当代中国政府组织协同问题研究

【作者】 高轩；

【导师】 朱满良；

【作者基本信息】 中共中央党校 ， 政治学理论， 2011， 博士

【摘要】 政府组织作为公共事务治理的主体是由相互依存、相互作用的纵横交错的各个部分组成的复杂系统。从某种意义上说,政府治理公共事务的过程也就是政府组织内部各部分处理相互关系的过程。政府组织内部各部分之间的关系状况直接影响着政府组织整体性功能的发挥程度和公共事务治理的绩效。协同论中蕴含着系统内各子系统相互协调合作,使系统呈现有序状态,实现系统整体效应的思想,这对处理政府组织内各部分之间的关系,实现政府整体功能具有重要理论价值。因此,文章选取协同论作为主要理论切入点,将协同思想引入政府组织研究之中,运用协同论中的概念和分析范式研究政府组织协同问题,以求能够优化政府组织内部各部分之间的关系,提高政府组织协同性。论文首先介绍阐释了研究政府组织协同问题的相关理论。系统理论把复杂体系都看成是一个系统,并且认为系统具有整体性、关联性、层次性、开放性等特点。协同论主要是研究在各种不同类型的系统内,以自组织为基础,在序参量和相关变量的作用下,各子系统从无序状态转向有序状态,实现系统整体效应和协同效应的理论。协同论和系统理论能够为研究政府组织协同问题提供方法论的指导。治理理论和组织间网络理论强调的治理结构多元化、主体间平等协商、沟通合作的思想则为处理政府组织关系问题提供了有益的分析视角。以上述理论为基础,论文构建了政府组织协同的解释框架。概念是框架构建的起点,第二章首先界定了协同以及政府组织协同等概念的含义。政府组织协同是指政府组织系统内部各部门之间、各层级政府之间以及政府过程的各个环节之间相互协调与配合,形成井然有序的组织结构,呈现政府的整体功能,实现政府效能最大化的过程或状态。其次阐释了协同论与政府组织的契合性。一方面,协同论具有普遍性和政府组织是一个复杂的开放系统,因此政府组织研究引入协同论具有可能性；另一方面,从理论和现实两个层面论证了政府组织研究引入协同论的必要性。接着分析了影响政府组织协同的相关变量。政府组织结构、职能结构、权力结构等政府结构是影响政府组织协同的序参量(主导性变量)。政府利益、组织文化、组织目标等也会影响政府组织的协同程度。最后总结了政府组织协同的意义或者说协同效应。政府组织协同有利于提高政府公共性,促进“行政区经济”向“经济区经济”转变,实现公共服务供给的高质高效等。接下来,论文主要从影响政府组织协同的序参量也就是政府结构的角度分析英法德日美五个国家在提高政府组织协同性方面的制度设计,如在政府间结构上大都具有较为合理的组织结构、政府间适度均衡的权力结构、比较明晰的政府间职能结构；政府部门结构设置一般采取职能有机统一的大部门体制,合理有效的部门间协调机构等。对于这些制度设计,我们要以实事求是的态度,进行合理的吸收与借鉴。建国以来围绕政府结构我国对政府组织进行了多次的调整与改革,逐渐理顺了政府组织间的关系,很大程度上提高了政府组织协同性。纵向政府间从中央高度集权逐步合理向地方放权,地方自主性得到很大提高；地方政府横向间从计划体制下的相互隔绝走向更多的联系和合作；政府职能部门间从传统体制下的部门林立、职责交叉、“精简—膨胀”循环逐步走向精简统一、权责明确。第四章以建国以来的历史为背景,从政府结构着手分析政府组织改革和调整的过程,并作出一定的归纳与总结。现实问题是任何研究的出发点和落脚点。文章最后分析我国当前政府组织非协同性表现、原因,思考提升我国政府组织协同性的一些路径。当前我国政府间非协同性在政治、经济、社会等领域表现突出,部门间关系也是面临着“争着管”“都难管”“都不管”的困境。这其中蕴含着以政府结构为主导的多方面的原因,如职责结构不合理,交叉重复；层级过多等行政区划体制不科学；相关协调机构机制作用有限以及组织利益化现象突出等。针对这些问题,提高政府组织协同性,主要应该从政府结构着手,一方面,要继续优化政府间结构,理顺政府间关系：合理划分政府间职责权限；调整政府层级和管理幅度,有序进行行政区划改革；以尊重地方自主性为基础,健全政府间协调机构；建立完善政府间利益表达、共享与补偿机制以及畅通的信息沟通机制。另一方面,不断调整部门间结构,改善部门间关系：转变政府职能,明确部门职责,探索完善大部门体制；完善公共财政制度、决策与执行适度分离体制和部门监督体制,遏制部门利益；强化隶属行政首长办事机构的协调功能,以发挥部门能动性为前提,完善部门间其它协调机构与机制。更多还原

【Abstract】 As the subject of governance of public affairs, government organizations are the complex systems which are composed of interdependent, interacting and criss-cross parts. In a sense, the process of government governance in public affairs is also the process of dealing with relationship among various parts within the government organization. The relationships among various parts within the government directly influence the degree of overall function and the performance of governance of public affairs. Synergetics contains the thought:each subsystem in the system can make the system present orderly status and achieve the overall effect of system by coordination and cooperation with each other, which has important theoretical value to deal with relationship among various parts within the government organization and achieve the overalfunction. Therefore, based on the synergetics as a major breakthrough point, the article introduces synergy methodology into the research of government organization, uses the concepts and analytical paradigm to study the government organization synergy problem, in order to optimize the relationships among various parts within the government and improve the synergies of government organization.Firstly, the article explains the theories of studying the government organization synergy problem. System theory sees the complex things as a system and thinks that system has the integrity,relevance, level-oriented, openness,etc. Synergetics mainly studies that in different types of systems, based on the self-organization under the action of parameter and related variables, the state of each subsystem is from disorder to order and the system realizes the overall and synergy effect. Synergetics and system theory can provide methodological guidance to research the government organization synergy problem.The theories of governance and interorganizational network emphasize the diversification of governance structure, equal consultation, communication and cooperation among subjects, which provides the beneficial analysis perspective for dealing the relationship among government organizations.On the basis of theories above, the paper builds up a explanation for government organization synergy. Concept is the starting point of the framework.This article first defines the meanings of concepts, such as "synergy", "government organizations synergy". government organization synergy is such a process or condition that: internal departments, inter-government and inter-links of government process cooperate and coordinate mutually, forme orderly organization structure, present government’s overall function, realize the maximization of government efficiency. Secondly, the paper explains the correspondence between synergy and government organization.On one hand, synergetics is universal and government organization is a complex opening system, so the possibilities that we introduce the synergetics into the research of government organization exist. On the other hand, the paper demonstrates the necessity from the theoretical and practical aspects. Then, the paper analyses variables that influence the government organization synergy. Government structures (organizational structure, functional structure, the power structure) is the parameter(dominating variable) that influence the government organization synergy. Government benefits, and organizational culture and organizational objectives etc will also affect the synergy degree of government organization. Finally, the paper summarizes the meaning or synergy effect of government organization synergy. Government organization synergy is beneficial to improve the government publicus, make the "administrative region economy" transform to "economic zone economy", achieve the high quality and efficiency of public services.The thesis from the perspective of government structure(the parameter) mainly analyses some system designations which improve the degree of government synergy in Britain, France, Germany,Japan and American.Inter-governmental structures have reasonable organization structure, moderately balanced power structure, comparative clear intergovernmental function structure. Department structures generally take giant department, effective inter-departments cooperating agency,etc. For these systems, we should absorb reasonably with the pragmatic attitude.Since the foundation of the PRC, we conduct a number of adjustment and reform around the government structure, gradually straighten out the relations among the government organizations, improve the synergies of government organization greatly. The relationship of vertical inter-government is from high central authority to local decentralization. Local autonomy is greatly raising. Horizontal relations of the local governments is from mutual isolation in the planned economic system toward more links and cooperation. The relationship of inter-departments is from complexes, overlapping, the circulation of "downsizing-expansion" under the traditional system gradually to simplification, unity and clear responsibilities. Under the background of history, the fourth chapter analyses the process of government organization reform from the angle of government structure and sums up some experience and enlightenment.The real problem is starting point and the foothold of any research. Finally, the article analyses the performance and reason of non- synergies of government organization and think about some paths of upgrading the synergies of government organization. The performance of non- synergies of inter-government is prominent in the fields of politics, economy, society, etc. The relationship of inter-department is facing predicament of evading responsibility. There are many reasons, in which government structure is main reason, such as irrational, overlapping power and function structure, excessive government hierarchy, unscientific administrative divisions, limited coordinating mechanism and prominent organization interest phenomenon.To solve these problems and improve the the synergies of government organization, on one hand, we should continue to optimize intergovernmental structure and Straighten outthe intergovernmental relations:rationally dividing intergovernmental responsibility and authority;adjusting government hierarchy and management amplitude, reforming administrative division orderly; based on local autonomy, improving intergovernmental coordination agency;Establishing and perfecting the intergovernmental benefit expression, sharing and compensation mechanism and unimpeded information communication mechanism. On the other hand, adjusting inter-department structure, improving inter-department relation: transforming government function, defing departments responsibility, improving giant department system; perfecting public finance system, moderate separation system of decision-making and implementation and department supervision system, restraining department interest;strengthening coordinating function of administrative bodies of chief executive, perfecting inter-department other coordination agency and mechanism.更多还原