【作者】 赵聚军；

【导师】 朱光磊；

【作者基本信息】 南开大学 ， 行政管理， 2010， 博士

【副题名】基于政府职能转变的视角

【摘要】 长期以来,行政区划在多数情况下是作为一种统治和政策工具存在的。在学术上,行政区划研究通常被视作一个应用性领域,整体理论层次有待提高。相比其他国家,中国行政区划工作的地位更为重要,也更加需要从政治发展和政府治理模式转换,特别是从政府职能转变的视角,强化对行政区划的理论研究,推动研究工作的深入和系统化。本文立足于基础理论研究,主要从政府职能转变的视角研究行政区划,并尝试建立一个新的分析框架。全文的基本设定是：行政区划改革与政府职能的重心定位之间存在内在的联系,即不同时空条件下行政区划改革基本目标的确定,主要取决于相应时期和国家政府职能重心的具体定位以及相关制度安排,而行政区划改革本身则始终以不同的形式服务于政府基本执政目标的有效实现。本文分别从历史经验归纳、理论支持和现实反映三个层面,对基本设定进行了验证。首先,政府职能重心定位与行政区划调整基本目标的阶段性耦合,在历史经验层面验证了两者联系的实然性：历代王朝的职能重心偏向于政治统治,行政区划调整的基本目标是加强中央集权,以巩固皇权、控制社会；新中国初期,各级政府的工作重心是重整秩序,行政区划调整的基本目标是巩固中央权威,为恢复、发展国民经济创造条件；改革以来,推动经济发展始终是中国各级政府的中心工作,行政区划调整亦显示出强烈的经济导向；二战后,西方典型国家地方政府的职能重心已经普遍倾向于公共服务,行政区划调整亦反映出明显的公共服务导向,服务的成本、效率和公平性,是其改革所追求的基本目标。再者,政府职能在行政区划设置和调整中的基础性地位,在理论上解释了行政区划改革与政府职能重心定位内在联系的应然性。期望有效地实现政府的基本执政目标,前提条件之一就是将公共权力覆盖到国土内的所有区域和居民。而要达到这一目的,通常需要将领土划分为若干层次和类型的行政区域,并在此基础上建立起地方政府体系。因此来看,行政区划是最高当政集团履行政府职能和执政目标的基本手段,只能服从、服务于政府职能的有效履行。第三,在现实政治生活中,行政区划改革服从、服务于政府基本执政目标有效实现的一系列具体反映,进一步印证了行政区划改革与政府职能重心定位内在联系的必然性：其一,行政区划是完善地方政府体系的基础；其二,行政区划是中央对地方实施有效管理和控制、平衡府际关系的基本手段；其三,合理的行政区划有助于地方政府更好地履行其公共服务职责。从已经得到验证的基本设定出发,要准确归纳当代中国行政区划改革的基本指导理念,首先需要对各级政府的职能定位,做适当的界定。目前各级政府根据时代要求对其职能所作的最大调整,就是开始前所未有地重视公共服务职责。但是,公共服务职责的日益突出,并不意味着统治职能的弱化：从理论上看,国家作为阶级性与公共性的辩证统一体,决定了政府的统治职能与社会管理职能是一个有机整体,不能偏废其中任何一个方面；从现实层面来看,维护国家统一和领土完整、平衡府际关系等重要使命,都使得适度发挥统治职能成为必然。基于上述认识,本文将新时期中国行政区划改革的基本指导理念归纳为“控制—服务”导向：对于省级层面的行政区划调整,应主要从适度发挥行政区划的控制作用、维护中央权威的角度加以审视；对于地市及其以下层面的行政区划调整,则应更多地从统筹公共服务、降低施政成本的视角进行评判。最后,结合改革实践,本文对“控制—服务”导向进行了的推广,提出了一些具体的对策建议：对于省制调整,应在总体稳定的基础上,适度发挥大城市的政治平衡作用；对于大都市区,应着力避免陷入“巴尔干化”的陷阱,坚持“单中心广域市制”的基本策略；对于市辖区,应在充分厘清其施政性质差异的前提下,实施分类改革；对于县域整合,应主要从降低各个服务和施政成本、发挥规模经济效益的视角出发,探索县域的最优人口规模；对于乡镇,则应区分改革的普遍性与特殊性：多数乡镇基本的改革趋势是派出化与大规模的合并；但少数经济发达、城市化程度较高的乡镇,则存在镇改市的可能性。更多还原

【Abstract】 In most cases, administrative divisions was considered to be a ruling and policy instrument, and accordingly correlational research is taken as a policy issue. Therefore, the theoretical level on the research of administrative divisions should to be elevated. Compared with other countries, administrative divisions played a more important role in China. So, in order to promote administrative divisions’research to be more in-depth and detailed, we should pay more attentions to theoretical research from the visual of transforming government roles based on political development and public governance mode changes.The basic purpose of this dissertation is to discover the law in administrative divisions from the relation between administrative division reforms and the key roles of government. A basic hypothesis of this dissertation is that there is a causal connection between administrative division reforms and the key roles of government, that is the fundamental object of administrative division reforms is decided by and subordinate to the key roles of government in different historical periods and states. The article verifies the basic hypothesis in the following three aspects:empirical summarization in history, theoretical support and reality reflection.Firstly, the fact that the fundamental object of administrative division reforms kept with the key roles of government in different historical periods is the empirical evidence for the basic hypothesis. In ancient China, the main role of the government was political rule. Therefore, the fundamental objective of administrative divisions was intended to strengthen the centralization of power, in order to consolidate the imperial power. In the early years of PRC, government’s core task at all levels was to restore political order in the complicated situation. Consequently, in order to create necessary conditions for this work, the fundamental objective of administrative divisions was to strengthen central authority. Focusing on promoting the economic development was the main feature of Chinese governments from 1978. Therefore, administrative division reforms reflected strong economic orientation in this period. After World WarⅡ, local governments in most western countries began to pay great attention to governmental responsibilities of public service, and administrative division reforms in these countries reflected strong public service orientation correspondingly. Thus public service and reduction of the cost governmental administration, efficiency and equality was always the main gauge of reforms.Secondly, governmental roles as the basis of administrative divisions are the theoretical evidence for the basic hypothesis. Public authority extended to all territory and residents is one of the preconditions for a government to perform its roles effectively. Consequently, it is necessary to divide its territory into different districts, and then establish local government systems. Will look from this, administrative divisions is the essential measures to effectively perform governmental roles, which is the highest group’s political aim. Therefore, administrative division reforms must be in line with the governmental roles in different historical periods and states.Thirdly, in the reality, a series of actual reflections about the relations between administrative division reform and the key roles of government further verifies the basic hypothesis. First, administrative divisions is the foundation of establishing and perfecting local government system; second, administrative divisions is a primary means to strengthen central government controllability and adjust longitudinal intergovernmental relations; third, a rational administrative division system is instrumental in promoting local governments to carry out theirs responsibilities of public service.The basic hypothesis is roundly validated by the above analysis. If we want to conclude the administrative division reform’s rational basic guidelines in contemporary China, it is necessary to define governmental roles in an appropriate way. Establishing a service-oriented government means that the Chinese governments at various levels should transform their main responsibilities from promoting economic development directly to supplying public service. But, it doesn’t mean political domination is becoming less and less important for governments. Theoretically, the State as the unity of the class benefit and public benefit decides governmental roles of political domination and social management as an organic whole. In reality, for a big power such as China, it is absolutely necessary to play administrative divisions’ controllability properly, especially when the state’s unification and political stability face a severe challenge. In view of the research above, this dissertation further put forwards the control—service orientation. This paradigm of study mainly includes two meanings: on the one hand, the main reform objectives of provincical districts’ administrative division should be to strengthen the central government’s controllability reasonably; on the other hand, the main criteria for the reforms below provincial districts are to reduce public service costs, improve supply efficiency and ensure equality.Finally, the control—service orientation is further appled to the practice of China’s reform by putting forward some specific suggestions as follows. The reforms on provincial level should be to maintain stability, and enhance the big cities’political balance effect at the same time; in order to avoid Balkanization, the fundamental objective of the reform on metropolitan areas is to hold on single-center structure; municipal districts should be classified to suit their different responsibilities; Reducing public service and administrative costs, producing dimensions economy effect, and deciding on the optimum population size, should be the main criteria for the reforms on county level; a distinction should be made between universality and particularity about the reforms of villages and towns. It is a trend to merge most villages and towns into an agency which belongs to county government. In some developed areas, some towns usually with a higher urbanization level have the potential to be upgraded to cities.更多还原