【作者】 张晨；

【导师】 乔耀章；

【作者基本信息】 苏州大学 ， 政治学理论， 2014， 博士

【摘要】 近代以来中国地方治理的变迁，实际上是中国政治现代性进程的重要组成部分，是中国现代国家构建和社会成长的重要见证。特别是70年代末以来，中国在党政一体化的基本政治架构（Party-State System）保持不变的前提下，造就了GDP世界第二的经济大国地位，经济市场化以及社会发展取得了令人惊艳的成绩。与此同时，中国国家治理行为和方式发生了深刻变化。这主要表现在三个不同层面，一是中央政府层面的变革，二是中央-地方关系转换背景下地方自主性和治理能力不断提升的过程，三是国家-市场-社会这三者关系重新建构的过程。在这一系列变迁过程中，地方政府成为了改革的关键和中轴变量：既是中央政策的传声筒和执行者，又是基层需求的感应器，地方政府成为了中央政府和基层社会的双重代理人。其中，地方核心行动者的自主性、能动性和行动力的激活，使得80年代后，中国国家治理在不触及根本政治制度框架的前提下，能够获得既有体制空间的拓展和体制效能的最大化释放，从而带来了从中央到地方在治理绩效方面的全方位提升，进而也给体制空间本身的转换和突破赢得了可能。然而伴随经济增长和社会成长而来的，还有逐渐突显的社会不公现象、日益严重的环境污染问题、难以回避的腐败问题，以及必须正视的社会分化和利益固化。曾经被视为是撬动改革核心力量的地方政府，在土地财政的红利消耗殆尽之际，其创新动力也缺乏了更深层次的激励。在迈向现代化的过程中，如何从转型政治学的视角审视、归纳和总结地方政府行为，如何判断、分析和指引大转型中地方治理的何去何从，是我们进一步深化改革要解决的时代问题。在特定制度框架内对地方核心行动者的深入分析，构成了我们今天理解30多年来中国地方治理变迁的基本立场。因此，本文旨在通过整合政治学、管理学、社会学和经济学等相关学科的理论研究成果，构建分析地方政府行为的基本框架，即“体制空间-核心行动者-治理绩效（SAP）”，在梳理改革开放以来地方治理具体实践的基础上，厘清改革进程中，国家构建和社会成长对地方治理形成的深远影响。以地方核心行动者为切入点，力图整合宏观体制和微观行动者的互动关系；将历史和时代造就的客观条件与行动者的主观偏好和价值观念相结合；有效联接起静态的结构功能与动态的政治过程。从而对当前社会转型的历史实践、地方政府的职能转变，以及改革的进一步深化起到具体有效的指导作用。本文正文共分为八个部分。导论详细阐述了本文的研究缘起，理论基础、研究思路和研究方法，在详尽梳理、分析和归类到目前为止，国内外对中国地方治理研究理论成果的基础上，指出现有的政治学、行政学、经济学和社会相关研究成果的不足，并对本文的现实指导意义和理论价值进行了充分的论证，明确了本文的研究设计和主要的研究假设。第一章对有关地方治理研究，从行为主义向新制度主义理论范式的视角转换进行必要性论证，指出新制度主义、行动者理论和治理理论的运用，将使地方政府与地方治理研究中宏观与微观、历史和现实以及不同学科之间的整合成为可能。同时，在明确地方治理研究新范式的相关概念基础上，构建了以体制空间为治理行为的约束与激励条件，以核心行动者为地方治理过程的中轴变量，以及治理绩效为地方治理的目标诉求和评价体系，这一整套完整的地方治理分析框架。最后再次强调“S-A-P”框架与以历史制度主义、理性选择制度主义以及社会学制度主义之间的逻辑联系，以及该分析框架对现实发展的实际意义。第二章主要从历史的、经济的、文化的和技术的四个维度，分别阐述其作为地方治理的空间各维度对地方治理产生的影响。其中，民族-国家－地方－社会三者交互演进博弈的现代化历程有力证明了中国现代国家构建的历程，也是政治现代性在中国地方政治层面全面而曲折展开的历程。因此，考察近代以来中国地方治理变迁，离不开国家构建这一视角。建国后，计划经济向市场经济转轨的过程中，地方政府经历了一系列“放权让利”、市场化改革和数次央地关系的调整，成为现实的理性行动者，其理性行为或来自于政绩追求，或来自于自身利益，其自利性和自主性的确立，为地方治理空间的拓展奠定了基础。地方文化复苏所带来的“地方性知识”差异化对地方治理绩效差异所产生的影响正日益显现。除此之外，在社会转型的大时代背景下，网络技术的运用一定程度上增添了地方治理未来方向的不确定性。第三章从宏观国家追赶型发展战略入手，分析全球化带来的激烈竞争对地方政府角色定位产生的重大影响，并由此型塑了地方政府从“管制型”向“发展型”，再从“发展型”向“服务型”转变的逻辑演变过程。并且在此基础上，以地方政府生态职能为主要方面，进一步分析，地方政府角色转换中职能重心位移的路径依赖。第四章以地方治理体制变迁为中心，详细探讨了改革开放以来，在地方和基层展开的历次重大体制性改革，以及由此而产生的独具特色的，包括“一市多制”等在内的多种中国地方治理现象。并且通过对“五政模式”的归纳，进一步深入挖掘地方性复苏中，政府-市场-社会之间走向正轨，并且逐步完善成熟的良性循环关系。第五章是本文分析的重要核心变量和主要内容，即展开对地方核心行动者地方治理的具体行为分析。在发展主义治理逻辑指引下，地方核心行动者的治理行为主要可以分为以“全员招商”为代表的常规性行为和以“政策擦边球”为典型的非常规性行为。这两种行为都可以被总结归纳为一种压力型体制下的“权宜型治理”模式。第六章地方治理绩效，不仅是地方经济繁荣、社会进步的直接表现，而且由于核心行动者的创新和尝试，可能会引起对原有体制空间本身的突破，倒逼体制改革，引发制度变迁，因此，治理绩效构成了“体制空间-核心行动者-治理绩效-体制变迁”这一逻辑链中不可或缺的关键变量。随着政府治理改革和社会成长发育，对地方治理的评价也从原来的单一主体转变为参考第三方评估的方式，引入公众满意度测评。本章以2008-2011年“昆明治理”问卷调查为个案，深入分析了公众满意度测评体系，对反映地方治理现状，改善和提高地方治理水平的重要性。第七章主要论述了地方治理迈向多中心体系的前景和展望，提出地方治理改革从管理到服务，从管理到合作，以及从管理到治理，强调客户导向、社会协同，引入市场机制的基本向度和要求。地方治理的转型必须坚持服务、合作和治理的基本原则。从过程上以标准化推动全程化管理，在功能上以数字化实现系统化，在结构方面以制度化促进多元化，是加快实现地方治理转型的基本路径。结论部分对整篇论文的基本观点进行了梳理，同时对现代国家建构过程中，地方治理现代化的影响因素进行总结，进一步明确了实现良性地方治理的基本目标和实现策略。更多还原

【Abstract】 Changes in China’s local governance in modern times, in fact, as important components ofChina’s modern political process, have witnessed China’s modern state-building and social growth.Especially since the late1970s, under Party-State System, not only has the premise of creating aGDP of the world’s second largest economy status realized, but also the economic market and socialdevelopment are built to amazing results. Meanwhile, the Chinese national governance practices andsolutions have undergone profound changes. This was reflected in three different levels, first iscentral government change, the second is under the background of central-local relationsconversion, local autonomy and governance capabilities continuing to improve, the third is theprocess of relationships’ reconstruction of country-the market-society. In the course of this seriesof changes, the local government has become a key axis variable, which is both mouthpieces andimplementers of central policies, but also the needs of the grassroots sensors, and it has become adouble agent of the central government and grassroots community. What’s more,activation of localcore actors’ autonomy, initiative and action, makes it realize in the1980s that the Chinese nationalgovernance without touching the fundamental premise of the framework of the political system, ispossible to maximize the performance of both expansion and institutional system of spacerelease.As a result, it leads to a comprehensive approach to improve from central to localgovernance performance aspects, and thus also to the possible breakthrough of institutionaltransformation of space itself.However, with the economic growth and social development, there are many problems, such asthe increasingly highlight on social injustice, more and more serious environmental pollution,corruption scandals, as well as social differentiation and interests. Local government, once isconsidered as the core power to leverage the reform, on the occasion of finances in bonus land deplete, lacking a deeper motivation to innovate. In its modernization process, from perspective ontransition political science, how to summarize local government behavior, how to determine, analyzeand guide local governance in big transformation, are the urgent problems to further deepen thereform. In-depth analysis of the core local actors within a specific institutional framework constitutesthe basic position in which we understand Chinese local governance changes over recent30years.Therefore, this paper aims to integrate theoretical research in political science, managementscience, sociology and economics and other related disciplines, to build a basic analysis of thebehavior of the local government framework, namely the "institutional space-the core actors-Governance Performance (SAP)". On the basis of sorting the concrete practice of local governancesince the reform and opening, I attempt to clarify in this process the growth of state-building andsocial governance making profound influence on the formation of the place. Choosing core localactors as a starting point, I try to integrate the macro-and micro-structure interaction between actors;combine subjective preferences and values of actors with objective conditions created by history andthe era; couple from the static structure and function and dynamic political process effectively. Thusit can play an effective role in guiding many aspects specifically, such as historical practice of thecurrent social transformation, changing the functions of local government, as well as the furtherdeepening of reform.The dissertation can be divided into the following eight parts:The introduction part elaborates the origin of the study, rationale, research ideas and researchmethods. On the basis of exhaustive combing, analyzing and categorizing Chinese local governancetheory research results so far, at home and abroad, I point out that the existing political science,administrative science, economics and related social studies’ drawbacks, and conduct a fulldemonstration on theoretical value and practical significance of this paper, to clear study design andmain research hypothesis.Chapter I tends to use institution analysis method and behaviorism theory paradigm to study thedevelopment of local governance under the integration between different disciplines. At the sametime, the dissertation tried to create some new concepts on local governance based on systematic analysis. This framework focused on his target of pursuing of local governance benign performance.Finally it the"S-A-P" framework with relation between the historical institutionalism, rational choiceinstitutionalism and sociological institutionalism and try to get a clear vision about the practical usefor this analysis.Chapter II tries to find out the influencing factors on the local governance respectively from thehistory, economy, culture and technology dimensions. Among these factors, the interaction betweennation、region、and the society demonstrates the process of constructing of our nation-building. Toanother aspect, this modernization process also deeply involved in the broad area of China’scountryside. Therefore, it intends to view our transformation process from a perspective based on thelocal governance. With the progressing of the decentralized and market—oriented reform，the localgovernment’s main behavior target has turned to running after economic development and prosperitywithin its administration area．For the resources needed are always sparse and mobile，it is difficultfor local governments to avoid mutual competition in the course of pursuing the similartarget．Meanwhile，the local government has been added to the schedule as a very importantissue-the cultural difference between the regions. Besides, the application of network technology to acertain extent, adds the uncertainly to the local governance as well.Chapter III starts from using the macro-national perspective to evaluate the impact ofglobalization on the role of the local government. It soon learns that this impact shapes the localgovernment from a role aimed on "control" to the one aimed on "development”, and eventually to arole holds the "service” spirit. Based on this logical analysis, it is intended to further our knowledgeon the political inspiration during the shifting process of local government.Chapter IV points out that China’s local governance is on the process of adjusting thegovernment power and redefining its functions．That is the differentiation and proliferation ofgovernance authority in the market，as well as in the internal system of government throughadministrative decentralization of authority and responsibility to enhance the local governance.Inthis part,it also uses several academic modes to establish a mature virtuous cycle on the recovery oflocal government. Chapter V is the main core of this essay, it matters most on the evaluation of the localgovernment’ behavior analysis. The behavior can be divided into two categories: the "totalinvestment" as the habitual behavior and the other named "using the policy periphery” as theunconventional behavior. Both actions can be summarized as reactive local governance behaviorunder pressure type system.Chapter VI puts emphasis on the local governance performance, which can be viewed not onlyas the direct performance of local economic prosperity, social progress, but also a crucial variablethat may cause the institutional change of the original system. In this point, the evaluation of localgovernance should transfer from the original single part to a third party assessment, which includinga public satisfaction evaluation. This chapter also use case study, regarding Kunming’sintergovernmental relations of province, analyzes its public satisfaction evaluation system in2008-2011.Admittedly, it enhances the service ability of its local governance.Chapter VII mainly discusses the prospects of local governance towards multicenter system; itraised a suggesting of reforming from a management style to service spirit, which put more emphasison customer needs, social coordination as well as the market mechanism. According to this, thetrends of local governance transformation, namely, on the whole, should be labeled as a diversify,institutional, digital and standard model.Chapter VIII is the conclusion part; it reviewed the basic points of the whole dissertation. In theprocess of nation building, it is intrinsically to adjust the relations between several influencingfactors. And in order to reach the ideal governance for the local government, some basic disciplinesshould be achieved in the first place.更多还原