哈尔滨大学管理学硕士学位论文硕 士 学 位 论 文地方政府制度创新研究C1assified Index：D035University Code：10240Dissertation for the Master Degree in Management Research on the System Innovation of LocalGovernmentCandidate：Supervisor： Speciality： Research Direction： Date of oral examination：January, 2008哈尔滨商业大学硕士学位论文原创性声明本人郑重声明：本论文的所有工作，是在导师的指导下，由作者本人独立完成的。有关观点、方法、数据和文献等的引用已在文中指出，并与参考文献相对应。除文中已经注明引用的内容外，本论文不包含任何其他个人或集体已经公开发表的作品成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本论文文责自负。学位论文作者签名： 签字日期： 年 月 日哈尔滨商业大学硕士学位论文版权使用授权书本论文系作者本人在哈尔滨商业大学攻读硕士学位期间，在导师指导下完成的硕士学位论文。本论文的研究成果归哈尔滨商业大学所有，本论文的研究内容不得以其他单位的名义发表。本人完全了解哈尔滨商业大学关于保留、使用学位论文的规定，同意学校保留、送交本论文的复印件，允许本论文被查阅和借阅；学校可以公布本论文的全部或部分内容，可以采用影印、缩印或其他复制手段保存、汇编本学位论文。保密， 在 年解密后适用本授权书。本学位论文属于不保密。学位论文作者签名： 签字日期： 年 月 日导师签名： 签字日期： 年 月 日摘 要制度是约束人们行为的规则，其实质是对人们利益的界定和分配。制度创新就是旧制度被新制度所替代，即人们利益关系的调整或重新界定。地方政府制度创新就是地方政府为协调本辖区人们之间的利益关系而创制新制度或对原有制度进行修正的活动和过程。地方政府制度创新按地方政府在其中的地位和作用可分为中央政府授权的制度创新、地方政府自主的制度创新以及地方政府与微观主体合作进行的制度创新；按内容可分为经济管理制度创新、行政管理制度创新和政治管理制度创新等。由制度缺陷、制度失衡和制度冲突引起的制度失灵是地方政府进行制度创新的起点；利益驱动是具有相对独立利益的地方政府进行制度创新的动力；成本收益分析是地方政府进行制度创新的原则；由宪法秩序、权力结构以及意识形态等构成的制度环境的改善则为我国地方政府的制度创新提供了良好的外部条件。地方政府的制度创新有利于制度资源的优化配置，有利于制度体系的协调更新，有利于制度运作效益最大化。然而，由于地方利益的客观存在、地方政府官员“经济人”的特点、政绩考核等方面的因素，地方政府在制度创新时也容易带来一些问题：形成地方保护主义，产生大量短期行为，产生寻租行为，不能有效实施中央政策，阻碍改革的整体进程等问题。优化地方政府制度创新就要改善地方政府进行制度创新的制度环境、增强地方政府制度创新的动力、规范地方政府制度创新的行为和提高地方政府制度创新的绩效。主要措施有：通过以法治权，将科学的企业管理方法引入政府管理，鼓励公民参与公共政策并进行监督等方式来加快政府职能转变；改进决策体制，提高地方政府制度创新的绩效；完善地方政府领导管理体制，引导和规范地方政府制度创新；加强对地方政府行为的有效监督；增强中央政策的公平性、稳定性、协调性，为地方政府制度创新提供良好的政策环境。关键词：地方政府；制度创新；政府管理 ABSTRACTInstitution is the rule which aims to restrict peoples behaviors and whose essence is the reflection of the social interest relations and is the divide and distribution of the social interest. Institution innovation is the process in which old institution is substituted or new institution is created, and is the newly define and distribution of the social interest, reflecting the change of social interest relations. Local government institution innovations is the process in which Local government create new institution or alter old institution in order to harmonize local social interest relations. In the view of status and function of local government, local government institution innovation can be divided into three types which is the innovation under central government authorization, the innovation which regional government dominate, and the innovation which is accomplished by regional government and local social group. Local government institution innovation generally is experimental, territorial and microcosmic. The reasons that local government promotes institution innovation are profound. Institution failure which results from institution default, institution conflict and institution shortage is intrinsic reason. The existence of relatively independent local government interest prompts Local government institution innovation. The change of constitution order, the relaxation of ideology and the drive of central policy provide loose environment for Local government institution innovation. There are some advantages in Local government institution innovation, which include reducing the cost and venture of institution innovation, improving the quality of central government institution and increasing effective supply of institution in that Local government know local instances much more. At the same time, because of the faultiness of the power relations between central government and local government, central policies and management system for regional leaders, there exist serious problems such as emphasizing partial interest and ignoring state interest, emphasizing short-term interest and ignoring long-range interest, emphasizing personal interest of regional leaders and ignoring local social public interest, sway the implement of central policies and block the reform, and baffle the integer advance of the reform and enlarge the regional gap.In order to improve local government institution innovation, we should amend the institution environment, build up the local government motivity and hold in the actions of local government. Through establishing stable relation between central government and regional government, enhance the status and function of regional government. Make central policies more scientific in order to create a good policy environment for regional government institution innovation. Improve financial system to boost up the regional government impetus. By reforming management system for regional leaders to induct correctly surprise the action of regional government institution innovation. Change governmental functions to adjust the role of regional government. Improve decision-making mechanism to enhance the performance of regional government institution