【作者】 颜道成；

【导师】 国世平；

【作者基本信息】 辽宁大学 ， 政治经济学， 2008， 博士

【摘要】 地方制度是国家制度的重要组成部分,包括地方政府的组成、机构、职权、地方财政以及中央和地方的关系等。它与国家结构形式密切关联,联邦制国家与单一制国家不同,实行地方自治的国家与中央高度集权国家的地方制度不同。它反映一个国家基层政权的组织状况及其与公民之间的关系,并直接影响一国的宏观宪政制度。20世纪70年代以来,在经济全球化不可逆转的大背景下,出于发展本国经济的需要,各国先后都选择并大力推动地方治理的模式改革,建构更加富有弹性和回应能力的地方政府,希冀通过创新现有政府组织关系模式、运行形式和地方政府制度,在一定的贴近公民生活的多层次复合的地理空间内,依托于政府组织、民营组织、社会组织和民间的公民组织等各种组织的网络体系,共同完成和实现公共服务和社会事务管理的过程,以达成以公民发展为中心的、面向公民需要服务的、积极回应环境变化的、使地方富有发展活力的新型社会管理体系。设立地方政府,确定不同层级的政府之间的权限,划分各自的管理责任,构建国家有效治理的组织框架,使地方政府真正承担起减轻中央负担、方便国家管理、提供有效服务、保障公民权益、防止中央集权和维护社会稳定等职责,几乎是世界各个国家普遍的做法。其中英美法德日等发达国家地方政府管理以权力下放、地方自治为主要趋势,以服务型政府为主要理念,适时转变政府职能,强调完备的立法,做到地方管理的依法行政。发展中国家和经济转轨国家则根据因地制宜的原则管理地方政府。改革开放以来,随着市场经济体制的建立与完善,中国地级市政府制度在国民经济中的地位与作用日趋重要。然而,建立在高度集中的计划经济体制基础之上的我国地级市政府制度,在与民主政府、现代政府和具体政府职能的要求等方面远远滞后于市场经济的发展,无法适应我国市场经济进一步发展的需要。我国地级市政府制度缺失的根源,主要是由于政治体制改革相对经济体制转轨滞后,政治体制一定程度上阻碍了经济改革和经济发展,导致地级市制度与经济体制的不适应。那么,如何健全与完善我国地级市政府制度?是照搬西方发达国家成熟的政府治理模式?抑或是借鉴西方发达国家政府治理模式,并根据中国经济体制改革和政治体制改革所处的发展阶段,建立适应中国市场经济需要的政府治理模式?在这里便有很多问题需要解决。之所以选择选择地级市政府作为研究对象,具体有以下原因:一是地级市政府是一个具有中国特色的行政层次,是我国计划经济体制下的阶段性产物。而国外特别是欧美发达国家没有地级市这一行政层次,无从找到专门研究地级市政府制度缺失及其治理的理论成果;二是国内理论界和社会普遍接受地级市作为一个单独的、成型的行政层次是在二十世纪九十年代,因此国内学者关于地级市政府制度的专著和系统研究也不是很多。三是我国的经济改革是政府主导型的改革,地方政府对经济增长、体制改革、招商引资和对外开放的诉求,已经成为推动我国经济发展和改革开放的巨大内在推动力。但在推动地区经济社会发展的同时,由于存在自身的政治、经济利益,地方政府也会成为地区经济社会发展的阻碍,存在的各种矛盾和问题都可以从地方政府经济行为的扭曲错位上找到根源。经济转轨时期中国地级市政府制度存在哪些方面的缺失以及如何治理呢?本文运用了文献研究法、定性研究法、定量研究法、功能分析法、成本效益分析法、经验总结法、系统分析法、个案研究法、比较分析法等一系列的科学分析方法,使本文的分析既有宏观层面的分析,又有微观层面的分析,既有总体的概述,又有个案的阐述。为进一步推进我国地级市政府制度缺失的治理,建立和健全与现代市场经济要求相适应的地级市政府制度提供了系统的和有价值的建议。增设地级市政府在很大程度上满足了计划经济体制运行的需要,解决了行政区和经济区的磨合问题,推动了城市化的进程和社会其它各项事业的发展。但其浓厚的计划经济色彩在市场经济已经高度发展、全国性的市场逐渐建立并完善的新形势下,地级市政府“市管县”体制的“小马拉大车”的负的外部性、“市刮县”、“市吃县”现象、市县权利恶性竞争加剧以及机构庞大、行政效率低引起的行政成本和社会成本激增等问题,反而成为束缚县域经济发展乃至中心城市发展的体制性因素。因此,需要对地级市政府进行新一轮的改革。本文阐述了我国地级市政府制度缺失及其治理中若干理论和发展问题,认为政府制度是市场经济条件下地级市政府干预经济政策的重要组成部分,是政府为实现某种公共政策目标,对政府行为的规范与制约。因此,必须建立廉正、勤政、务实、高效的民主政府,解决转型时期我国地级市政府制度缺失所出现的问题。文章的结论:治理我国地级市政府的制度缺失,立足于暂时不能撤消地级市这一特殊行政层级的客观现实,在宏观方面首先必须深化政治体制改革,理顺行政原则,坚持以人为本、坚持科学发展、坚持依法行政,实行党政分开、明确政府职能、转变行政方式、创新社会管理体制,又要强化同级人大对政府的监督制约,充分发挥人民政协的参政议政作用,并减少行政层级,选择既符合国情又适应当今时代潮流的政府主导—社会合作型政府治理模式。其次要深化经济体制改革,科学处理好政府与市场的关系,确立市场在资源配置中的基础性作用,而政府干预和调控经济的行为必须是以市场机制的存在并充分发挥对资源配置功能作为前提条件的。再次要深化行政管理体制改革,理顺职能,精简机构,建立公共行政体制,推行大部门制。最后要深化资源分配体制改革,完善公共财政体系和社会保障体系,赋予地级市政府独立承担财政责任的权力,强化社会保障的公共服务职能。微观方面,转变行政理念,重构政府流程,建立政务服务中心,以建设服务政府;建立科学的绩效考核评价体系以建设高效政府;实行行政问责制、完善监督机制以建设责任政府;推动政府政务公开、深化电子政务、规范政府行政程序以建设透明政府;维护法律法规和政府制度的权威性,增强政府政策的延续性和执行力,提高政府公信力以建设诚信政府;同时,进一步完善地方政府的土地出让制度和金融制度。更多还原

【Abstract】 The local government system is an important constitute of the national system, including local authority’s composition, organization, authority, local finance as well as the relation between central and local government and so on. It has closely connected with state structure form: the federal system country is different from the sole system country and the countries which implement the local self-government is highly different from the local government system of the centralization countries. It reflects a country’s basic unit of political power and the relation of it and citizen’s, and directly affects a country’s macroscopic constitutional government system. Since 1970’s, under the background of economical globalization, stemming from the need of developing economy, countries all chooses and impel the reform pattern of local government and construct local authorities with richer elasticity and the response ability, hoping for innovating the pattern, the movement form and the local authority system of existing official organization to close to the multi-level compound geography space of citizen. Depending on the official organization, the privately operating organization, the social organization and the folk citizen organization and so on, let’s completes and realizes together with the public service and the social affair manages in order to take achieves citizen-centered, meet the citizen’s needs, respond the environmental variation, place rich development vigor into the new social management system. It is a universal procedure of nearly each country in the world that they set up the local authority, determine the different level between government’s jurisdiction, divide management responsibility respectively, construct effective government organization frame, make the local authority lighten the burden of the central government, make free for national management, provides effective service, safeguard the citizen’s rights and interests, prevented centralization and maintenance social stability and so on. Local government management in developed countries such as British, American, France and Germany take the authority released, local self-government as the main tendency; they take the Service-oriented government as the main idea, transform the government function at the right moment, emphasize the completed legislation system, and achieve the local management legally. The economical transition countries should act according to specific circumstances. Since the reform and open-up policy, with the establishment and the consummation of market economy system, the Prefecture Government economic system has been playing an important role in the national economy status and the function is more and more important. However, the Prefecture government system which establishes in the high degree of concentration planned economy system has lagged by far compared with that in the market economy development regarding to the aspects of democratic government, modern government and concrete government function, is unable to meet our country’s need to develop further market economy. The root of the flaw of our Prefecture government economic system is mainly because the political reform relatively lags behind economic system transition, the political system blocks economic reform and economy development, causing the economic system not to adapt to the locally administered level system.So, how to improve and perfect our economic system of the prefecture government? To copy the mature governance model in Western developed countries? Or to learn from it and establish the governance model which adapts to the needs of China’s market economy, in accordance with the stage of China’s economic and political reform development? obviously, there are many problems to be solved: For choosing the prefecture governments as the target of study, the specific reasons are as follows: Firstly, the prefecture government is an administrative level with Chinese characteristics and the product of China’s planned economic system, while there is no administrative level as the prefecture in foreign countries, especially the developed Occident. We find no theoretical results about study on the system absence of government and managing the prefecture governance system. Secondly, it is in the 1990s when domestic theorists and society generally accept the prefecture-level cities as a separate, formed administrative level. Therefore, there are not many works or systematic study of domestic scholars on the prefecture-level city system. Thirdly, China’s economic reforms are the government-led ones. Government’s demands on local economic growth, structural reform, investment and the open to the outside world has become a huge internal driving force for China’s economic development and the reform and opening up. However, with the regional economic and social development, because of its political and economic interests and the acts of mutation driven by interests of the sector, the local government will also become to impede economic and social development. We can find the fundamental causes of the existing various contradictions and problems from the distortion of local governments’ economic behavior.What aspects are missing from China’s prefecture government economic system during the transition period and how to deal with that? The use of a series of scientific analysis ways ,such as literature research, qualitative research, quantitative research method, functional analysis, cost-benefit analysis, experience summation, systematical analysis, case studies, comparative analysis etc. gives this article both macro-level and micro-level analysis as well as the general overview and the statement on cases. It provides a systematic and valuable suggestion on further promotion of the governance of the absence of economic system of China’s prefecture government, and establishment and perfecting the prefecture-level city government economic system suited to the requirements of a modern market economy.To a large extent, the installation of prefecture governments fulfils the need of operation of planned economic system, settles the inosculation of districts and economic areas. Simultaneously, it promotes the process of urbanization and the development of various projects of our society. However, under the new circumstance of high-degree market economy and the establishment and consummation of national market, china’s prefectures have brought some negative impacts to the society because of the conspicuous character of planned economy, such as the negative externalities of the phenomenon of "pulling carts by colt" of "cities administer counties" system, the phenomenon of "cities exploit counties" "cities eat counties", the malignant competition of cities and counties and the sharp increase of administrative and social cost of huge institution and low efficiency. All of these have become institutional factors restricting economy development of counties as well as the development of central cities. As a result, new reforms are needed to resolve the issues of prefecture administration. In this paper, the absence of systems in prefecture government and the theoretical and developmental issues in the process of governance will be discussed. We think that, with market economy, economic system is an important part of policies intervening economy of prefecture government. It is some kind of criterion and restriction of government behaviors for government’s achieving public policy objectives. Therefore, we must establish the democratic government with incorruptness, diligence, efficiency and pragmatic spirit, solving the problems caused by the absence of economy system of prefecture government in the transition period of China.The conclusion: At the macro level, first, our prefecture governments must deepen the reform of Political system, nail down administrative principles, and adhere to people-oriented, scientific development and administrating according to laws. At the same time, it is necessary to separate the Party and the government, clear government functions, change administrative means and innovative social management system. Second, strengthening the supervision and restriction of People’s Congress of the same level and giving full play to CPPCC’s role in politics are also significant. With cutting down administrative ranks, we should choose a government-led and society-cooperated governance model, which will accord with national situations and adapt to the trend of the times. Third, it is supposed to deepen economy system reformation, deal with the relationship of government of the market scientifically and build the basic role of market in allocation resources. We should be aware that the intervention and regulation of government must be based on market mechanisms. The full exertion of the function of allocating resource of market mechanism is a prerequisite condition; we need to deepen the reform of the administrative system, rationalize the functions of government, condense institutions and establish public administration system. The implementation of large-sector system is a good choice; additionally, the reform of allocation of resources needs to be deepened and the public finance system and the social security system should be improved. The local governments should be endowed with the power of bearing financial responsibility independently. The function of providing public service of social security system should be strengthened. From microcosmic aspects, the establishment of scientific evaluation system of performance and E-government system is benefit to improve the efficiency of the government. Administrative accountability system and the perfect of supervision mechanism will conduce to build the responsibility of the government. What’s more, the movement of promoting the openness in government affairs and the probity and Standardization of government behavior will redound to establish the transparency and credibility government.更多还原