魏文池｜中国人民大学公共管理学院讲师

李文钊｜中国人民大学公共管理学院教授

来源：Journal of Public Administration Research and Theory. Online first.

DOI: 10.1093/jopart/muac011.（查看全文请点击下方灰色字体）

作者：魏文池（中国人民大学公共管理学院讲师）、李文钊（中国人民大学公共管理学院教授）、王程伟（中国人民大学公共管理学院博士研究生）、翟文康（中国人民大学公共管理学院博士研究生）

“Honor List” and “Shame Roll”: Quasi-Experimental Evidence of the Effect of Performance Feedback under Political Control

（关于北京“接诉即办”改革绩效反馈效应的准实验证据）

论文简介

本论文以北京近年实施的 “接诉即办”改革为背景，主要研究“光荣榜”和“耻辱榜”作为绩效反馈手段对“接诉即办”绩效提升的影响。论文基于Simon等学者经典的组织行为理论提出待验证假设。论文实证部分以北京333个街道、乡镇政府为研究样本进行数据分析，对假设进行检验。断点回归分析（RDD）结果表明，进入“光荣榜”会降低政府下一月度在“接诉即办”整体得分和排名方面的绩效提升程度，而进入“耻辱榜”会对政府下一月度绩效提升产生正向影响。此外，根据资源依赖理论和组织能力理论，论文对街道、乡镇政府对上级财政资源依赖程度会如何调节上述效应（local average treatment effect）进行深入分析。研究发现，如果政府更多地依赖于上级的财政资源，在“光荣榜”和“耻辱榜”的分界点，其绩效提升的程度都会更高。本研究对绩效反馈效应进行了理论拓展并提供了可靠的因果关系证据。

英文摘要

This article examines how the use of an “honor list” and “shame roll” as a means of performance feedback can influence governments’ future performance improvement, focusing on a prominent performance management reform implemented in Chinese local governments. We draw upon classic behavioral theories of organizations to propose testable hypotheses. The empirical analyses use 3,300 observations based on the 333 grassroots governments of the capital city of China as the unit of analysis. Regression discontinuity design estimations show that entering the honor list reduces governments’ performance improvement in the next period, while entering the shame roll helps governments improve their performance. Moreover, the level of performance improvement is higher at the cutoff for both the honor list and shame roll if governments rely more on the higher authority’s fiscal resources. This study advances a more nuanced understanding of the performance feedback effect under political control and a rigid administrative hierarchy.

相关图表

Figure 2: Administrative area of the Beijing municipality, regional, and grassroots governments

Figure 5: RD plot withevenly-spaced bins (score, honor list)

Figure 6: RD plot with evenly-spaced bins(ranking, honor list)

Figure 7: RD plot with evenly-spaced bins(score, shame roll)

Figure 8: RD plot with evenly-spaced bins(ranking, shame roll)