文献综述+外文翻译,--,基层政府间条块关系变迁研究

　基层政府间条块关系变迁研究

　文献综述

　一、关于条块关系的表现形式和类型的研究

　关于条块关系表现形式的研究，马力宏和谢庆奎分别从两个角度进行分析，具有一定的代表性。

　马力宏的观点是，条块关系主要是通过以下种形式具体表现出来一是“上级职能部门（条条与下级地方政府块块之间的关系”。条条与块块的关系，是我国条块关系中最主要的形式。条与块，即指上级的职能部门与下级政府。两者虽然在行政级别上属于平级，如海关总署和广东省政府，然而上级职能部门行使的是上级政府的命令和意志，这使其在实践的管理中往往高于下级政府而处于指导的位置。

　二是“上级政府职能部门与下级政府职能部门之间的关系。即上级条条与下级条条之间的关系”。上、下级政府职能部门之间是领导与被领导的关系，尽管直观上说它仅是纯粹的条条关系，但由于每一层级政府均由职能部门组合而成，即上级政府的职能部门体现了上级政府的意志，它与下级政府职能部门之间也就变相演变成条块关系了。

　三是“上级政府与下级政府之间的关系。这是条块关系的核心”。之所以把上下级政府之间的关系视作条块关系的核心，是由于不论条条自身有何种的利益或影响，其首先代表的是其所在层级政府和其利益。条条的利益无疑和其所在的政府是一致的，因此，条条的影响愈大，其所代表层级政府对下级政府的作用亦成正比地增强。

　谢庆奎则从分析我国不同性质和功能的“条条”的角度来对条块关系进行划分。他认为中国的条条主要有以下三种情况：

　第一种，以块为主的条条。条条中的各个部门同时也是各级政府的组成部分，这些部门以本级政府领导为主，以对口上级部门领导为辅。如农业局、民政局、工业局。

　第二种纯粹的条条。条条中的部门由本系统上级部门派出，其所有的业务、

　在编人员、工资福利均受上级部门直管，政府只负责协管。海关便属于此类的条条。我国这类的部门还有审计、公安、监察、国家安全、地震、统计、税务、银行、铁路、邮电、电力、商品检验等。

　第三种，以条为主的条条。比如国有中型企业和事业单位，其对上由上级政府或政府主管部门归口管理，地方下级政府只负责协助管理。

　各种条块关系正是在以上所述的条条关系与块块关系的结合中产生的：

　第一类的条条与本级政府之间是业务指导关系，较易处理。

　第二类属于最难于处理、最为复杂的条块关系。条条中的下级部门在人、财、物上均受令于条条中的上级部门，其和同级政府之间关系淡薄，故条块关系处理起来也比较难以协调和控制。

　第三类，涉及国有企事业单位的主管部门和协办部门之间的关系，和本文关系不大，略。

　关于条块关系的类型，马力宏认为，与不同层级相联系，条块关系可以分为中央与省、省与市县以及县与乡的条块关系等三大类型。而根据政府体制中集权与分权程度的不同，条块关系可划分为：

　一是“条块分割型”。条条与块块在公共管理中既有联系又有排斥，条与块的结合不能有机统一时，必然导致条块分割。条块分割型又区分为以条为主导的条条管理型和以块为主导的块块管理型两种。前者主要体现在由中央集权为主导，中央或相关上级职能部门垂直领导本系统派出或下属机构，各层级的地方政府无法对其施加作用或影响；后者则体现在以地方分权为主导，中央将相当程度上的人、财、物权下放至地方，并不再予以干预。

　二是“条块结合型”。其中又包含两种类型：一是以条为主的条块结合。主要指在需全国统一统筹、专业性强的领域，必须实行以条为主的条块管理。二是以块为主的条块结合。指在上一种类型之外的领域，绝大部分应实行以块为主条块结合。这种类型充分兼顾了块块主动积极性的发挥和条条以规范合理途径发挥自身作用、便于中央或上级政府有效地进行宏观调控等两方面的作用。

　二、关于“条块体制”问题的相关研究

　有学者较早研究了中国条块体制的形成原因和表现形式，认为条块体制是一种政府结构形式，是层级制与职能制的相互结合，体现了国家行政管理中科层间的权

　威关系，同时受到国家结构形式的影响。条块体制多存在于单一制国家和集权制国家。条块关系主要表现为上级职能部门条条与下级地方政府块块之间的关系、上级职能部门与下级职能部门之间的关系、上级政府与下级政府之间的关系三种。

　谢庆奎在研究中国政府府际关系时，提出“改善和理顺政府部门之间的府际关系，一要有规范，少一点随意性二要减少垂直关系，多一点指导关系三要分权，直至走向地方自治”。他认为条条部门的类型主要有三种一是条块结合，以块为主的机构二是条块结合，以条管为主的机构三是国有企事业单位，上级条条部门主管业务，地方块块政府管党群关系。

　林尚立认为条块关系之间具有三方面的矛盾。第一，权力关系中的集中与分散的矛盾第二，行政关系上的政策之间的矛盾第三，财政上的分权与分钱之间的矛盾。

　朱光磊认为“职责同构”长期存在是导致条块矛盾产生的主要制度根源 而周振超进一步深挖条块体制产生的根源，认为“轴心辐射模式”为特征的国家整合方式导致了职责同构，而职责同构又导致条块矛盾的产生。

　除此之外，还有一些博士论文对条块体制问题略有涉及，但基本不超出上述几位学者的论述。这些学者从静态的、宏观的制度结构角度，对我过行政管理体制中存在的“条块关系”进行了深入而精辟的研究，对我们认识条块体制具有十分重要的价值。但是这些研究大都采取传统的制度研究方法，从静态结构的类型学角度进行规范层面的探讨，局限是一方面缺乏科学的实证研究加以证明，二是难以揭示“条块关系”在我国政治过程中的具体运转。

　外文文献译文

　政府间关系冲突和尼日利亚第四共和国 的资源控制 Ojo，John Sunday M.A.英国利兹大学政治与国际研究学院。

　2013 年 9 月 21 日收到，2014 年 3 月 14 日接受，2014 年 3 月出版

　1 政府间关系概念化 政府间关系的起源植根于美国联邦制。它出现在 19 世纪，当时各级政府之间存在着许多需要合作的问题。政府间关系是解决政治体制内问题的政治协同作用。政府间关系的概念吸引了许多政治学者。政府间关系包括各级政府在政策和方案上的统一。然而，政府间关系没有普遍的定义。不同的学者根据他们不同的看法和各自领域中现有的政治制度来界定。政府间关系必须被视为一个国家政治单位之间相互作用的媒介。它可以定义为实现共同目标的多层次政府之间的关系。政府间关系原则必须被视为一种政治协同作用，以补充各级政府为国家政治制度生存所作的努力。其目的本质上是互补的，因为其相互联系的目的是在规定的政治和宪法安排框架内相互帮助。根据 Lawson（2011）引用的 Ogunna（1996:350），政府间关系（IGR）指的是“两个或多个政府层面之间相互作用、合作和相互依赖的复杂模式”，从这些定义可以推断，IGR 指的是在两个或多个政府层面之间发生的各种活动或相互作用。他是一个国家内不同级别的政府。政府间关系的组合和排列也是政府间关系的一个国家。重要的是要指出，在政府间关系中，各级政府都有独立和独特的作用要发挥；例如，地方政府有独立的作用要发挥，以期实现共同的目标，造福于整个国家。Abdullahi（2009:75）认为，语言起源以及政府间关系（IGR）的精确定义仍然很难确定。然而，我们今天所接受的政府间关系的最充分描述归功于威廉·安德森·迪尔·赖特。IGR 这个术语已经成为学者、公职人员和普通公民的基本词汇，特别是在美国，它强调了“穿办公室衣服”的人之间的互动。虽然人们普遍认为人类是负责任的，事实上，他们执行政府之

　间的关系，但金融已成为这些互动中最关键的要素。IGR 的这一重要特征，即财政关系在美国和大多数其他联邦制度中都占有非常重要的地位。

　上述观点意味着，政府的目的不能孤立地实现，没有各级政府之间的政治和经济互动，就需要相互关系来促进和促进政府政策和方案，以维持良好的治理。因此，政府间关系可以定义为政治空间内各级政府之间的相互作用。必须有相互作用；否则，政府政策和计划将彻底失败。为了实现政府的目标和目标，联邦政府和地方政府必须相互作用。Nkwoji，（2013）认为，政府间关系与拥有联邦行政系统的州有关，其中联邦、中央或国家政府与主要的次国家单位（省、地区或州）之间的关系在宪法中正式规定。这是为了促进联邦、州和地方各级政府之间的和平与和谐，促进合作而非竞争性联邦的出现，解决农村和城市贫困问题。Iyi（2013）认为，国际、国家和地方各级政府之间的相互关系是一个古老的问题。其中一些相互关系以最非正式的方式出现，而另一些则是正式的。从形式上讲，通过一些不同程度的书面条约，这些相互关系被适当地制度化。在联邦政府中，政府间关系有多种类型。这些关系的整体范围更广。这些是联邦联盟中存在的政府间关系的主要类型。

　2 以下系统被归类为垂直关系 联邦-州关系：这可以定义为州政府和联邦政府在政策实施方面的相互作用。

　联邦-地方关系：这种关系在每一个联邦政治制度中并不常见，它可以被称为联邦政府和地方政府之间的相互作用。

　当地方政府面临超出国家政府正常化能力范围的自然灾害时，就会发生这种情况。一个典型的例子是最近联邦政府对奥约州的干预，当时有洪水影响了尼日利亚奥约州的一些地方政府中的更多民众。因此，联邦政府通过州政府的政治机构分配了一些资金来解决这个问题。

　联邦-州-地方关系：这通常发生在像尼日利亚这样的国家，在那里联邦政府决定通过州政府的政治渠道与地方政府联系。联邦政府在没有通过州政府渠道的情况下直接与地方政府联系是不寻常的。

　州-地方关系：州政府和其管辖范围内的地方政府之间存在这种关系。一个很好的例子就是地方政府和州政府之间的联合账户。

　 3 它们的特征是水平关系 状态-状态关系：这需要一个状态和另一个状态之间的相互作用。当两个国家属于一个政党时，有时是可能的。

　这一关系的主要目的是联合资源以实现发展目标。一个典型的例子是尼日利亚拉多克 Akintola 大学的联合所有权，该大学由奥森州政府和奥约州政府建立。

　地方-地方关系：当两个或两个以上的地方政府聚集在一起开始一个特定的项目或计划时，这是适用的。

　为了应对可能不受司法管辖的危险环境危害，这是非常必要的。一个很好的例子就是传染病的发生，它可能无法识别边界。因此，受影响地方政府的联合合作有必要提供补救措施，以应对威胁。在一个国家的联邦政治范围内，也存在着一种非正式的政府间关系。这包括该国地缘政治区之间的区域关系。尼日利亚产油国州长论坛就是一个很好的典型例子。它也可能以政党的形式出现，例如人民民主党（PDP）各州州长论坛。从上述分析中可以看出，政府间关系是联邦制度中的政治必要性。因此，政府间的合作对于公民的普遍福利的顺利运行和提高已成为当务之急。

　4 定义的冲突 在社会的每一种人际关系中，冲突都是不可避免的。冲突可以定义为两个或多个当事方之间的分歧、不一致。它涉及社会、经济或政治价值观的多样性观点。根据 Heitler（2012 年）的研究，在任何情况下，事实、愿望或恐惧都会相互吸引或推动参与者，或者在不同的方向上发生冲突。冲突可以被定义为具有相反需求、想法、信念、价值观或目标的人之间的斗争或竞争（基金会联盟）。它是一种开放的状态，经常是持久的战斗；战争。它也是不相容或对立的人、思想或兴趣之间的不和谐状态(自由辞典/冲突）。冲突是指当一个群体中的一个或多个成员的信仰或行为在另一个群体中产生某种形式的摩擦、分歧或不和谐（维基百科，2013 年）。

　5 政府间关系的决定因素 在每一个政治制度中，无论是联邦制、邦联制还是单一制，政府部门之间的政府间关系都有政治上的必要性。在一个联邦州，各级政府在宪法框架内履行职能时存在平等的倾向。各级政府将自己视为政府事务管理和综合管理的平等伙伴。在一个统一的政府体系中，存在着强大的中心和薄弱的组成单位。而权力通常被强加于人。然而，在一个邦联国家，中央通常很弱，组成单位总是强于中央。在一个邦联制度中，每个单位都被授予自治权，他们决定是留在工会还是退出工会。联邦政府间关系并不意味着每一次的合作，它可以是谈判和冲突的形式。这种关系的性质必须与该联盟的政治条件相一致。联邦有不同的类型，即集中式联邦和合作式联邦。

　尼日利亚就是一个典型的集中联邦。因此，任何联邦州的政府间关系通常都是由这种社会的动态决定的。在每一个政治制度中，政府间关系的决定因素是多种多样的。

　以下是：

　联邦的政治进程：这是指在该国实行的政党制度。在世界范围内，有两种类型：一方制和多方制。在多党制的政治体制中，反对党在一切活动中都倾向于对执政党进行制约。这个制度证明了孟德斯鸠的制衡思想是正确的，因为绝对权力绝对腐败。

　多党制鼓励反对党制止执政党的过分行为。然而，一党制带来了专制、垄断的政府。社会性质：社会性质是指社会的性质和社会构成。例如，在一个宗教和文化价值丰富的普鲁里族社会。在这样的社会里，人们对政治形势的感知是不同的，因此，每个群体都互相怀疑，这种怀疑总是表现在政治内部的政府间关系中。社会宪法：宪法是一系列关于如何治理一个政治团体的基本法律、规则和原则，无论是书面的还是非书面的、法律的还是法律上的。宪法安排总是决定政府间关系的管理。例如，在尼日利亚这样的联邦宪法中，各级政府的自治权通常在宪法中得到维护。他们认为自己在政治上是平等的伙伴。而统一宪法则以极弱的组成单位将权力强加于人。联邦的体制结构：这涉及到国家的结构安排。重要的是，财政实力总是决定着单位的政治实力。政治内部不同制度的资源配置更好地解释了这种单位的活力和力量。公民的政治行为：政治行为强调人们对政治问题的认知。人民之间的态度也决定着政府间的关系。

　6 尼日利亚第四共和国政府间关系冲突与资源控制问题研究 政府间关系（1GR）描述了一个国家内各级政府之间或各级政府之间发生的活动或互动的范围。它涵盖了它们之间关系的组合和排列。尼日利亚联邦多年来发生的事件表明，联邦政府在政府间关系中对政府间关系的主导地位过高，这是不恰当的，现有的政府间政策协调机制和机构非常薄弱，需要改进和加强（Lawson，2011 年）。尼日利亚政府间关系的性质一直是一个矛盾的性质。多年来，不同级别的政府出于某种原因一直在争论不休。准确地说，第四共和国的政治管理以尼日利亚政治联盟内部的政府间关系冲突为特征。许多州已将联邦政府告上法庭，以挑战其宪法管辖权。在第四共和国，法院对联邦政府的行为或不作为提出了各种各样的挑战，这在资源控制、地方政府创建和联邦政府的管辖权方面是显而易见的。各种人之间的突出冲突。

　 以下外文文献原文：

　An X-ray of Inter-governmental Relation conflicts and resource control in the fourth Republic in Nigeria Ojo, John Sunday M.A. School of Politics and International studies University of Leeds, United Kingdom. Received 21 st September, 2013, Accepted 14 th March, 2014, Published March 2014

　1 Intergovernmental relation conceptualized The origin of intergovernmental relation is rooted in American federalism. It emerged in the 19 th century when there were numerous problems among the various levels of government which necessitate cooperation. Inter-governmental relation is a political synergy to resolve problems within a political system. The concept of

　intergovernmental relation has attracted many scholars of politics. Intergovernmental relation embraces togetherness in policy and programme of different levels of government. However, there is no universal definition of intergovernmental relation; various scholars defined it in accordance with their varying perceptions and existing political systems in their domain. Intergovernmental relationship must be seen as a medium of interaction among the political units in a country. It could be defined as relationship between multi-level governments for the achievement of common goals. The principle of intergovernmental relation must be seen as a political synergy to complement the effort of each level of government for the survivability of the nation’s political system. Its purpose is complementary in nature because the purpose of its inter-connectedness is to assist each other within the framework of stipulated political and constitutional arrangements. According to Ogunna (1996:350) cited in Lawson (2011) intergovernmental relations(IGR) refer to ‘the complex pattern of interactions,cooperation and inter-dependence between two or more levels of government.’ From these definitions, it can be inferred that IGR refers to the gamut activities or interactions which takes place between and among the different levels of government within a country. Also covered by IGR are the combinations and permutations of relationships among these levels of government with in a country. It is important to state that in IGR, each level of government has an independent and unique role to play;for example, the local level has an independent role to play with the view to achieving common goals to the benefit and well-being of the entire country. Abdullahi,(2009:75) posited that philological origin as well as the precise definition of intergovernmental relations (IGR)has remained quite elusive. However, the fullest characterization of intergovernmental relations as we have accepted them today is credited to William Anderson Deil Wright. The term IGR, which has become an essential vocabulary of scholars, public officials, and ordinary citizens, particularly in America, lay emphasis on interactions among human beings ‘clothed with office’.While it is accepted that human beings are responsible and in fact they carry out the relations between governments, finance has emerged as the most critical

　element of these interactions. This important feature of IGR, viz. fiscal relations, has assumed a very important position in the American as in most other federal systems. The above view implies that the purpose of government cannot be achieved in isolation without political and economic interaction among the levels of government, it require mutual relationship to foster and promote governmental policies and programme for the sustenance of good governance. Therefore intergovernmental relation could be defined as interaction among the various levels of government within a political space. There must be interaction; otherwise there would be total failure of government policies and programmes. The federal-state and local government must interact with each other in order to achieve governmental goals and objectives. Nkwoji, (2013) opines that Intergovernmental relations is associated with states having a federal administrative system where the relationship between the federal, central or national government and major sub-national units (province, region or state) are formally spelt out in the constitution. This seek to promote peace and harmony among the levels of government which are the federal, state and local government, to enhance the emergence of co-operative rather than competitive federation and to solve the problem of rural and urban poverty. Iyi (2013) claims that the issue of interrelations between and among governments at international, national and local levels is an old one. Some of such interrelations come about in most informal ways while others are formal. In the formal sense, the interrelations are duly institutionalized through some forms of written treaties of differing magnitudes. In a federal state, there are various types of intergovernmental relation. These relationships are wider in scope in its entirety. These are the major types of intergovernmental relations that exist across federal unions.

　The following systems are categorized as vertical relations Federal-State relationships: This may be defined as interaction between the state government and the federal government in terms of policy implementations. Federal-local relationship: This type of relationship is not common in every

　federal political system, it could be referred to as interactions between the federal government and the local government. It’s always occur when local government is facing natural disasters which beyond the capacity of the state government to normalize. A typical example of this is recent federal government intervention in Oyo state when there was flood which affected larger populace in some local governments of Oyo state in Nigeria. As a result of this, the federal government allotted some funds through the political instrumentality of state government to address the problem.

　Federal-State-Local relationships: This is usually occurs in a country like Nigeria where the federal government decides to relate with the local government through the political channel of the state government. It becomes unusual for the federal government to directly relate to the local government without passing through the channel of state government. State-local relationships: This exists between the state-government and local government within its own jurisdiction. A good example of this is joint account between the local government and state government.

　These are characterized as horizontal relationship State-state relationship: This entails interactions between a state and another. It is occasionally possible when two states belong to a political party.

　The major aim of this relationship is to jointly pool resources together to achieve developmental goals. A typical example of this is joint ownership of Ladoke Akintola University in Nigeria which was established by Osun and Oyo state governments.

　Local-local relationship: This is applicable when two or more local government come together to embark on a particular project or programme.

　It is very necessary in order to combat dangerous environmental hazard that might not recognized jurisdictionally bounded. A good example of this is occurrence of epidemic disease which may not recognize boundary. It is therefore necessary for joint collaborations of the affected local governments to provide remedial measures in combating the menace. There is also an informal intergovernmental relationship

　within the federal political spectrum of a nation. This includes regional relationship among the geo-political zone of the country. A very good typical example of this is forum of governors of oil producing states in Nigeria. It might also come in form of political party such as forum of the governors of People Democratic Party (PDP) states. Importing from the foregoing analysis, intergovernmental relations is a political necessity in a federal system. Therefore, it becomes imperative for government collaborations for the smooth running and enhancement of the general welfare of the citizenry.

　Conflict defined Conflict is inevitable in every interpersonal relationship in the society. Conflict may be defined as disagreement, discordance between two or more parties. It entails diverse views about social, economic or political values in a society. According to Heitler (2012) conflict exists in any situation where facts, desires or fears pull or push participants against each other or in divergent directions. Conflict may be defined as a struggle or contest between people with opposing needs, ideas, beliefs, values or goals (Foundation Coalition.org). It is a state of open often prolonged fighting; a battle of war. It is also a state of disharmony between incompatible or antithetical persons, ideas or interest (the free dictionary.com/conflict). Conflict refers to some form of frictions disagreements or discords arising within a group when the beliefs or actions of one or more members of another group (Wikipedia, 2013).

　DETERMINANTS

　OF

　INTERGOVERNMENTAL RELATION In every political system be it federal, confederal or unitary there is a political necessity for intergovernmental relations among the sphere or units of government. In a federal state, there is tendency of equality among the levels of government to perform their functions within the constitutional framework. Each level of government sees itself as equal partner in the management and general administration of governmental affairs. In a unitary system of government, there is strong centre with

　weak constituent units. While the power is usually arrogated to the central authority. However, in a confederal state, the centre is usually very weak, the constituent units are always stronger than the centre. In a confederal system, every unit is granted autonomy, they decide whether to stay in the union or to back out. Intergovernmental relation in a federal state does not mean cooperation in every times, it can be in form of bargaining and conflict. The nature of the relationship must be in accordance with the political condition in that federation. There are different types of federation, namely; centralized federation and cooperative federation. A typical example of centralized federation is Nigeria. Consequently, intergovernmental relation in any federal state is usually determined by the dynamics of such society. There are various determinants of inter-governmental relations in every political system.

　These are the following; The political process in the federation: This is refers to the political party system in operation in the country. All over the world, there are two types, namely; one party system and multi-party system. In multi-party political system, there is tendency for opposition party to check the ruling party in all its dealings. This system justified Montesquieu ideology of check and balances because absolute power corrupt absolutely. The multi party system encourages opposition party to check the excesses of the ruling party. However, the single party system brings about despotic and monopolistic government. The character of the society: The character of the society implies the nature and social composition of that society. For instance, in a pluri-ethnic society where religious and cultural values abounds. In such society, the people perceive political situation in a different manner, therefore every group is suspicious of one another and such suspicious is always manifested in intergovernmental relation within the polity. The constitution of the society: Constitution is a series of fundamental law, rules and principles, written or unwritten, legal or extra-legal, concerning how a political community is to be governed. The constitutional arrangement always determines the management of intergovernmental relation. For instance in a federal constitution like Nigeria, autonomy of the different

　levels of government is usually uphold in the constitution. They see themselves as equal partner in the polity. While the unitary constitution embrace arrogation of power to the centre with very weak constituent units. The institutional structure in the federation: This involves structural arrangement of the country. Importantly, financial strength always determines the political strength of the unit. The resource allocation of different institution within the polity better explain the vibrancy and strength of such unit. The political behavior of the citizens: The political behavior emphasizes people perception towards political issues. The attitude of the people towards one another is also determining the intergovernmental relation.

　Examination of Intergovernmental Relation Conflicts and resource control in the fourth Republic in Nigeria Intergovernmental Relations (1GR) describes the gamut of activities or interactions that takes place between or among the different levels of government within a country. It covers the combinations and permutations of relationship among them. Events over the years in Nigeria"s federation have shown the over-dominance of the federal government in relation to IGR, which is not proper, the existing mechanisms and institutions for intergovernmental policy coordination are very weak and need to be improved and strengthened (Lawson, 2011). The nature of inter-governmental relation in Nigeria has been a conflictual one. Over the years, different levels of government have been at loggerheads for one reason or the other. To be precise, the political administration of fourth republic characterized with intergovernmental relation conflicts within Nigerian political union. Many states have taken federal government to court to challenge its constitutional jurisdiction. In the fourth republic, there were various instigation in the court of law to challenge the actions or omissions of federal government which were evident in resource control, local government creation and jurisdictional power of federal government. The prominent conflicts among the various.

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