治理链嵌入：参与式政策创新的纵向深化
艾德洲
（东北财经大学 辽宁（大连）自贸区研究院，辽宁 大连116025)
摘要：参与式政策制定是政策创新的重要方向。但以往研究多关注参与者、民主决策方式等“去政府化”情景。文章基于海关总署在全国推广的自贸区制度创新案例，研究在“有为政府”情境下参与式政策创新的深化过程。文章提出：（1）在中国的“有为政府”情境下，仅仅通过开放共治环境，并不会实现参与式政策制定的纵向深化，治理链嵌入才是参与式政策创新实现纵向深化的直接动因；（2）治理链嵌入是市场主体向治理主体嵌入的过程，通过目标和行为嵌入，政策创新的参与者间合作更加紧密，不同主体的专业优势有效发挥，促进了参与式政策创新的纵向深化；（3）市场主体通过治理链嵌入促进政策创新，实际上是一个企业创新的政策内生过程，通过提升政策供给的精准性，从而实现外部政策与企业战略之间的相互赋能。文章对于参与式政策制定的理论和“有为政府”情境下参与式政策创新的实践都具有较高的借鉴意义。
关键词：自贸区；参与式政策创新；治理链嵌入
主要研究结论：文章基于海关总署在全国推广的“海关协调员制度”有关案例，研究在“有为政府”情境下市场主体参与政策创新的过程、背后的理论机制及其作用机理。文章得到以下结论：（1）在中国的“有为政府”情境下，仅仅通过开放共治环境，并不会实现参与式政策制定的纵向深化，治理链嵌入才是参与式政策创新实现纵向深化的直接动因；（2）治理链嵌入是市场主体向治理主体嵌入的过程，通过目标和行为嵌入，政策创新的参与者间合作更加紧密，不同主体的专业优势有效发挥，促进了参与式政策创新的纵向深化；（3）市场主体通过治理链嵌入促进政策创新，实际上是一个企业创新的政策内生过程，通过提升政策供给的精准性，从而实现外部政策与企业战略之间的相互赋能。
Embedment of governance chain: The vertical deepening of participatory policy innovation
Ai Dezhou
(Liaoning (Dalian) Free Trade Zone Research Institute, Dongbei University of Finance and Economics, Dalian 116025, Liaoning, China）
Abstract:Participatory policy formulation is an important trend of policy innovation. Regarding to this theme, most of the previous studies are focused on the "de-governmentalization" topics such as participants and methods of democratic decision-making. However, taking "participatory policy formulation" as a process of "democratization" is obviously inconsistent with the reform direction towards "promising government". According to the announcement of the General Administration of Customs on the Implementation of Matters Related to the Management of Enterprise Coordinators [Announcement No. 181 (2018) of the General Administration of Customs], Dalian Haier Refrigerator Manufacturing Company has achieved a miraculous innovation through the "internal processing" policy. This paper was based on the example of Dalian Haier Refrigerator Manufacturing Company, and aims to study the deepening process of participatory policy innovation in the context of "promising government". The case of Haier not only has widened social recognition, but also developed in the international, legal, and market-oriented innovation environment. As a result, the basic information of the case can be easily searched, and it does not involve any sensitive issues related to government-enterprise cooperation such as ownership.
According to the standard principles of case study, the paper is mainly divided into five parts: introduction, literature review, research design, theoretical analysis, conclusion and contribution. First, in the introduction part, the author posed the problem of the applicability of relevant researches in the context of "promising government" in China based on the literature review of "participatory policy making". Then, relevant theories on the customer′s participation in innovation were mainly introduced in the literature review section. As for the research design, this paper presented a detailed description of the source of the case information and the design of the research program. Besides that, in the research design section, the development history of Haier Refrigerator Manufacturing Company was presented based on research data. Finally, a theoretical analysis was made including two parts: response to traditional theories and that to theoretical innovations.
To be specific, Haier Company has realized the customization of policies by participating in policy innovation. In this process, Haier Company not only satisfied its own demands on social policy, but also achieved the collaborative innovation of enterprises and social policies. In previous studies, there were two main theoretical explanations regarding to this topic: the explanation of participatory policy-making by traditional public management theory and the explanation of enterprise capability by traditional enterprise strategic management theory. But both of the two theoretical explanations cannot response to the operation mechanism of Haier Company directly. Through the longitudinal analysis of the case and the communication with traditional theories, the paper put forward the following viewpoints: (1) In the context of Chinese "promising government", only by opening up the co-governance environment will never achieve the vertical deepening of participatory policy formulation. Instead, only the embedding of governance chain will promote the vertical deepening of participatory policy innovation directly; (2) Market entities can promote policy innovation through the embedding of governance chain, which is actually an endogenous process of policy innovation by enterprises. To be exact, the mutual empowerment between external policies and corporate strategies can be realized by improving the accuracy of policy supply. (3) The process of embedding governance chain is a process in which market entities are embedded into governance entities. As a result, the participants in policy innovations embedded in the governance chain cooperate more closely, and the professional complementarity of different entities can be effectively brought into play, which promotes the vertical deepening of participatory policy innovation.
In conclusion, the paper has put forward a new idea of promoting participatory policy innovation in the context of "promising government". To be exact, we should start from encouraging the deep cooperation between the government and the enterprises, which will promote them both to play a professional role in the whole process. While at the same time, the most important thing is to enhance the governance chain embedding, which will be the breakthrough for the work. In a word, this paper will have high reference significance for the theory of participatory policy formulation and the practice of participatory policy innovation in the context of "promising government".
Key words:free trade zone; participatory policy innovation; embedment of governance chain
引用本文：艾德洲.治理链嵌入：参与式政策创新的纵向深化[J].科研管理,2023,44(8):40-46.
转自：“科研管理”微信公众号
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