城市区级政府协同治理研究——基于协同论的视角

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摘要

随着城市经济的快速发展和城市化进程的不断加快，城市区级政府所面临的

外部环境正变得日益复杂化、动荡化，各种不确定性因素不断增多，社会公共问

题也由此变得日益复杂，任何单一的政府部门或单一的社会管理主体都难以独自

应付。这就需要城市区级政府适时地根据环境的变化要求寻求新的城区公共事务

管理理念，提升自身的治理能力和转变工作方式。而协同论中所蕴含的复杂开放

系统内各子系统相互协调、相互合作，通过自组织使系统由无序状态迈向有序状

态，实现系统整体协同效应的思想，为城市区级政府正确认识和处理自身系统内

外各部分之间的关系，并将各部分的管理力量充分整合，实现城区公共事务的协

同治理提供了重要的理论基础。

因此，本文选取了协同论作为主要的理论切入点，在对国内外关于协同治理、

协同政府与协同政务等研究的相关文献进行梳理与陈述的基础上，运用理论分析

法与实情研究法等研究方法展开对城市区级政府协同治理的研究。首先，本文研

究了城市区级政府协同治理的理论基础，并对城市区级政府协同治理的概念进行

了界定，分析了城市区级政府协同治理的结构与层次，确立了城市区级政府协同

治理的理论基础。接着，本文研究分析了上海市部分区级政府开展的协同治理实

践，即城区综合管理“大联动”机制建设。论文主要取了上海市闵行区和杨浦区

的“大联动”机制建设作为典型案例，重点分析了它们开展“大联动”建设的背

景、“大联动”运行的组织架构以及相关机制，并在此基础上，总结归纳了它们在

实践协同治理过程中所采取的主要做法，为文章后面的问题分析作铺垫。再次本

文结合上海市闵行区和杨浦区两区区政府推行“大联动”机制建设的实践，研究

了当前我国城市区级政府在组织实施协同治理过程中所存在的相关问题，并分析

了导致这些问题产生的原因。最后，本文对如何完善当前我国城市区级政府协同

治理展开研究，提出了相关对策，亦即通过保障机制与制约机制的建设确保城市

区级政府协同治理的协同性的不断提升。在保障机制上，从文化协同、政策协同、

制度协同以及信息协同等几个方面着手努力，协调参与城市区级政府协同治理的

各个主体间的合作关系，实现有效协同。在制约机制上，建立健全的城市区级政

府监督机制和控制机制，确保整个协同治理系统高效有序地运转。

关键词：协同学协同治理理论协同治理城市区级政府政策协同

信息协同

Abstract

With the development of city's economic and the process of urbanization

accelerating, external environment faced by the city district governments is becoming

increasingly complex, turbulent, and a variety of uncertainties are growing. Thus, social

and public issues are becoming increasingly complex, and any single government

department or one single social management body are difficult to cope with solely. It

requires the city district governments to seek a new city public affairs management

philosophy in a timely manner, according to the change of external environment, to

enhance the governance capacity and shift the mode of work. The synergy theory

contains the ideology that various subsystems within the complex and open system

coordinate and cooperate mutually to make the system become an orderly state through

self-organization, achieving overall system synergies. So, it can provide important

theoretical basis for the urban district-level government correctly understand and handle

the relationship among the various parts which inside or outside of its own system, and

integrate fully the management power of each part, realizing collaborative governance

for the city’s public affairs.

Therefore, the paper selects the synergy theory as the main theory entry point, and

research the city district government cooperative governance through the theoretical

analysis and case studies and other research methods based on stating the study

literature about collaborative governance, join-up government and collaborative

government affairs at home and abroad. Firstly, this paper expounds the theoretical

foundation of the city district government’s collaborative governance. It also defined the

concept of the urban district government’s cooperative governance. At the same time, it

analyzes the structure and hierarchy of the city district government’s collaborative

governance, established the theoretical foundation of the city district government’s

collaborative governance. Then, this paper introduces the practices of collaborative

governance carried out by the part of the district-level government in Shanghai, which

called linkage mechanism for integrated management of the urban. In this paper, it

selected mainly the linkage mechanism construction in Minhang District and Yangpu

District as a typical case, analyzes the background, organizational structure and

mechanisms of the linkage mechanism to run. On this basis, this paper summarizes the

main approach taken in the practice of collaborative governance, and to pave the way

for the article behind. Based on the practice of linkage mechanism of Minhang district

and Yangpu district government, the paper studies the related issues that exist in process

of the organization and implementation of the city district government’s collaborative

governance. On this basis, this paper analyzes the reasons that led to these problems, too.

At last, the paper expands research around how to improve the urban district-level

government’s collaborative governance. It proposes some solutions path for the

problems of the urban district-level government’s collaborative governance. It mainly

constructs the protection mechanism and restriction mechanism to ensure the rise of the

urban district-level government’s collaborative governance abilities. In the protection

mechanism, the urban district-level government should build sound collaborative

governance safeguard mechanism from the aspects of cultural collaboration, synergy in

policies, institutional collaboration and information collaboration to coordinate the

cooperation relations between the various entities who involve the city district

government’s collaborative governance in order to reduce unnecessary conflicts and

achieve effective collaboration. In the restriction mechanism, the city district

government should establish a sound urban district-level government supervision

mechanisms and control mechanisms to ensure the efficient and orderly operation of the

entire collaborative governance system.

Key Word: Synergetics, Collaborative Governance Theory,

Collaborative Governance, City District Government,

Policy Synergism, Information Synergism

中文摘要

ABSTRACT

第一章绪论 ................................................... 1

1.1 论文研究背景和意义 ....................................... 1

1.1.1 论文研究背景 ........................................ 1

1.1.2 论文研究意义 ......................................... 2

1.2 国内外研究现状 ........................................... 3

1.2.1 协同治理研究 ......................................... 3

1.2.2 协同政府研究 ......................................... 6

1.2.3 协同政务研究 ......................................... 7

1.3 研究思路与方法 ........................................... 8

1.3.1 研究思路 ............................................. 8

1.3.2 研究方法 ............................................. 8

第二章城市区级政府协同治理的理论基础 .......................... 9

2.1 协同学的基本理论 ........................................ 9

2.1.1 协同学的产生和发展 .................................. 9

2.1.2 协同学的概念和原理 ................................. 10

2.1.2.1 协同学的基本概念 ................................ 10

2.1.2.2 协同学的主要原理 ................................ 11

2.2 协同治理的基本理论 ...................................... 12

2.2.1 协同治理思想的发展沿革 .............................. 12

2.2.2 协同治理理论的基本内涵 .............................. 13

2.2.3 城市区级政府协同治理：概念、结构与层次 .............. 14

第三章城市区级政府协同治理实践：上海市部分地区的城市综合管理“大联

动” .................................................. 17

3.1 上海市闵行区和杨浦区城市综合管理创新机制——“大联动” ... 17

3.1.1 “大联动”建设背景 .................................. 17

3.1.2 “大联动”组织架构 .................................. 18

3.1.3 “大联动”运行模式 .................................. 19

3.2 城区综合管理“大联动”建设与协同治理 .................... 22

3.2.1 整合多方力量，形成多方联动模式 ...................... 22

3.2.2 依托电子政务，促进信息协同 .......................... 23

3.2.3 强调部门协作，注重业务协同 .......................... 24

第四章现阶段我国城市区级政府协同治理状况的研究 ............... 26

4.1 现阶段我国城市区级政府协同治理所存在的问题 .............. 26

4.1.1 政策协同障碍 ........................................ 26

4.1.2 管理协同障碍 ........................................ 27

4.1.3 非政府主体未能在城市区级政府协同治理中充分发挥作用 .. 29

4.2 现阶段我国城市区级政府协同治理问题的原因分析 ............ 30

4.2.1 影响协同治理的变量研究 .............................. 30

4.2.1.1 影响协同治理的序参量 ............................ 30

4.2.1.2 影响协同治理的其他变量 .......................... 31

4.2.2 影响协同治理的原因分析 .............................. 32

4.2.2.1 部门利益 ........................................ 32

4.2.2.2 城市区级政府部门设置和职责划分不合理 ............ 33

4.2.2.3 缺乏有效的协同治理协调机制 ...................... 33

4.2.2.4 政府全能主义与社会中介组织发展不足限制了非政府主体的

作用发挥 ........................................ 34

第五章完善我国城市区级政府协同治理的对策思考 ................. 36

5.1 协同治理的组织实施原则 .................................. 36

5.1.1 统筹全局原则 ........................................ 36

5.1.2 内外平衡原则 ........................................ 36

5.1.3 权衡变通原则 ........................................ 37

5.2 完善协同治理的对策建议 ................................... 37

5.2.1 协同治理组织实施的保障机制 ........................... 37

5.2.1.1 文化协同保障：塑造协同型组织文化 ................. 37

5.2.1.2 政策协同保障：建立健全政策协同机制 ............... 38

5.2.1.3 制度协同保障：建立协同治理制度体系 ............... 39

5.2.1.4 信息协同保障：搭建协同治理信息系统 ............... 40

5.2.1.5 参与力量保障：培育社会中介组织，壮大协同治理力量 ...

................................................. 41

5.2.2 协同治理组织实施的约束机制 ........................... 42

5.2.2.1 建立健全城市区级政府协同治理的监督机制 ........... 42

5.2.2.2 建立城市区级政府协同治理的控制机制 ............... 42

参考文献 ...................................................... 44

在读期间公开发表的论文和承担科研项目及取得成果 ................ 48

致谢 .......................................................... 49

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摘要：

摘要随着城市经济的快速发展和城市化进程的不断加快，城市区级政府所面临的外部环境正变得日益复杂化、动荡化，各种不确定性因素不断增多，社会公共问题也由此变得日益复杂，任何单一的政府部门或单一的社会管理主体都难以独自应付。这就需要城市区级政府适时地根据环境的变化要求寻求新的城区公共事务管理理念，提升自身的治理能力和转变工作方式。而协同论中所蕴含的复杂开放系统内各子系统相互协调、相互合作，通过自组织使系统由无序状态迈向有序状态，实现系统整体协同效应的思想，为城市区级政府正确认识和处理自身系统内外各部分之间的关系，并将各部分的管理力量充分整合，实现城区公共事务的协同治理提供了重要的理论基础。因此，本文选...

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