陈启博,曹海军

• 1:东北大学文法学院

摘要(Abstract)：

本文采取混合研究方法对行政数据归集绩效考核开展研究，提出了一个负向激励模型——脱底锦标赛，以解释政府组织内广泛存在的惩罚型排名考核的激励效果和作用机制。定量研究发现，相比排名靠前的参赛者，排名靠后的参赛者受惩罚型排名考核的激励效果更强：被考核者本次排名越靠后，下一次考核中绩效改善幅度越大，呈现出“脱底”竞争现象。笔者通过对A省的案例研究进一步揭示了惩罚型排名考核的作用机制：(1)中央政府对排名底部省(区、市)的问责惩罚引发了地方领导对考核事项的注意力提升，促使省级职能部门采取运动式执行的方式快速建立工作机制、提高资源投入，从而改善了排名底部省(区、市)的绩效；(2)当地方绩效排名脱离底部位置后，随着地方执行部门的问责预期减弱且缺乏正向激励，地方领导对考核事项的注意力减弱，地方执行部门以流程再造的方式将行政数据归集报送工作分解、融入原有常规工作，以减少对本部门资源的占用。脱底锦标赛是避责理论和政治锦标赛理论的有益结合，拓展了政治锦标赛模型在负向激励领域的应用边界，同时丰富了官员避责行为在表现形式和产生机制方面的研究。

关键词(KeyWords)： 脱底锦标赛;排名考核;政府绩效考核;问责惩罚;避责

Abstract:

Keywords:

基金项目(Foundation): 国家社会科学基金重点项目“差序格局下市域社会治理现代化的纵向协同机制创新研究”(项目批准号:23AZZ005)的资助

作者(Author): 陈启博,曹海军

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• (1)美国心理学家Skinner(1953)提出,激励可分为奖励型的正向激励与惩罚型的负向激励两种类型。 (2)参见《国务院办公厅关于运用大数据加强对市场主体服务和监管的若干意见》(国办发[2015]51号)。 (3)迟报率计算方式是迟报数据量除以全部上报数据量,行政信息公示日超过决定日二十个工作日算作迟报数据;合规率计算方式是入库数据量除以上报数据量,上报数据需要符合报送系统的数据归集校验规则才能入库。“平均数”是使用各省(区、市)算术平均值计算得出的。数据来源于国家发展改革委发给各省(区、市)的数据归集报送考核情况通报。