公共政策分析.7 政策工具
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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.
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、安全或伦理道德 等较广泛性的问题。Social regulations tend to cut across
管制有很多方式：规则、标准、许可、
禁止、法律、行政命令。Regulations take
various forms and include rules, standards,
permits, prohibitions, laws, and executive
orders.
2021/6/3
5
权威类工具
Interest Group Creation and Funding
Direct Provision of Goods and Services and Public Enterprises Use of Family, Community, and Voluntary Organizations Market Creation
2021/6/3
10
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
政府的行动和计划可以更好地协调。
是一种传统的管制方式。A traditional form
of regulations
2021/6/3
7
权威类工具
Authority-Based instruments
社会管制：Social regulations:
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。Controls in
several sectors and come under the jurisdiction of several government agencies, and focus on broader problems or functions, such as pollution, safety, or morality.
2021/6/3
3
Nodality Authority Treasure Organization
Information Monitoring and Release
Advice and Exhortation
Command and Control Regulation
Self-regulation
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)
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 高执行成本。High cost of enforcement.
2021/6/3
6
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 的产品和服务的控制，例如，对生产价 格和产量，投资回报等控制。Control
2021/6/3
12
么么么么方面
Sds绝对是假的
么么么么方面
Sds绝对是假的
2021/6/3
14
权威类工具
Authority-Based instruments
授权或自我ion:
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.
政策工具
Policy Instruments
2021/6/3
1
What 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
with our physical and moral well-being than with our pocketbooks.
2021/6/3
8
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。rules regarding liquor
2021/6/3
15
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达到了标准。Where
Advertising
Standard-setting and Delegated Regulation
Commissions and Advisory
Inquiries
Committees and
Consultations
Grant and Loans
User Charges
Taxes and Tax Expenditures
11
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
2021/6/3
9
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
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).
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.
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.
Government Reorganization
SOURCE:Adapted from Christopher Hood, The Tools of Government(Chattham, NJ:Chattham House,1986),124-5
2021/6/3
4
权威类工具 Authority-Based instruments
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。
Regulation is a prescription by the government that must be complied with by the intended targets; failure to do so usually involves a penalty.
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
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
Better co-ordination of government efforts and planning.
比较适合于危机管理More suitable in crisis
management
成本较低Less costly 政治上较吸引Politically appealing
2021/6/3
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.
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 intervention
2021/6/3
2
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 instruments
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、安全或伦理道德 等较广泛性的问题。Social regulations tend to cut across
管制有很多方式：规则、标准、许可、
禁止、法律、行政命令。Regulations take
various forms and include rules, standards,
permits, prohibitions, laws, and executive
orders.
2021/6/3
5
权威类工具
Interest Group Creation and Funding
Direct Provision of Goods and Services and Public Enterprises Use of Family, Community, and Voluntary Organizations Market Creation
2021/6/3
10
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
政府的行动和计划可以更好地协调。
是一种传统的管制方式。A traditional form
of regulations
2021/6/3
7
权威类工具
Authority-Based instruments
社会管制：Social regulations:
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。Controls in
several sectors and come under the jurisdiction of several government agencies, and focus on broader problems or functions, such as pollution, safety, or morality.
2021/6/3
3
Nodality Authority Treasure Organization
Information Monitoring and Release
Advice and Exhortation
Command and Control Regulation
Self-regulation
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)
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 高执行成本。High cost of enforcement.
2021/6/3
6
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 的产品和服务的控制，例如，对生产价 格和产量，投资回报等控制。Control
2021/6/3
12
么么么么方面
Sds绝对是假的
么么么么方面
Sds绝对是假的
2021/6/3
14
权威类工具
Authority-Based instruments
授权或自我ion:
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.
政策工具
Policy Instruments
2021/6/3
1
What 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
with our physical and moral well-being than with our pocketbooks.
2021/6/3
8
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。rules regarding liquor
2021/6/3
15
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达到了标准。Where
Advertising
Standard-setting and Delegated Regulation
Commissions and Advisory
Inquiries
Committees and
Consultations
Grant and Loans
User Charges
Taxes and Tax Expenditures
11
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
2021/6/3
9
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
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).
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.
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.
Government Reorganization
SOURCE:Adapted from Christopher Hood, The Tools of Government(Chattham, NJ:Chattham House,1986),124-5
2021/6/3
4
权威类工具 Authority-Based instruments
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。
Regulation is a prescription by the government that must be complied with by the intended targets; failure to do so usually involves a penalty.
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
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
Better co-ordination of government efforts and planning.
比较适合于危机管理More suitable in crisis
management
成本较低Less costly 政治上较吸引Politically appealing
2021/6/3
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.
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 intervention
2021/6/3
2
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 instruments