【作者】 彭彦强；

【导师】 杨龙；

【作者基本信息】 南开大学 ， 政治学理论， 2010， 博士

【摘要】 地方政府合作在我国区域经济发展和跨界公共问题的治理中正在发挥越来越重要的作用,学界也对如何加强和不断深化地方政府合作提出了各种建议,但对地方政府合作本身却缺乏必要的较为深入的解释。这一问题之所以重要,是因为只有理解了地方政府合作的本质,才能就如何深化地方政府合作提出合理的对策建议。本文从行政权力的视角研究表明,中国地方政府经由行政权力及其行使直接和间接控制、支配着大量的资源,正是地方政府对资源的直接和间接控制,使得地方政府可以在某种程度上按照自己的偏好来配置资源,从而也就使得地方政府有必要并且能够通过合作来内部化地方政府因竞争所导致的资源配置负效应,即由资源配置的辖区化、碎片化和高成本化向区域化、整合化和低成本化转变,也就是说,地方政府合作可以在一定地域范围内和一定程度上实现资源的优化配置。不过,地方政府合作通常不是地方政府之间对资源的直接配置,而是通过行政权力的相互自愿性调整——包括行政权力行使的对等约束、行政权力的跨行政区衔接、行政权力的让渡、行政权力的横向转移——来实现资源的跨行政区优化配置的,地方政府间行政权力的相互自愿性协调构成了地方政府合作的权力基础。地方政府合作的程度受到地方政府间行政权力协调程度的影响,可以通过深化地方政府间行政权力的协调程度来深化地方政府合作的程度,从而不断改进资源的跨行政区的配置状态；深化地方政府合作的程度,意味着要逐步降低参与合作的地方政府在合作事项方面的决策权、执行权、监督权的独立性和自由度,提高参与合作的地方政府在合作事项所涉权力方面的相互制约程度,甚至形成相对独立于参与合作的地方政府的区域管辖权。由于我国不同区域的地方政府合作水平存在较大差异,构建一种普适性的地方政府合作模式和机制几乎是不可能的。交流与互访、合作论坛、行政协议、区域联合会、特别区与共同机构、多功能大行政区等多种合作方式,是一个以完全竞争和行政区划调整为两端的地方政府合作连续谱系,在这一连续谱中,地方政府所涉及的合作事项方面的权力的行使,逐渐由完全自主行使向越来越多的相互约束发展,甚至在区域层面对行政权力进行一定限度的再配置。区域地方政府可以根据自身的需要和解决问题的性质,从“合作方式集合”中进行选择几种方式对之“区别性组合”。因而,本文建议,深化我国地方政府合作应该把握对现有的合作组织和机制进行“边际调整”的基本原则和几种合作形式的“区别性组合”的基本思路。具体来说,本文共分五章。第一章导论主要阐述研究的背景、问题和意义,对相关文献进行梳理,对本文中主要的概念进行了简单的界定,介绍了文章使用的研究方法、研究框架以及本文的创新点。第二章对地方政府和行政权力进行了探讨,指出行政权力作为政府的一种核心资源,它实质上是政府对资源的控制力。不同层级的地方政府在不同历史时期,其对资源的控制权限是不同的,地方政府控制和支配资源的权限的大小对地方政府间合作具有重要影响；地方政府经由行政权力对资源的控制构成了地方政府合作的物质基础。第三章主要指出,地方政府合作具有优化资源跨行政区配置的作用,认为地方政府间竞争所导致的外部性可以通过地方政府合作来将其内部化。地方政府竞争在改善行政区内部制度环境的同时,也在区域层面导致资源的辖区化控制和资源跨行政区配置的阻隔等不良效应,资源配置受到扭曲,导致跨界公共问题解决的困难；地方政府合作则是通过相互间顾及彼此的利益需求,使合作各方在一定程度上考虑相互间的成本与收益,对彼此的行为施加一定的限制,使得相互间的决策和内部执行形成一种合意状态,从而将地方政府竞争的负效应内部化,改进资源在更大区域层面的配置状态。本章还指出,不同层级和范围的地方政府合作,分别在不同层次和程度上对跨界公共问题的解决和资源的跨区域配置产生了不同的影响,并且,处于不同阶段的地方政府合作对资源的配置的影响也是不同的。第四章指出,地方政府合作对资源的区域配置状态的改进,是通过地方政府相互间对行政权力的自愿性协调来达到的,它构成了地方政府合作的权力基础。本章对行政权力行使的对等约束、行政权力的跨行政区衔接、行政权力的让渡、行政权力的横向转移等几种权力协调模式,以及地方政府合作中通常涉及的有关经济要素和商品在辖区间自由流动的权力、有关产业发展规划和结构调整的权力、有关提供跨界公共服务和物品的权力三个方面的权力进行了较为深入的具体分析。另外,本章还构建了一个地方政府合作的连续谱系,指出地方政府合作的深化往往意味着参与合作的地方政府在合作事项方面的决策权和执行权的独立性的逐渐降低乃至丧失；提出了深化地方政府合作的“边际调整”的原则,以及对交流与互访、合作论坛、行政协议、区域联合会、特别区与共同机构、多功能大行政区等合作形式进行“区别性组合”的基本思路。第五章是以长江三角洲为例的实证研究。长江三角洲地区经济发展具有典型的政府主导的特征,政府直接和间接控制着大量的资源,这就使得该区域地方政府按照自己的偏好配置资源的倾向较为明显,在竞争的作用下,重复建设等资源配置的负效应大量存在；不过,研究同时表明,该区域的产业结构优化、产业分工的合理化以及经济一体化程度的提高,与该区域地方政府合作的不断深化具有时间序列上的一致性,并且长三角的各地方政府对行政权力的相互协调对资源在该区域的优化配置具有直接的积极效应。为进一步推进长三角地方政府合作的深化,文章提出长主角区域要整合现有的合作组织和机制,建立长江三角洲区域委员会,提高决策权和执行权的让渡程度以及使区域合作事项监督权区域化,同时继续通过对行政权力进行对等约束、跨行政区对接等方式限制政府在资源配置中的作用,更大程度地发挥市场的作用。第六章是本文的结论,即对全文的主要观点进行了总结。更多还原

【Abstract】 Inter-local government cooperation plays a more important role in China regional economic development and the governance of cross-boundery problems, and academe has made many policy recommendations on how to strengthen and deepen inter-local government cooperation.However, the necessary and deep understanding of inter-local government cooperation itself is absent at present.The reason why understanding of inter-local government cooperation itself is so important is that only we understand inter-local government cooperation itself can we make policy recommendations on how to deepen it.From the perspective of administrative power,the research proves that China local governments directly and indirectly contral a large quantities of resources with administrative power and its being exercised.It is local-governments’direct and indirect contral of resources that make local government allocate resources according its preference,and this make local government necesserily internalize negative effects coming with inter-local government competition by cooperation, that is to say, inter-local government cooperation can transform the allocation of resources which is districtized, fragmentized and hight-cost into the allocation of resources which is regionalized, integrated and low-cost, in a word, inter-local government cooperation can optimize the allocation of resources whin a certain aera scope and in a certain extent.However, inter-local government cooperation does not mean that inter-local governments directly allocate resourse.They opitmize the cross-boundery allocation of resources by the coordination of administrative power of their own accord which includes equal restriction in administrative power, joining administrative power cross-boundery, delivering administrative power to a reginoal organization or another local government, and the coordination and re-allocation of administrative power of their own accord build a power foundation for inter-local government cooperation.The research proves that the extent of inter-local government cooperation is influenced by that of the coordination of administrative power among local governments, so we can deepen the extent of inter-local government cooperation by the coordination of administrative power.What’s more, the more deep the extent of inter-local government cooperation the less independence and freedom of local gvoernment exercising decision-making power, executive power and the power of supervision related to cooperation matters, at the same time, the more deep the extent of inter-local government cooperation the more mutual constants among local governments in the power related to cooperation matters and even forming regional jurisdiction relatively independent from local governments.The research proves that constructing an universal mode and mechanism of inter-local government cooperation almost impossible due to the big different level of inter-local government cooperation in different regions of China.There is a cooperation spectrum whose two ends are perfect competition and the adjustment of administrative division, and which including exchanges and visits, cooperation forum, administrative agreement, councils of government, special-purpose district and joined agency,multi-purpose district.The independence and freedom of the power exercision in each cooperation mode is lower in order.Local governments in diferent region could pick some forms from the "cooperation form set" to distinctively fit them together according to their needs and the nature of the problems dealt with. So the research advice that deepening inter-local government cooperation should follow the principle of "marginal coordination" about the existing cooperation mode and mechanism,and follow the basic ideas of distinctively fiting some cooperation forms together.The article includes five chapers totally,and the first chaper has explained the background, issues and significance of the research.The related literature is stuied, and the key concepts are defined.lt also introduces research approaches, framework and innvative ideas.The second chapter has studied local government and administrative power,and find that as the core resourse of local government administrative power is a contral power of government on resources.The chapter point that different level governments mean different contral power on resourse in different period,and this has an important influence on inter-local government cooperation. The third chapter points that inter-local government cooperation playes an role of optimizing cross-boundery allocation of resources.The externalities resulting from inter-local government competition can be internalized by cooperation.Inte-local government competition can improve the internal institution environment of local district, but it also resulst in nagetive effects involving resources being controled in districts and the cross-boundary allocation of resources being obstructed and so on..These nagetive effects led to the distortion of the allocation of resources and the difficulty of the solution of cross-boundary public problems.On the contrary,inter-local government cooperation can make parties involved in cooperation consider mutual cost-benefit, and impose certain restrictions on the behavior of each other to make decision-making and internal implementation accord with each other.By this way, inter-local government cooperation can internalized nagetive effects resulting from inter-local government competition,then the allocation of resources on great region can be improved. The chapter also point that inter-local government cooperation of different levels and area has the different level and degree influence on the cross-boundary allocation of resources and the solution of public problems,while the inter-local government cooperation in different period has different influence on the allocation of resources.The fourth chapter proves that inter-local government cooperation opitmize the cross-boundery allocation of resources by the coordination of administrative power of their own accord, and this build a power foundation for inter-local government cooperation.This chapter specificly analyzes equal and restriction in administrative power, joining administrative power cross-boundery, delivering administrative power to a reginoal organization or another local government, and analysed three categrories power including the power of free flow cross-boundary of economic factors and goods, the power of the planning and restructing of industry development,the power of provding cross-boundary public service and goods. In addition, a cooperation spectrum was constructed, and points that deepening inter-local government cooperation usually means to lower the degree of independence and freedom of local gvoernment exercising decision-making and executive power.Besides, the chapter advice that deepening inter-local government cooperation should follow the principle of "marginal coordination ",and follow the basic ideas of distinctively fiting some cooperation forms together.The fifth chapter is a case study of the Yangtze River Delta.The typical features of economic development of the Yangtze River Delta is government-led, that is to say, local governments in the area directly and indirectly control a large of quantity of resources,and this makes local governments in the area allocalting resources according to their preference to be relatively distinct. The negative effects such as repeating construction resulting from inter-local government competition occur frequently. While the research has indicates that the optimization of the industry structure, the rationalization of industry division and the improvement of the regional economic integration in the area accord with the deepenness of inte-local goernment cooperation in the area.Besides, the mutual coordination of administrative power among local governments in the area brings directly positive effects on the allocation of resources.In order to deepen inter-local government cooperation in the Yangtze River Delta, the article bring forward that the area should integrate the existing cooperation organizations and mechanism, establish the Yangtze River Delta Councils of Government, heighten the degree of the delivery of decision-making power and executive power, establish regional supervising agency and continue to restrain the excessive function of government by equal restriction in administrative power, joining administrative power cross-boundery and so on, to make market play a greater role in the allocation of resources.The sixth chaper is the conclusion of the article.更多还原