果之前的时滞很明显。Time lag before the desired effects are discernible.可能给受益者太多补贴。Causing a windfall(横财 for the recipients too many subsidies).一些国际协定所禁止。Banned by international agreements.可能达不到预期效果may not accomplish the goal)20财政类工具Treasure-based instruments 财政阻碍：税收与用者付费Financial Disincentives:Taxes and User Charges税收是个人或公司依法向政府提供的强制支付。A tax is a legally prescribed compulsory payment to government by a person or firm.税收主要目的提供政府岁入。The main purpose of a tax is normally to raise revenues for the governments financing of expenditures.作为政策工具，税收可以诱导想要的行为，也可以阻止不想要的行为。It can be used as a policy instrument to induce desired behavior or discourage an undesirable behavior.21财政类工具Treasure-based instruments 税收作为政策工具的一种创新的使用是用者付费。A particularly innovative use of a tax as a policy instrument is a user charge.用者付费，与产权拍卖相似，是管制与市场工具的结合。User charges,similar to auctions of property rights,are a combination of regulation and market instruments.用者付费通常用来控制负外部性，如污染控制。User charges are most commonly used to control negative externalities.(area of pollution control)22组织类政策工具organization-based instruments政府有人和物资设备。具体有：直接提供产品和效劳，设立公共企业、创造市场、改革政府等。Organization possession of people and other physical inputs(e.g.materials and equipment)arranged in a particular way).Examples:direct provision of goods and services and public enterprises,use of family,community,and voluntary organizations,market creation,and government reorganization.23信息类根底的工具Nodality or information-based instruments这类政策工具是以政府控制的信息资源为根底的，包括：This category of policy tools involves the use of information resources at the disposal of government,including:公共信息运动/广告Public information campaigns/advertising campaigns.Exhortation(劝告/Suasion/说服研究调查、信息自由立法。Research inquiries,investigative commissions,and freedom of information legislation