【作者】 陈华栋；

【导师】 顾建光；

【作者基本信息】 上海交通大学 ， 管理科学与工程， 2008， 博士

【摘要】 在我国,随着社会经济的发展和人民生活水平的提高,解决了温饱问题的公众对公共服务的需求呈现出不断增长的趋势。公众不仅对公共服务的种类和数量要求越来越多,而且对公共服务的质量要求也越来越高,在这种背景下,建设服务型政府是适应社会公共需求不断增长的必然选择。而乡镇政府是乡镇人民代表大会的执行机关,是中国最基层的一级行政机关。从地位和功能上看,由于乡镇政府处于中国政府体系的最末梢,与广大农村和农民联系最为密切,担负着农村绝大多数行政事务,在维护政治管理、提供社会服务、组织经济建设等方面具有特殊的作用。因此,如何在政府体系的末梢建立起服务导向的职能结构,构建服务型乡镇政府具有深远的历史和现实意义。有鉴于此,文章以中华人民共和国建立以来的乡镇政府为研究单元,以马克思主义农村发展理论、中央和地方关系理论、国家与社会关系理论、政府与市场关系理论、结构功能主义等为研究基础,运用文献分析、历史分析、比较研究和实践调研等方法,分析梳理乡镇政府职能和机构发展沿革的具体轨迹,指出构建服务型乡镇政府的历史必要性,总结提炼服务型乡镇政府的内涵和特征,并结合对当前乡镇政府建设现状和政府转型面临挑战的分析,提出服务型乡镇政府的改革模型,以期为社会主义新农村背景下乡镇政府的改革提供理论和实践参考。从我国建国以来乡镇政府改革的基本历程来看,新中国建立以后到改革开放之前的乡镇政府是全能型政府,职能无所不在却又缺乏自主性;改革开放以后,随着分税制的确立,乡镇政府发展经济的动机不断膨胀,自主性不断增强,但职能直接深入到市场经济中,偏离了公共服务的作用,成为一种发展型政府。在这种模式下,经济发展成为一切工作的轴心,对社会公共服务形成挤出效应,资源用于社会发展的部分也就相应减少,这就使得乡镇政府无力满足基层社会对公共服务和公共物品的需要,相应地,也就无法获取自身发展所需要的政治支持。进入21世纪以来,税费改革工作的推进、农业税的取消、基层市民社会的发展成熟等,逐步改变了原有乡镇政治生态系统中权力、经济和其他社会资源的配置状况,重构了乡镇一级原有的国家与社会的关系,发展型乡镇政府的弊端也日益明显,服务型乡镇政府呼之欲出。从发展型政府走向服务型政府,也就成为改革乡镇政府的当务之急。服务型乡镇政府的出现具有其深刻的历史必然性,它既是对乡镇政府传统特征的超越,也是对已有改革实践的突破,更是当前中央与地方关系、政府与市场关系以及国家与社会关系嬗变背景下的产物。作为中国最基层一级的行政组织,服务型乡镇政府具备服务型政府的一般内涵,但同时也有自身的特殊性。总体说来,服务型乡镇政府是促进农村建设的政府、是提供农村公共服务的政府、是促进农村社会发展的政府、是扩大农村民主参与的政府,它具有“以农民的公共需求为导向、合理的事权关系、弹性的组织结构、适当的决策权力以及民主的公共参与”等五个方面的特征。然而,就目前我国乡镇政府的建设情况而言,乡镇政府机构人员配置的格局仍然以传统治理的方式安排、政府体制机制创新进程比较缓慢、其所应履行的公共服务职责也未全部兑现,财权、事权的分配与其能力不相对称,绩效考评机制既缺乏科学有效性,乡镇自身的软、硬件设施和条件都非常差。为此,不少学者提出了多种改革方案,如“加强乡镇政府建设,将它建设成为一级完备或完全的农村基层政府组织甚至将其向村级组织延伸”,“虚化乡镇政府,将其改为县级政府的派出机构,实行‘县政、乡派’”,“建设官民合作的‘乡政自治模式’”,“撤消乡镇政府,实行乡镇自治”等。但是,学者所提出的各种改革模式对乡镇政府所处的宏观环境考虑比较少,事实上,乡镇政府自身所遇到的问题主要是取决于宏观的制度关系,换言之,是已有的、不合理的中央与地方关系、政府与市场关系以及国家与社会关系造成了乡镇政府现有的困局。有鉴于此,笔者将乡镇政府改革置于这三个总体关系的背景下进行考察,认为当前乡镇政府改革的改革路径是减少经济职能,强化服务职能,使之成为能反映辖区内居民需求、能满足居民参与愿望、能供给基本公共服务、能促进社会发展的服务型乡镇政府。构建服务型乡镇政府必须置于整个中国政府改革的背景之下进行思考,一方面,乡镇政府改革不可能脱离整个政府体系的系统创新战略而另起炉灶;另一方面,乡镇政府改革又具有自身的特殊性,在推进服务型政府建设的整体战略中承担起相对独特的使命。因此,服务型乡镇政府的改革模型,必须既要从系统的角度思考,又要结合自身的结构和功能进行设置。服务型乡镇政府改革模式的设置应该从两个方面进行考虑:其一是外围关系层面,服务型乡镇政府应该从中央与地方、政府与市场以及国家与社会的层面进行合理界定;其二是从结构功能角度界定乡镇政府的职能和机构。只有“关系”和“主体”这两方面的因素相互配合,才可能真正使乡镇政府成为服务型政府。从这个角度出发,笔者把服务型乡镇政府的改革模式界定为“关系-主体型”改革模式。尽管乡镇政府的命运,紧紧地系于中国政府整体的改革,尽管离开全国一盘棋的整体部署,乡镇政府改革本身断无成功可言,但是,这并不意味着乡镇政府不能改革或者改革无所作为,恰恰相反,乡镇作为政府体系的末梢,可以充分利用其“船小好掉头”的优势,发挥自主性和能动性,利用新农村建设的机会率先建设成服务型政府,这对于我国政府整体改革战略的推进也将大有裨益。本文将分为六章。导论部分简要地描述了论文的技术信息。正文部分包括第2-5章。首先分析构建服务型乡镇政府的理论基础,指出马克思主义农村发展理论、地方治理理论、国家与社会关系理论、公共物品理论、结构与功能主义理论以及新公共管理理论能够为服务型乡镇政府建设提供理论指导作用;其次,对我国乡镇政府进行了界定,并梳理了建国以来直到当前,乡镇政府发展的大致历程,指出乡镇政府从全能型政府的出现到发展型政府的形成,再到服务型政府的提出,具有历史必然性;第三,结合服务型政府的特征,从“促进农村发展、提供农村公共服务、促进农村社会发展、扩大农村民主参与”四个层面来确立服务型乡镇政府的基本内涵,归纳了服务型乡镇政府的五大治理特征,并借此对当前乡镇政府建设的现状和政府转型面临的挑战做了分析,同时还总结了新世纪我国构建服务型乡镇政府所做的一些探索工作;第四,提出了我国构建服务型乡镇政府的改革模型,即“关系-主体型”模式,即外围关系层面和主体建构层面叠合的模式,并根据该模式探讨构建服务型乡镇政府的基本路径。结语部分对本文的研究作简要总结,提出本文后续研究的问题和方向。更多还原

【Abstract】 With the development of society & economy and improvement of people’s living standards, people’s demand on public services is taking on a consistently increasing trend. People, who have settled their food and clothing problems, not only demand more on kinds and amount of public service, but also more on quality of that. In this context, it is inevitable to build service-oriented government to meet the increasing requirements on social public service. Township government is the enforcement agency of township people’s congress, and is the most basic-level administrative division. In the perspective of status and function, township government holds most responsibilities in rural executive affairs because it is the terminal part in China’s government system, linking closely with vast villages and rural people. It also has special effect on maintaining political management, providing social service and organizing economic construction. As a result, it brings a profound historical and actual meaning on how to build a service-oriented functional structure on the terminal of government system.Taking township governments after foundation of the nation as a research unit, this paper uses the methods of documentation and history research, comparison approach and practice study to analyze the specific development path of township governments’functions and reforms, and on the base of the theory of central-local relations, national-social relations, governmental-market relations and the principle of structural functionalism, it points out the historical necessity of building service-oriented township government, extracts the definition and characteristics, analyses the recent condition challenges for building service-oriented township government, and then puts forward the correspondent reform model in order to provide theoretical and practice reference for constructing a new socialist countryside.From the basic course of township government reform after 1949, township government is versatile between 1949 and 1978, which holds a wide range of responsibilities without independence. Since the carry-out of reform and opening-up policy, township government expands its motivation of developing economy and improves its self-determination ability with the establishment of system of dividing taxes. However, with its direct interference in market economy, the government diverts its public service-oriented road, turning into a development-type government. In such mode, the economic development becomes the focus of work, forming an“extruding”effect on social public service and the resource used for social development also being reduced correspondently. As a result, township government is not able to meet the need of public service and products from people, or to gain political support from them.With the advent of the 21st century, the advancement of tax reform, cancellation of agriculture tax and the further development of residential society gradually change the allocating situation of power, economic and other resources in original township political eco-system, reconstruct the framework of state-society relation in township-level. It seems more obvious about the disadvantages to development-type government and develops an increasingly demanding about the shift into service-oriented government. It holds historical certainty to establish service-oriented government for it not only overpasses typical township features, but also breaks through existing reform practice, regarded as outcome in the context of central-local, governmental-marketing and national-social relation.As the lowest-level government, service-oriented township government has its own particularity. Generally speaking, service-oriented township government is one kind of government that it can improve living condition and accelerate social development in rural area, supply public service for peasants, and enlarge democratic participation in town. And it should have reasonable relationship between duty and privilege, flexible organization and construction, moderate power for decision-making and public participation of people, and also be guided by peasants’public demands.However, until now, the configuration of construct and staff in town government is still arranged by conditional way, the innovation of town government system is very little, and the relationship between duty and financial powers is not suitable. Furthermore, the evaluation system for performance is not effective, and the soft and hard condition in town is so bad. Thus, it cannot perform its function completely. As to reform issues of township government, some scholars bring forward several plans, such as“Strengthening the construction of township government to build it as first-level completed or total rural-based government organization, even extending to village-grade organization”,“weakening of township government, as a detached agency of county government, namely‘county administration, township detached’”,“establish a township-level self-administrating mode with the cooperation of officers and civilians”,“repeal township government and carry out township self-government”and so on. However, those people pay less attention to an overall environment of township government under various reform modes. In fact, the problems come across more by township government lie in macroscopical system. In other words, it is the existing unreasonable relations between center & localness, nation & society and government & market that result into the current difficult situation for township government. Considering that the reform of township government may be set in these three relations, the author thinks that the reform path of township government can be summarized by reducing economic function and strengthening service function, thus turning it into service-oriented township government which is able to reflect residents’need, meet the participation demand from residents, provide basic public service and promote the social development.In order to construct service-oriented government, we should put it into the consideration of entire China’s governmental reform. On one hand, the reform of township government cannot be separated from the whole governmental system; on the other side, township governments have its own characteristics and hold its featured responsibility in the whole strategy. So the reform model of service-oriented government should be considered through system view and also be set corresponding to its own structure and functions. We may think of this issue by two paths. Firstly, it is external relation level that the definition of service-oriented government ought to be reasonably considered from central-local, governmental-marketing and national-social level. Secondly, we should define the function and institution of township government from structural functionalism. Only by combining relation and main body, it can be true to turn township government to real service-oriented government. From this perspective, the author defines it as the“relation-main body”reform model.The fate of the township government is closely connected with the overall reform of the Chinese government, and the township government has no success to speak of if it moves from the country’s whole deployment, but this does not mean that the township government cannot reform or the reform accomplishes nothing. Just on the contrary, the township as a periphery of the government system, can display its independency and activity, for it is easier for a small boat to turn around. Therefore it can use the opportunity of the new rural reconstruction to take the lead to build a service-oriented government, which will be of great help for the advancement of the government’s overall reform strategy.This paper will be divided into six chapters. Introduction of the paper briefly describes the technical information. Body part includes second to fifth chapters. Firstly, it analyzes the theoretical basis of building service-oriented township government by using theory of rural area development in Maxism, local governance theory, theory of relations between the state and society, theory of relations between the government and the market, system analysis theory, structure and functional theory as well as new public administration theory and so on to laid a theoretical foundation for building a service-oriented township government. Secondly, it straightens out the development course of the township government since 1949 until the present and points out that it is historically inevitable for the township government to change from the versatile government to the development government, and to the service-oriented government. Thirdly, it clarifies the basic content and features of township government. After analyzing the present condition of township government and challenges for building service-oriented township government, it summarizes recent explorations for building service-oriented town government in our country. Fourthly, it gives a reform model, namely“relation- main body”reform model, for building a service-oriented township government, which means that the external relations are combined with the main body building. On the basis of this model, the author makes researches on the basic path for construction of service-oriented township government. Conclusion of this paper gives a brief summary, pointing out issues and direction for the follow-up research.更多还原