马 啸 马佳磊
摘 要：形式主义官僚主义是基层治理中政策执行变形的重要表现形式。然而，学界对基层治理中形式主义官僚主义现象成因的理论探索尚显薄弱。本文首先梳理了不同历史时期对形式主义官僚主义现象的界定，从变化的表现和定义中提炼抽象共性。在此基础上，本文从大型科层制组织内部层级关系和激励结构视角出发，提炼了影响基层官员行为的两个维度，即考核指标清晰化程度和激励方向。我们将这两个维度影响下的基层官员行为分为“不执行”“表演式执行”“过度执行”和积极执行四类，其中前三类都属于政策执行变形。在这一分析框架下，我们阐述了导致基层官员在政策执行过程中选择“不执行”“表演式执行”或“过度执行”的因素。设置合理的激励结构对于破除基层形式主义官僚主义、防止政策执行变形、实现国家治理现代化具有重要意义。
关键词：政策执行；激励结构；基层治理；形式主义；官僚主义
【作 者】马啸，北京大学政府管理学院助理教授、博士生导师；马佳磊，北京大学政府管理学院博士研究生。
【Title】Shadow of Bureaucratic Incentive Structure:
Types and Causes of Policy Implementation Distortion in Grassroots Governance
Abstract: Formalism and bureaucratism are important manifestations of the deformation of policy implementation in grassroots governance. However, theoretical examinations of the causes of formalism and bureaucratism in grassroots governance remain scant in the literature. This article first reviews thee changing definitions of formalism and bureaucratism in different historical periods, and then extracts the underlying commonalities beneath different manifestations and definitions. The article then draws on the perspectives of the internal hierarchical relationship and incentive structure of large-scale bureaucratic organizations and proposes two dimensions that would affect the behaviors of grassroots officials, namely, the clarity of assessment indicators and the direction of incentives. We categorize the policy implementation behaviors of grassroots officials under these two dimensions into four types: "non-action", "performative action", "excessive action" and active action, of which the first three categories are all deformations of policy implementation. Under this analytical framework, we elaborate on the factors that lead grassroots officials to take "non-action", "performative action" or "excessive action" in the process of policy implementation. Instituting an appropriate incentive structure is of great importance to the elimination of formalism and bureaucratism, the prevention of deformation of policy implementation and the modernization of state governance.
Keywords: Policy implementation; Incentive structure; Grassroots governance; Formalism; Bureaucratism