【作者】 孙选中；

【导师】 石亚军；

【作者基本信息】 中国政法大学 ， 政治学理论， 2008， 博士

【摘要】 一、问题提出自20世纪下半叶开始,政府行政改革已成为世界上各个国家应对新的社会发展和环境变化而进行的战略性的重大变革。如果要对上个世纪以来各国政府改革的进程进行逻辑描述,我们似乎可以看到它呈现出了三种形态的政府管理模式的更替,这就是:从“传统政府统治模式”到“新公共管理模式”再到“服务型政府模式”的演变。因此,不论是在理论上和实践上人们都把政府下一步的改革聚焦在了“服务型政府”上,这样,关于服务型政府的研究就成为了政府改革的新的研究热点。从现有的文献来看,这种研究主要围绕着服务型政府的本质及其产生、服务型政府对传统政府的变革、服务行政的职能和内容等主题来展开。尽管这些研究对构建服务型政府具有重要的指导作用,但是,这些研究更多回答的是服务型政府“是什么”的问题,而尚未回答服务型政府的服务行政应该“怎么样”进行的问题。本文以服务型政府的“行政机制”为主要研究问题,试图通过对政府服务行政从理念、原则到行为所构成的内在机制的分析,揭示服务型政府“怎么样”进行服务行政的基本结构关系和运行过程。二、研究思路本文运用系统分析方法研究了“公民本位”的服务型政府进行服务行政的机制结构关系,特别是基于公共管理的“效率与公平”的主题,剖析了管制型政府所存在的公共服务的偏颇,并探讨了以公民为本位的服务行政对传统政府行政的超越。具体分析了体现公民本位的“满足公民所需”、“尊重公民意愿”和“重视公民参与”的行政观念,重点研究了政府服务行政的“公利机制”、“回应机制”和“整合机制”这三种机制因素。通过这样的分析,一方面能够从服务行政的各种要素的内在联系上揭示出服务行政特定的联系方式和运行机制,另一方面能够从整体上认识和把握构建服务型政府应该进行的不同层面的机制变革。首先,公利行政机制确定了政府“满足公民所需”的服务行政的导向和出发点。通过公众需求和期望的剖析,提炼出公共利益的具体导向要素,指出了政府服务应该关注公众的不同类型的期望,并以此为导向如何实行政府的服务行政。其次,回应行政机制确立了政府“尊重公民意愿”的服务行政的责任和互动过程。政府回应实质上就是为公民着想和对公民负责,必然要对政府进行重新定位,改变其传统的以权力为基础而傲视公民的权威角色。其三,整合行政机制界定了政府“重视公民参与”的服务行政的扩展和参与机会。政府服务不应该也不可能包揽一切,整合行政机制可以使政府的服务界面从提供产品的服务扩大到提供机会的服务,通过不断协调和整合各种优势资源,积极建立和维系各种公共的社会关系,实现公共利益的最大化。在本文的研究中,以“公民本位”作为服务型政府进行服务行政的逻辑分析原点,以公共管理的效率与公平的主题为逻辑线索,从“公利机制”、“回应机制”和“整合机制”三个维度对服务行政的观念、原则和方法进行了探索,在整体上勾勒了服务型政府怎样进行服务行政运行的结构化框架,并基于这种研究思路对我国政府服务行政改革进行了初步的探索。三、主要内容本文的内容大致可以分为三个部分:第一部分由第1章和第2章构成。第1章主要是对本文所要研究的问题进行审视,通过简要描述服务型政府的产生过程,着重对服务型政府的研究文献进行了综述和评议,由此提出了本文确定的“服务型政府及其服务行政机制研究”的主题,围绕本研究主题对相关概念进行了约定或界定,并说明了这一问题研究的理论价值和本文的创新探索。第2章是从逻辑上分析了服务型政府产生的必然性,并从不同的理论角度介绍了关于服务行政的多学科的分析视角和理论基础,基于这些分析,本文创新性地构建起了服务型政府服务行政的分析框架,并对这一分析框架的思路和逻辑关系进行了说明。第二部分主要由第3章、第4章和第5章构成,这三章的内容着重研究的是服务行政的三种行政机制,也是本文研究的重点。第3章讨论的是服务行政的公利机制问题,分析了满足公民所需的服务理念和以公共利益为导向的服务行政过程,主要研究了公共利益问题及其与政府行政的关系,剖析了公众需求的构成和公众期望的类型,提炼出“政府服务三角形”的管理构架,并较深入地探讨了政府服务行政的相关问题和行政方法。第4章讨论的是服务行政的回应机制问题,首先对回应的内涵和回应机制对传统政府管理变革的意义进行了重点阐释,特别分析了回应机制的责任原则和互动原则,以及它们在服务行政中的机制作用,然后,从回应目标、回应沟通、回应流程三个方面对如何实施政府回应行政的方法进行了讨论和研究,接下来探讨了回应行政机制对政府变革的作用。第5章研究的是服务行政的整合机制问题,通过整合概念的剖析提出政府的服务行政不仅是直接提供服务产品,而通过整合政府外部的资源满足公共利益的需求也是政府服务行政的责任,强调政府在治理理念上要坚持善治,在整合过程中要发挥市场化和民营化机制的作用,并对无缝隙政府的整合、合同外包的整合和特许经营的整合等方式进行了探讨。第三部分主要就是第6章关于我国政府服务行政改革的探索,重点分析了我国政府实行服务型政府改革的可行性和改革中应该注意调整的几种关系,特别是对我国政府的行政重点逐步转向以改善民生为主的社会管理和公共服务的相关制度创新,服务行政程序变革以及技术手段的改变进行了探索。最后,本文对研究的观点和结论进行了总结,同时指出了本文研究的局限性和存在的问题,并提出了今后进一步研究和努力的方向。四、主要创新本文研究的主要创新之处具体表现在:1、建构了政府服务行政机制的结构框架。本文依据机制的观念层、规则层和行为层的内在统一联系,揭示了服务行政机制的结构框架。在这一分析构架中,本文试图从三个层面和三种机制的研究来描述服务型政府的服务行政机制:三个层面主要是从“服务观念”、“行政原则”和“管理方法”这三个层面对服务型政府的服务行政机制转变进行研究;三种机制研究则是探讨服务行政过程中很重要的“公利行政机制”、“回应行政机制”和“整合行政机制”。2、进一步拓宽了利用多学科的方法进行交叉研究。在已有的关于服务型政府的研究中,虽然也运用了政治学、行政学、行政法学、新公共管理等研究方法和分析工具进行研究,但是,从学科相关性上看,还主要局限于政治和行政研究的领域。由于本文的研究主题是关于服务行政机制的研究,仅使用这些研究理论和方法是不够的,因此,又引入了服务管理理论、市场经济理论等涉及运行机制的一些分析理论和工具,由此增加了问题的分析视角和方法,有助于提炼和形成新的研究观点。3、对政府服务行政提出了具有研究价值的“服务行政三角形”的分析框架。服务行政三角形主要存在四种服务活动的基本要素,即公众利益、公共政策、行政人员和服务系统,它们相互间的关系构成了以公众利益为核心和导向的关系结构。在这四个要素相互之间又形成了六种主要的关系,分别通过六条关系联线表示出来,而在这六种关系中,又可以划分为两大类型的关系:“服务关系”和“行政关系”。服务行政三角形把复杂的服务过程和关系凝练成简单明了的关系结构,既为在理论上的深入研究提供了分析思路,也有助于把握和指导服务行政改革的整体关系。4、提出了或重新界定了对服务行政研究有参考价值的一些新的概念。由于本文提出的是一个新的研究问题,必然会涉及到一些新的思考,而对这些新的思考的表述又会涉及到一些新的概念。比如:“公利行政”、“回应行政”、“整合行政”等这些描述服务行政机制的基本概念;以及“公众期望”、“服务质量感知”、“服务质量等式”等表述服务行政运行原则和管理方法的一些新概念,等等。另外,虽然使用了一些人们熟悉的概念,但是在本文的研究中赋予了一些概念以新的界定,也就是重新思考它们的内涵。比如:“机制”、“服务”、“行政机制”、“公共利益”、“公共产品”、“公共利益主体”、“顾客”、“整合”等这些概念都有一些新的理解和阐释,它们都反映了本文的一些新的认识和探索。5、提出了本文关于政府服务行政的一些认识观点。基于以上几个方面新的思考和探讨,本文也得出了一些自己的认识和观点。主要有:“政府的服务行政就是以公民为本位的行政;而以公民为本位的服务行政从根本上来说主要就是满足公民所需、尊重公民意愿、重视公民参与的行政过程”;“服务行政机制主要由公利行政机制、回应行政机制和整合行政机制构成”;“政府服务质量可以用公众的服务感受与服务期望之差来表示”;“回应行政的责任原则,需要在‘公民道德’、‘委托代理’和‘政府与公民关系’三个层面上对回应行政的责任进行深入分析”;“整合行政机制将重新界定政府的职能和角色”;“我国政府服务行政理念的建立需要继承我们党‘为人民服务’的传统”;等等。这些观点既对深入探索和完善服务型政府理论有所参考,也可能对如何构建服务型政府和推进政府服务行政改革有所指导。更多还原

【Abstract】 1.Issue proposingSince the second half of the 20th century,the government administration reform has become the major strategic changes dealing with the new social development and the environmental changes in various countries all over the world.If want to make the logic description of the government reform process in various countries since last century,we can see that it has emerged as the replacement of three forms of the government-governing mode,this is:the evolution from the "traditional rule mode" to the "new public management model",then to the "service-based government model".Therefore,both in theory and in practice,people focused the next reform step on the "service-based government".And so,the research on the service-based government has become a new hotspot of the government reform.From the existing literature we can see that this research is mainly centered on the themes, such as the nature and the emergence of the service-based government,the transformation from the traditional government to the service-based government,the functions and the content of the service administration,etc. to start.These researches have the important instruction functions to construct the service-based government.However,these researches always answered the question "what the service-based government is",but not yet answered the question about "how" the service-based government’s service administration should be.This paper takes the service-based government’s "administrative mechanism" as the main research issue,trying to reveal the basic structure and the operation process about the service-based government how to make service administration through the analysis of the internal mechanism consisting of the concept,the principle and the conduct of the government service-administration.2.Research mentalityThis paper utilizes the system analysis method to study the mechanism structural relations of the service-administration in the "citizen-based" service government,and in particular,basing on the "efficiency and fairness" theme of the public management,it analyzes the bias of public services in control government and explores the surmounting the citizen-based administrative services to the traditional government administration,and concretely analyses the executive concept of "satisfying the citizen needs","respecting the citizen wishes" and "attaching importance to the citizen participation" which reflects the citizen basis,and focuses on the three mechanism factors,"the public benefit mechanism", "the response mechanism" and "the integration mechanism",of the government service-administration.Through such analysis,on the one hand we can reveal the specific contact ways and the operational mechanism of the service-administration from the inherent links of the various elements, on the other hand we can understand and grasp the mechanism reforms at different levels of how to build a service-based government from an overall perspective.Firstly,the public benefit administrative mechanism prescribes the guidance and the starting point of the government’s "satisfying the citizen needs" service administration.Through the analysis of the public needs and expectations,this paper extracts the specific guidance essential elements of public interests,points out that the government should pay attention to the different types of public expectations,and takes these as the guidance to implement the Government’s administrative services.Secondly,the response administrative mechanism has established the responsibility and the interactive process of the government’s "respecting the citizen wishes" service-administration.Government response is,in fact, for the sake of citizens and accountable to citizens.It is necessary to reposition the government,to change its traditional role of taking the power as the basis and the most outstanding of citizens.Thirdly,the integration administrative mechanism defines the expansion and the participation opportunities of the government’s "attaching importance to the citizen participation" service administration. Government services should not and can not contain everything.The integration administrative mechanism allows the government’s service interface expands from the product-providing service to the opportunity-providing service,and achieves the maximization of the public interest through continuous coordination and integration of various resources,actively establishment and maintenance of all kinds of public society relations.This research takes the "citizen-basis" as the logic analysis zero point of the service-based government’s conduction of service-administration, and takes the "efficiency and fairness" theme of the public management as the logical clues,and then explores the service-administration’s concept, principle and method from three dimensions,"the public benefit mechanism","the response mechanism" and "the integration mechanism", outlines the structure framework how a service-based government conduct the service-administration from a whole view,and then conducts a preliminary exploration on China’s government service-administration reform based on such research mentality3.Primary CoverageThis article can be approximately divided into three parts:The first part constitutes by Chapter 1 and Chapter 2.Chapter 1 mainly surveys the issue of this paper,stresses to sum up and appraise the research literature of the service-based government through briefly describing the service-based government’s generation process,and from this proposes "the service-based government and the service-administration mechanism research" subject of this paper,and defines the related concepts regarding this research subject,and then explains the theory value of this research issue and innovation exploration of this paper.Chapter 2 logically analyzes the inevitability of the service-based government appearance,and introduces the multi-disciplinary analysis visual angle and the rationale about the service -administration,based on these analyses.This paper innovatively constructs the service-based government service-administration’s analysis frame,and then explains the analysis frame’s mentality and the logical relation.The second part mainly constitutes by Chapter 3,Chapter 4 and the Chapter 5,which emphatically studies service-administration’s three kinds of administrative mechanisms,is also the key point of the research of this paper.Chapter 3 discusses the service-administration’s public benefit mechanism issue,analyzes the service concept of "satisfying the citizen needs" and the service-administration process taking the public benefit as the guidance,mainly studies the public benefit issue and the relations between this issue and the government administration,and analyzes the types of the public needs and the public expectancy,refines "the government service triangle" management skeleton,and then deeply discusses related questions and the administrative method of the government service-administration.Chapter 4 discusses the service-administration’s response mechanism issue. Firstly,this chapter stresses to explain the response connotation and the significance of the response mechanism to the traditional government administrative transformation,especially analyzes the responsibility principle and the interactive principle of the response mechanism,as well as their mechanism function in service administration.After that,we discuss and research the method about how to implement the government respond administration from three aspects including the response goal,the response communication and the response flow,then discusses the function of the response administration mechanism to the government transformation.Chapter 5 discusses the service-administration’s integration mechanism issue.Proposing the government’s service-administration through the analysis of the integration concept is not only providing the service products directly,but satisfying the public benefit through the integration of the resources out of the government is also the government’s service-administration’s responsibility.This chapter emphasizes that the government must insist on good governing in the government idea,must exert the functions of the marketability and the privatization mechanism in the integration process,and must carry on the discussion of the method of the Seamless Government’s integration,Outsourcing Contract’s integration and the Franchise’s integration.The third part is mainly Chapter 6,is mainly the exploration about Chinese government service administrative reform.This part selectively analyzes the feasibility of Chinese government implementing the service government reform and several kinds of the relations which should be noticed to adjust,especially explores the related system innovations of the social management and the public service gradually turning Chinese government’s administrative emphases to improving the people’s livelihood,the service-administration process transformation,as well as the technological methods change.Finally,this paper carries out a summary to the research viewpoint and the conclusion,simultaneously points out the research limitation and the existence question in this paper,and proposes the direction of the further study and efforts in future.4.Main innovationThe main innovations of this paper’s research manifest in:(1) Constructed the structural frame of the government service-administration mechanism.This paper resting on the intrinsic unification relation of the mechanism’s idea level,regular level and behavior level,reveals the structural framing of the service-administration mechanism.In this analysis frame,this paper attempts to describe the service government’s service-administration mechanism from the research of the three stages and the three kinds of mechanism:Three stages means researching the service government’s service-administration reform through three stages,"the service idea","the administrative principle" and "the management method";Three kinds of mechanism research discuss "the public benefit administrative mechanism","the response administrative mechanism" and "the integration mechanism",which are very important in the process of service-administration. (2) Conducted the cross research using the further expanded multi-disciplinary methods.The existing researches about the service-based government have also utilized the research techniques and the analysis tool, such as politics,the science of administration,the administrative jurisprudence,the new public administration,etc.but have mainly limited to political and the administrative research domain looking from the discipline relevance.Because this paper’s research subject is about the research of the service-administration mechanism,it’s not enough to use only these research theory and methods.Therefore,we also introduce some analysis theories and the tools which involve the operational mechanism, such as the service management theory,the market economy theory and so on.(3) Proposed the analysis frame of "the service administration triangle",which is valuable to the government service-administration research.The service administration triangle mainly has four kinds of base elements of servicing activities,namely public benefit,community policy, administrative personnel and service system.The relations among them constitute the relational structure which takes the public benefit as the core and the guidance.There are six main relations between these four elements, expressing separately through six relational lines.These six relations can also be divided into two big types of relations:"service relations" and "administrative relations".The service administration triangle refines the complex service process and the relations into the simple intelligible the relational structure,which has provided the analysis mentality for the deep theoretical research,is also helpful to grasp and instruct the whole relations of the service administrative reform.(4) Proposed or redefined some new concepts which have reference value to the research of the service-administration research.Because what this paper has proposed is a new research issue,this will definitely involve some new considers,and further more,these new considers will involve some new concepts,for example,some new concepts describing the service administration principle and management methods,such as "the public benefit administrative mechanism","the response administrative mechanism" and "the integration mechanism",etc.Moreover,although we have used some concepts which people are familiar with,but this paper’s research has given some concepts the new definitions,reconsiders their connotations.For instance:"the mechanism","the service","the administrative mechanism","the public benefit","the public product","the public benefit subject","the customer","the integration",etc.all these concepts have some new understanding and explanation,they have reflected some new understanding and the exploration in this paper.(5) Proposed some understanding viewpoints about the government’s service-administration in this paper.This paper has also obtained some own understanding and the viewpoints based on some new considers and discussions in the above aspects,mainly including:"The government’s service-administration is the administration which takes the citizen as the basis;fundamentally,it is mainly the administration process of satisfying the citizen needs,respecting the citizen wishes and attaching importance to the citizen participation." "The service-administration mechanism mainly constitute of the public benefit administrative mechanism,the response administrative mechanism and the integration mechanism." "The government service quality may be expressed by the difference between the service reception and the service expectation of the public." "The responsibility principle of the response administration needs deeply analysis of the response administration responsibility at three levels of the ’civic virtues’,the ’principal-agent’ and the ’relation between the government and the citizen’." "The integration administration mechanism will redefine the government’s function and role." "The establishment of our government service-administration concept needs to inherit our party’s ’serving the people’ tradition." These viewpoints not only have the reference to explore and consummate the service government theory thoroughly,but also possibly have the instruction to construct the service government and the improvement to reform the government’s service-administration.更多还原