导　　师： 竺乾威

学科专业： 120401

授予学位： 博士

作　　者： ;

机构地区： 复旦大学

摘　　要： 在通讯网络的便捷性、交通运输的通达性、环境生态和现代社会的高度流动性等叠加背景下,各类复杂性、速变性、相互纠葛性的公共事务倍增,各种公共问题跨越行政区划的界限成为区域性议题,旧有行政区划下的地方政府已经逐渐无法回应区域发展面临的重大课题。一系列复杂性公共问题的起因和解决方案是多元的,需要不同组织协力应对。所以,发展积极的相互依赖关系,已经成为横向地方政府间关系的重要趋势。随着中国经济格局由过去的以省为基础的“行政区经济”向跨省区边界的区域经济转变,相应的政府管理模式也应由基于行政区域界线的“行政区行政”转向跨行政区边界的区域行政。 环境污染不以省界、市界、县界为限,而是区域性的。在跨行政区环境治理的现实中,却面临着区域环境的整体性与属地环境管理碎片化的矛盾。跨行政区环境治理本身具有高度渗透性、不可分割性、相互依赖的竞争性、跨区域的外部性等特征,环境保护的正外部性和环境污染的负外部性使区域环境治理政策缺乏效率,基于地方利益的环境治理行动策略表现为自扫门前雪、以邻为壑,地方政府间相互扯皮、相互埋怨的情况屡见不鲜。从频频发生的跨界环境污染事件来看,地方政府的理性需求导致区域环境生态恶化的非理性结果,跨行政区环境治理的“碎片化”消解了整个区域环境的价值和效用。 在区域经济一体化趋势加强,环境问题的空间性、整体性和复杂性交错发展等背景下,地方政府间需要从“分界而治”走向多元化、动态化的伙伴协作,在政府间形成纵横交错的公共事务协作网络。地方政府如何通过协作有效提供跨区域性公共产品和服务,成为政府面临的新挑战。没有隶属关系的横向地方政府间为什么需要协力治理区域环境；如何避免环境政策执行不力、整合无效和合作破局等情形,能够让横向地方政府间相互对话、彼此让步与充分协作,成为本文的核心议题。 在整体性治理的分析框架基础上,本文从治理理念、组织结构、运行机制和技术系统四个方面,通过规范研究、案例研究、文献研究、比较研究等方法的应用,提炼出跨行政区环境治理中地方政府行动的理论解释架构；通过历史发展与现实困境的综合演绎,呈现跨行政区环境治理中地方政府协作的困境,剖析碎片化困境的形成机理,印证该解释框架的科学性和合理性；寻求整体性的策略建构,进而提出“指向中国实践”的地方政府协作的整体性策略模型,为跨行政区环境治理中地方政府协作的未来走向提供思路。 首先,本文应用资源依赖理论、集体行动理论、行为博弈理论和整体性治理理论等理论工具,为全文的研究提供理论指导。借助整体性治理策略框架的思路,围绕地方政府协作在价值和理念、组织结构、运行机制和技术系统四个方面的相关构成变量,提供跨行政区公共事务治理分析的系统变量列表,构建整体性治理的分析框架。 其次,应用制度分析方法,从纵向的历史视角,对三大典型区域中区域环境治理的地方协作政策进行梳理,从协作政策的演变中找出地方政府协作演进的影响因素和发展逻辑,提出跨行政区环境治理中地方政府协作的后发外生型协作演进模式。 再次,基于整体性治理分析框架,对碎片化权威模型进行改造,从价值整合、资源和权力分配、政策制定和执行三个维度,呈现跨行政区环境治理中地方政府的协作困境。随后,从治理理念、管理体制和运行机制三方面,对地方政府协作困境的深层诱因进行剖析,从宏观到微观层面、从静态到动态层面打开地方政府行动逻辑背后的“黑箱”。 最后,在比较市场协调机制、科层协调机制和网络治理协调机制三类已有跨行政区环境治理的地方政府协作机制效用后,本文论证了地方政府协作走向整体性治理的可行性,依据整体性治理的分析框架,从协作文化、协作机构、协作机制和协作技术四个方面提出地方政府协作的整体性策略。进而结合中国的政治体制背景,提炼出一般性的“指向中国实践”的跨行政区环境治理中地方政府协作的整体性策略模型。 With the development of information and communication technology, transportation and modern society, numbers of wicked public affairs increase sharply. Various public issues have crossed administrative district boundaries. It is a great challenge for local governments which in existing administrative division to solve those wicked problems. We have seen the emergence of a class of problems whose causes are so complex, and whose solutions are so multi-factorial, that they require a multi-organization response. Collaboration between local governments aims to coordinate activities across administrative division. Therefore, the development of positive horizontal collaboration and interdependence becomes an important trend among local governments. The environmental pollution doesn't happen in administrative district, but regional area. However, there is a contradiction between the integrity of regional environment and fragmentation of environment management in practice. Environmental governance across administrative division is characterized by permeability, indivisibility, competition and externalities. The positive externalities of environmental protection and negative externalities of pollution lead to the lack of efficiency of regional environmental governance policies. The horizontal relation between local governments and environmental governance, for local interest, are fragmented. Collaboration is made difficult partly because the incentives to achieve each organization's aim are greater than the incentives to achieve more system-wide objectives. In summary, based on frequent cross-boundary pollution incidents, the rational interests of local government bring about irrational results that regional ecological environment has been deteriorated seriously. In the face of the growth of regional economic integration, it is necessary for local governments to take emphasis on collaborative partnership and to form an intergovernmental cooperative network on public affairs. This study attempt to explore the following questions:why horizontal local governments, which has no administrative subordination, need to cooperate with each other to protect regional environment; how to avoid the weak implementation of environmental policies, and invalid cooperation, to conduct effective communication and mutual concession between local governments. The study offers the hypothesis that regional environmental governance had become fragmentation that is preventing the achievement of important goals of environmental policy. Based on the framework of holistic governance, this study tries to extract a framework, which comprises four variables, to explain the action of local governments in environmental governance cross administrative division. Then the paper analyzes the history, practical problems and its reasons of collaboration between local governments, in order to test and verify the framework. The ultimate goal is to find out a general model of collaboration strategy between local governments for policy making and public management. The study takes qualitative approach through the methods of normative research, case study, documents analysis and comparative analysis. Firstly, the paper explains four theories, such as resource dependence theory, collective action theory, behavioral game theory and holistic governance theory, to provide theoretical guidance for the studies. Then the analysis framework, which comprises governance concept, organization structure, operation mechanism and the way of working, is constructed to provide the list of system variables that can explain the behaviors of local governments in collaboration. Secondly, from historical perspective, the brief history of collaboration policy in three typical regions is traced by institutional analysis. The influencing factors and logic elements of collaboration development will be summarized through the evolution of cooperative policy. After that, it's concluded that the existing collaboration between local governments is rooted in exogenous impetus. Thirdly, with coherence of analysis framework of holistic governance, the paper transforms Fragmented Authoritarianism Model. It presents the reality difficulties of collaboration between local governments from three perspectives that are value integration, resources and power allocation, policy making and implementation. Then the paper try to find out the underlying reasons for collaboration problems, from the view of governance concept, organization structure, operation mechanism, to open the blackbox of local government action. Finally, the paper compares three types of existed coordination mechanisms, which are market coordination mechanism, bureaucratic coordination mechanism and network governance coordination mechanism, and gives assessment of them. After demonstrating the feasibility of trends that local government collaboration towards holistic governance, the holistic strategy of collaboration, which contains collaborative philosophy, collaborative organization, collaborative mechanism and collaborative technology, is proposed at last. Moreover, according to the background of China's political system, the paper tries to find out a common holistic strategy model of collaboration between local governments in regional environmental governance.

关 键 词： 跨行政区环境治理 地方政府协作 碎片化 整体性治理

分 类 号： [X321]

领　　域： [环境科学与工程]