公共政策分析7-政策工具课件

政策工具PolicyInstruments2022/11/261政策工具PolicyInstruments2022/11/2Whatispolicyinstrument?

什么是政策工具政策工具，亦称为政策手段，或治理工具。Policyinstruments:alsocalledpolicytoolsorgoverninginstruments

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。Thesearetheactualmeansordevicesgovernmentshaveattheirdisposalforimplementingpolicies,andamongwhichtheymustselectinformulatingpolicy.

政府是干预者。政策工具就是干预的手段Government-as-intervener:Policyinstrumentsasformsofintervention2022/11/262Whatispolicyinstrument?

什么3政策工具的分类组织类工具Organization-basedinstruments权威类工具Authority-basedinstruments财政类工具Treasure-basedinstruments信息类工具Information-basedinstruments2022/11/263政策工具的分类2022/11/26NodalityAuthorityTreasureOrganizationInformationMonitoringandReleaseCommandandControlRegulationGrantandLoansDirectProvisionofGoodsandServicesandPublicEnterprisesAdviceandExhortationSelf-regulationUserChargesUseofFamily,Community,andVoluntaryOrganizationsAdvertisingStandard-settingandDelegatedRegulationTaxesandTaxExpendituresMarketCreationCommissionsandInquiriesAdvisoryCommitteesandConsultationsInterestGroupCreationandFundingGovernmentReorganizationSOURCE:AdaptedfromChristopherHood,TheToolsof

Government(Chattham,NJ:ChatthamHouse,1986),124-52022/11/264NodalityAuthorityTreasureOrgan5

权威类工具

Authority-Basedinstruments

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。Regulationisaprescriptionbythegovernmentthatmustbecompliedwithbytheintendedtargets;failuretodosousuallyinvolvesapenalty.管制有很多方式：规则、标准、许可、禁止、法律、行政命令。Regulationstakevariousformsandincluderules,standards,permits,prohibitions,laws,andexecutiveorders.2022/11/265

权威类工具

Authority-Basedinstru6权威类工具

Authority-Basedinstruments命令与控制式管制：Commandandcontrolregulation:主要是指处理犯罪行为的管制，涉及警察与司法系统。Regulationsdealingwithcriminalbehaviors,involvethepoliceandjudicialsystem行政指令：Administrativeedicts:特别的、准司法政府机构（如；美国的独立管理委员会）Specialized,quasi-judicialgovernmentagency(e.g.,independentregulatorycommissionsinUSA)2022/11/266权威类工具

Authority-Basedinstrum7

权威类工具

Authority-Basedinstruments

管制的性质：Naturesofregulations经济管制：Economicregulations:生产过程的方方面面，特别是有关特定的产品和服务的控制，例如，对生产价格和产量，投资回报等控制。Controlaspectsoftheproductionprocessesspecifictoparticulargoodsandservices,suchasthepricesandvolumesofproduction,orreturnoninvestment,andsoon.是一种传统的管制方式。Atraditionalformofregulations2022/11/267

权威类工具

Authority-Basedinstru8

权威类工具

Authority-Basedinstruments

社会管制：Socialregulations:对医疗卫生、安全和诸如民权和各类歧视问题等社会行为的控制。Controlsinmattersofhealth,safety,andsocialpracticessuchascivilrightsanddiscriminationofvarioussorts.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。Theyhavemoretodowithourphysicalandmoralwell-beingthanwithourpocketbooks.2022/11/268

权威类工具

Authority-Basedinstru9权威类工具

Authority-Basedinstruments社会管制的事例：Examplesofsocialregulations:有关酒精饮料的消费和出售、赌博、消费产品安全、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。rulesregardingliquorconsumptionandsales,gambling,consumerproductsafety,occupationalhazards,water-relatedhazards,airpollution,noisepollution,discriminationonthebasisofreligion,race,gender,orethnicity,andpornography.2022/11/269权威类工具

Authority-Basedinstrum10权威类工具

Authority-Basedinstruments

经济管制与社会管制有交叉地带。Thereisagreatdealofoverlapbetweeneconomicregulationsandsocialones.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。Socialregulationstendtobemoregeneralthaneconomiconesanddonotfocusonparticularindustriesasdoeconomicregulations.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、安全或伦理道德等较广泛性的问题。Socialregulationstendtocutacrossseveralsectorsandcomeunderthejurisdictionofseveralgovernmentagencies,andfocusonbroaderproblemsorfunctions,suchaspollution,safety,ormorality.2022/11/2610权威类工具

Authority-Basedinstru11权威类工具

Authority-Basedinstruments

管制作为政策工具的优点：Advantagesofregulationsasapolicyinstrument:所需的信息比较少。Informationneededisless政府的行动和计划可以更好地协调。Betterco-ordinationofgovernmenteffortsandplanning.比较适合于危机管理Moresuitableincrisismanagement成本较低Lesscostly政治上较吸引Politicallyappealing2022/11/2611权威类工具

Authority-Basedinstru12权威类工具

Authority-Basedinstruments

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。Distortvoluntaryorprivate-sectoractivitiesandpromoteeconomicinefficiencies.抑制创新和技术进步。Inhibitinnovationandtechnologicalprogress没有弹性，不允许考虑个别情况。Beinginflexibleanddonotpermittheconsiderationofindividualcircumstances.管理中的困难。Difficultiesinadministration

高执行成本。Highcostofenforcement.2022/11/2612权威类工具

Authority-Basedinstru么么么么方面Sds绝对是假的么么么么方面Sds绝对是假的么么么么方面Sds绝对是假的2022/11/2614么么么么方面Sds绝对是假的2022/11/261415权威类工具

Authority-Basedinstruments

授权或自我管制DelegatedorSelf-Regulation:政府可以允许非政府主体进行自我管制。Governmentsallownon-governmentalactorstoregulatethemselves.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。Thesedelegationscanbeexplicitanddirect,whengovernmentsallowprofessionssuchasdoctors,lawyers,orteacherstoregulatethemselvesthroughthegrantofalicensingmonopolytoabarassociation,acollegeofphysiciansandsurgeons,orateachers’college(professionalregulation).2022/11/2615权威类工具

Authority-Basedinstru16权威类工具

Authority-Basedinstruments

不太清晰的授权：自愿设立标准。Lessexplicitdelegations:voluntarystandard-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达到了标准。Wheremanufacturingcompaniesdevelopstandardsforproductsorwhereindependentcertificationfirmsorassociationscertifythatcertainstandardshavemetinvariouskindsofprivatepractices.这些标准不是由政府来执行。Thesestandardsarenotenforcedbygovernment.

2022/11/2616权威类工具

Authority-Basedinstru17权威类工具

Authority-Basedinstruments

优点Advantages:节省成本：Cost-saving:governmentsdonothavetopayforthecreation,administration,andrenewalofsuchstandards.缺点：Disadvantages:管理自愿标准往往缺乏效力：如安隆丑闻Ineffectiveorinefficientadministrationofvoluntarystandards.Forinstance,Enronscandal(2002)andaccountingprofessionalregulations.2022/11/2617权威类工具

Authority-Basedinstru18财政类工具

Treasure-basedinstruments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基础。Thiscategoryreliesongovernmentfinancialresourcesandthegovernment’sabilitytoraiseanddisbursefunds.包括政府向个人、公司、组织的各种形式的财政转移，Itreferstoallformsoffinancialtransferstoindividuals,firms,andorganizationsfromgovernmentsorfromotherindividuals,firms,ororganizationsundergovernmentdirection.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。Thesetransferscanserveasincentivesordisincentivesforprivatesectorstofollowthewishesofgovernment.2022/11/2618财政类工具

Treasure-basedinstrum19财政类工具

Treasure-basedinstruments补贴：补助金、税务激励、贷款Subsidies:Grants,Taxincentives,andloans补助金：Grants:expendituresmadeinsupportofsomeendworthyinitself,almostasaformofrecognition,rewardorencouragement,butnotcloselycalibrated（校准）tothecostsofachievingthatend.税务激励：Taxincentives:involvingremissionoftaxesinsomeform,suchasdeferrals（缓交）,deductions

（减除）,credits

（赊欠）,exclusions（不予计列）,orpreferredrates（优惠税率）,contingentonsomeact(ortheomissionofsomeact).从政府取得低息贷款也是一种补贴。Loansfromthegovernmentataninterestratebelowthemarketratearealsoaformofsubsidy.2022/11/2619财政类工具

Treasure-basedinstrum20财政类工具

Treasure-basedinstruments优点：Advantages:容易确立。Easytoestablish

弹性管理工具。Flexibleinstrumenttoadministrate鼓励创新。Encourageinnovation

低成本。Lowcost政治上更易接受。Politicallymoreacceptable.2022/11/2620财政类工具

Treasure-basedinstrum21财政类工具

Treasure-basedinstruments缺点：Disadvantages:难以通过正式的预算过程。Difficulttopassthroughtheformalbudgetaryprocess.收集信息的成本高。Highcostofgatheringinformation取得预期效果之前的时滞很明显。Timelagbeforethedesiredeffectsarediscernible.可能给受益者太多补贴。Causingawindfall(横财）

fortherecipients

（toomanysubsidies).一些国际协定所禁止。Bannedbyinternationalagreements.可能达不到预期效果（maynotaccomplishthegoal)2022/11/2621财政类工具

Treasure-basedinstrum22财政类工具

Treasure-basedinstruments财政阻碍：税收与用者付费FinancialDisincentives:TaxesandUserCharges税收是个人或公司依法向政府提供的强制支付。Ataxisalegallyprescribedcompulsorypaymenttogovernmentbyapersonorfirm.税收主要目的提供政府岁入。Themainpurposeofataxisnormallytoraiserevenuesforthegovernment’sfinancingofexpenditures.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。Itcanbeusedasapolicyinstrumenttoinducedesiredbehaviorordiscourageanundesirablebehavior.2022/11/2622财政类工具

Treasure-basedinstrum23财政类工具

Treasure-basedinstruments税收作为政策工具的一种创新的使用是用者付费。Aparticularlyinnovativeuseofataxasapolicyinstrumentisausercharge.用者付费，与产权拍卖相似，是管制与市场工具的结合。Usercharges,similartoauctionsofpropertyrights,areacombinationofregulationandmarketinstruments.用者付费通常用来控制负外部性，如污染控制。Userchargesaremostcommonlyusedtocontrolnegativeexternalities.(areaofpollutioncontrol)2022/11/2623财政类工具

Treasure-basedinstrum24组织类政策工具

organization-basedinstruments政府有人和物资设备。具体有：直接提供产品和服务，设立公共企业、创造市场、改革政府等。Organization–possessionofpeopleandotherphysicalinputs(e.g.materialsandequipment)arrangedinaparticularway).Examples:directprovisionofgoodsandservicesandpublicenterprises,useoffamily,community,andvoluntaryorganizations,marketcreation,andgovernmentreorganization.2022/11/2624组织类政策工具

organization-basedi25

信息类基础的工具

Nodalityor

information-basedinstruments

这类政策工具是以政府控制的信息资源为基础的，包括：Thiscategoryofpolicytoolsinvolvestheuseofinformationresourcesatthedisposalofgovernment,including:公共信息运动/广告Publicinformationcampaigns/advertisingcampaigns.Exhortation(劝告）/Suasion/说服研究调查、信息自由立法。Researchinquiries,investigativecommissions,andfreedomofinformationlegislation2022/11/2625

信息类基础的工具

Nodalityor

infor政策工具PolicyInstruments2022/11/2626政策工具PolicyInstruments2022/11/27Whatispolicyinstrument?

什么是政策工具政策工具，亦称为政策手段，或治理工具。Policyinstruments:alsocalledpolicytoolsorgoverninginstruments

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。Thesearetheactualmeansordevicesgovernmentshaveattheirdisposalforimplementingpolicies,andamongwhichtheymustselectinformulatingpolicy.

政府是干预者。政策工具就是干预的手段Government-as-intervener:Policyinstrumentsasformsofintervention2022/11/262Whatispolicyinstrument?

什么28政策工具的分类组织类工具Organization-basedinstruments权威类工具Authority-basedinstruments财政类工具Treasure-basedinstruments信息类工具Information-basedinstruments2022/11/263政策工具的分类2022/11/26NodalityAuthorityTreasureOrganizationInformationMonitoringandReleaseCommandandControlRegulationGrantandLoansDirectProvisionofGoodsandServicesandPublicEnterprisesAdviceandExhortationSelf-regulationUserChargesUseofFamily,Community,andVoluntaryOrganizationsAdvertisingStandard-settingandDelegatedRegulationTaxesandTaxExpendituresMarketCreationCommissionsandInquiriesAdvisoryCommitteesandConsultationsInterestGroupCreationandFundingGovernmentReorganizationSOURCE:AdaptedfromChristopherHood,TheToolsof

Government(Chattham,NJ:ChatthamHouse,1986),124-52022/11/2629NodalityAuthorityTreasureOrgan30

权威类工具

Authority-Basedinstruments

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。Regulationisaprescriptionbythegovernmentthatmustbecompliedwithbytheintendedtargets;failuretodosousuallyinvolvesapenalty.管制有很多方式：规则、标准、许可、禁止、法律、行政命令。Regulationstakevariousformsandincluderules,standards,permits,prohibitions,laws,andexecutiveorders.2022/11/265

权威类工具

Authority-Basedinstru31权威类工具

Authority-Basedinstruments命令与控制式管制：Commandandcontrolregulation:主要是指处理犯罪行为的管制，涉及警察与司法系统。Regulationsdealingwithcriminalbehaviors,involvethepoliceandjudicialsystem行政指令：Administrativeedicts:特别的、准司法政府机构（如；美国的独立管理委员会）Specialized,quasi-judicialgovernmentagency(e.g.,independentregulatorycommissionsinUSA)2022/11/266权威类工具

Authority-Basedinstrum32

权威类工具

Authority-Basedinstruments

管制的性质：Naturesofregulations经济管制：Economicregulations:生产过程的方方面面，特别是有关特定的产品和服务的控制，例如，对生产价格和产量，投资回报等控制。Controlaspectsoftheproductionprocessesspecifictoparticulargoodsandservices,suchasthepricesandvolumesofproduction,orreturnoninvestment,andsoon.是一种传统的管制方式。Atraditionalformofregulations2022/11/267

权威类工具

Authority-Basedinstru33

权威类工具

Authority-Basedinstruments

社会管制：Socialregulations:对医疗卫生、安全和诸如民权和各类歧视问题等社会行为的控制。Controlsinmattersofhealth,safety,andsocialpracticessuchascivilrightsanddiscriminationofvarioussorts.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。Theyhavemoretodowithourphysicalandmoralwell-beingthanwithourpocketbooks.2022/11/268

权威类工具

Authority-Basedinstru34权威类工具

Authority-Basedinstruments社会管制的事例：Examplesofsocialregulations:有关酒精饮料的消费和出售、赌博、消费产品安全、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。rulesregardingliquorconsumptionandsales,gambling,consumerproductsafety,occupationalhazards,water-relatedhazards,airpollution,noisepollution,discriminationonthebasisofreligion,race,gender,orethnicity,andpornography.2022/11/269权威类工具

Authority-Basedinstrum35权威类工具

Authority-Basedinstruments

经济管制与社会管制有交叉地带。Thereisagreatdealofoverlapbetweeneconomicregulationsandsocialones.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。Socialregulationstendtobemoregeneralthaneconomiconesanddonotfocusonparticularindustriesasdoeconomicregulations.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、安全或伦理道德等较广泛性的问题。Socialregulationstendtocutacrossseveralsectorsandcomeunderthejurisdictionofseveralgovernmentagencies,andfocusonbroaderproblemsorfunctions,suchaspollution,safety,ormorality.2022/11/2610权威类工具

Authority-Basedinstru36权威类工具

Authority-Basedinstruments

管制作为政策工具的优点：Advantagesofregulationsasapolicyinstrument:所需的信息比较少。Informationneededisless政府的行动和计划可以更好地协调。Betterco-ordinationofgovernmenteffortsandplanning.比较适合于危机管理Moresuitableincrisismanagement成本较低Lesscostly政治上较吸引Politicallyappealing2022/11/2611权威类工具

Authority-Basedinstru37权威类工具

Authority-Basedinstruments

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。Distortvoluntaryorprivate-sectoractivitiesandpromoteeconomicinefficiencies.抑制创新和技术进步。Inhibitinnovationandtechnologicalprogress没有弹性，不允许考虑个别情况。Beinginflexibleanddonotpermittheconsiderationofindividualcircumstances.管理中的困难。Difficultiesinadministration

高执行成本。Highcostofenforcement.2022/11/2612权威类工具

Authority-Basedinstru么么么么方面Sds绝对是假的么么么么方面Sds绝对是假的么么么么方面Sds绝对是假的2022/11/2639么么么么方面Sds绝对是假的2022/11/261440权威类工具

Authority-Basedinstruments

授权或自我管制DelegatedorSelf-Regulation:政府可以允许非政府主体进行自我管制。Governmentsallownon-governmentalactorstoregulatethemselves.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。Thesedelegationscanbeexplicitanddirect,whengovernmentsallowprofessionssuchasdoctors,lawyers,orteacherstoregulatethemselvesthroughthegrantofalicensingmonopolytoabarassociation,acollegeofphysiciansandsurgeons,orateachers’college(professionalregulation).2022/11/2615权威类工具

Authority-Basedinstru41权威类工具

Authority-Basedinstruments

不太清晰的授权：自愿设立标准。Lessexplicitdelegations:voluntarystandard-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达到了标准。Wheremanufacturingcompaniesdevelopstandardsforproductsorwhereindependentcertificationfirmsorassociationscertifythatcertainstandardshavemetinvariouskindsofprivatepractices.这些标准不是由政府来执行。Thesestandardsarenotenforcedbygovernment.

2022/11/2616权威类工具

Authority-Basedinstru42权威类工具

Authority-Basedinstruments

优点Advantages:节省成本：Cost-saving:governmentsdonothavetopayforthecreation,administration,andrenewalofsuchstandards.缺点：Disadvantages:管理自愿标准往往缺乏效力：如安隆丑闻Ineffectiveorinefficientadministrationofvoluntarystandards.Forinstance,Enronscandal(2002)andaccountingprofessionalregulations.2022/11/2617权威类工具

Authority-Basedinstru43财政类工具

Treasure-basedinstruments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基础。Thiscategoryreliesongovernmentfinancialresourcesandthegovernment’sabilitytoraiseanddisbursefunds.包括政府向个人、公司、组织的各种形式的财政转移，Itreferstoallformsoffinancialtransferstoindividuals,firms,andorganizationsfromgovernmentsorfromotherindividuals,firms,ororganizationsundergovernmentdirection.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。Thesetransferscanserveasincentivesordisincentivesforprivatesectorstofollowthewishesofgovernment.2022/11/2618财政类工具

Treasure-basedinstrum44财政类工具

Treasure-basedinstruments补贴：补助金、税务激励、贷款Subsidies:Grants,Taxincentives,andloans补助金：Grants:expendituresmadeinsupportofsomeendworthyinitself,almostasaformofrecognition,rewardorencouragement,butnotcloselycalibrated（校准）tothecostsofachievingthatend.税务激励：Taxincentives:involvingremissionoftaxesinsomeform,suchasdeferrals（缓交）,deductions

（减除）,credits

（赊欠）,exclusions（不予计列）,orpreferredrates（优惠税率）,contingentonsomeact(ortheomissionofsomeact).从政府取得低息贷款也是一种补贴。Loansfromthegovernmentataninterestratebelowthemarketratearealsoaformofsubsidy.2022/11/2619财政类工具

Treasure-basedinstrum45财政类工具

Treasure-basedinstruments优点：Advantages:容易确立。Easytoestablish

弹性管理工具。Flexibleinstrumenttoadministrate鼓励创新。Encourageinnovation

低成本。Lowcost政治上更易接受。Politicallymoreacceptable.2022/11/2620财政类工具

Treasure-basedinstrum46财政类工具

Treasure-basedinstruments缺点：Disadvantages:难以通过正式的预算过程。Difficulttopassthroughtheformalbudgetaryprocess.收集信息的成本高。Highcostofgatheringinformation取得预期效果之前的时滞很明显。Timelagbeforethedesiredeffectsarediscernible.可能给受益者太多补贴。Cau