Doctorat en sciences sociales, politiques et économiques / info:eu-repo/semantics/nonPublished

本文考察了中央地方財政自主性的變化，地方政府日益增長的對土地相關收入的依賴以及中國社會總體穩定程度，三者之間的因果關係。使用24個省、市、自治區，跨1998年至2006年的面板數據的回歸模型結果顯示地方政府從土地和房地產相關產業發展上獲得的收入顯著的惡化了以來信來訪數量衡量的社會穩定程度。而地方財政自主性的增強則可以抑制地方政府謀取壟斷地租所導致的信訪數量的增加。 / 本文認為，信訪量的持續攀升與拆遷征地糾紛不斷的直接肇因是1994年開始實行的一系列稅收改革所改變的中央地方政府之間的稅收分配以及稅收結構。地方政府近乎掠奪性的征地拆遷以囤積土地獲得壟斷性租金收入的做法都與該變化有關。但同時，上述現象也受到了以信訪為代表的黨政糾紛解決渠道與以訴訟為代表的司法糾紛解決途徑在威權政體等級制度中的局限性的影響。在等級制度中，中央和地方政府因自身利益不同而存在博弈關係，在各級政府之間還存在權力與相應社會責任分配上反向的 “差序格局“。層級越高的政府，掌握越多的政治權力以及相應的可供其用來“尋租“的政治與經濟資源，卻承擔越少的社會責任和風險。 / My dissertation investigates the causal mechanisms among three factors, the relative change of the central-local fiscal autonomy after 1994 fiscal reform, the increasing of local land derived-revenue in recent years, and the variations in the general level of social stability. Using a panel data set covering 24 provincial level administrative units in China during 1998-2006, the study suggests that the income local governments earned from land and real estate developments substantially and significantly threaten social stability. It also reveals that more fiscal autonomy of local governments does help restrain rising level of instablity caused by local governments' incentive to capture monopoly rent from land. / The findings are consistent with the argument that the fiscal rearrangement and restructuring provide incentives to local governments to practice fierce land requisition and house demolition in order to get monopoly rents through land hoarding. Yet the general level of social stability is also affected by the restrictions of disputes resolution channels lie within authoritarian hierarchical structure. The study highlights how two of the most important disputes resolution channels in China, i.e. petition and litigation, reflects the different incentive structure of central and local governments. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / 韓佳. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2012. / Includes bibliographical references (leaves 196-201) / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstracts in Chinese and English. / Han Jia. / 目錄 --- p.12 / 致謝 --- p.8 / 圖表索引 --- p.16 / Chapter 第一章 序言 --- p.20 / Chapter 1.1 --- 問題緣起 --- p.20 / Chapter 1.2 --- 文獻回顧 --- p.30 / Chapter 1.3 --- 實證材料來源說明 --- p.33 / Chapter 1.4 --- 章節小節 --- p.36 / Chapter 第一部份 --- p.38 / Chapter 第二章 --- 中央地方財政關係影響下信訪數量變化 --- p.38 / Chapter 2.1. --- 计量模型及变量描述 --- p.38 / Chapter 2.1.1 --- 計量模型 --- p.38 / Chapter 2.1.2 --- 變量描述 --- p.41 / Chapter 2.2 --- 統計模型與實證結果 --- p.57 / Chapter 2.3 --- 章節小節 --- p.61 / Chapter 第三章 --- 土地財政及其對國家社會關係的影響 --- p.64 / Chapter 3.1 --- 中央地方相對財政自主性 --- p.70 / Chapter 3.2 --- 土地開發和房地產開發：地方政府的第二財政 --- p.79 / Chapter 3.3 --- 由土地開發引起的糾紛：以白虎頭村土地維權事件為例 --- p.94 / Chapter 3.3.1 --- 廣西北海市白虎頭村土地維權事件 --- p.95 / Chapter 3.3.2 --- 導致糾紛的原因 --- p.108 / Chapter 3.4 --- 章節小節 --- p.115 / Chapter 第二部份 --- p.116 / Chapter 第四章 --- 土地征用糾紛的解決途徑比較 --- p.116 / Chapter 4.1 --- 當土地征用糾紛遭遇司法途徑 --- p.117 / Chapter 4.2 --- 信訪途徑與法治途徑？一個實證分析 --- p.124 / Chapter 4.2.1 --- 弱化信訪途徑即等於強化法治途徑嗎？ --- p.124 / Chapter 4.2.2 --- 計量模型，變量描述和數據介紹 --- p.127 / Chapter 4.3 --- 實證結果和穩健性檢驗 --- p.132 / Chapter 4.3.1 --- 實證結果 --- p.132 / Chapter 4.3.2 --- 估計結果的穩健性檢驗 --- p.135 / Chapter 4.4 --- 章節小節 --- p.136 / Chapter 第五章 --- 權力互動：信訪制度的歷史分析 --- p.138 / Chapter 5.1 --- 信訪現狀：以土地信訪為例 --- p.138 / Chapter 5.2 --- 信訪制度演進的理論分析架構 --- p.145 / Chapter 5.3 --- 信訪制度的歷史演進 --- p.152 / Chapter 5.3.1 --- 毛澤東時期的信訪制度 (1950-1976年) --- p.154 / Chapter 5.3.2 --- 鄧小平時期的信訪制度 (1978-1993年) --- p.164 / Chapter 5.3.3 --- 江澤民時期的信訪制度 (1993-2003年) --- p.172 / Chapter 5.3.4 --- 胡锦涛時期的信訪制度 (2003年-至今) --- p.178 / Chapter 5.4 --- 章節小節 --- p.188 / Chapter 第六章 --- 結論 --- p.190 / 參考書目 --- p.196

Thesis (MPA)--Stellenbosch University, 2000. / ENGLISH ABSTRACT: This theoretically guided qualitative and quantitative study aims at investigating the extent to which centralization of fiscal powers in the Namibian State has been detrimental to development activities of the Okavango Regional Council. A further aim is to make recommendations and suggest balanced inter-governmental fiscal relations between central and regional governments in Namibia. The significance" of this study lies in the fact that, since the abolition of homelands in Namibia by the incumbent goven:rrnent in the 1990s, no comprehensive study has been carried out to analyze the socio-economic implications of such centralization of powers by central government. The study demonstrates that the degree of autonomy afforded to regional governments in Namibia stagnates their role as socio-economic development agents/facilitators. The study also examines the causes of disparities between centnil and regional governments. Important among the causes is the legal framework, which does not specify a fixed sharing formula. A number of corrective measures are suggested by the study. Among these measures are the decentralisation of functions that can be efficiently performed by regional governments, assignment of taxes to regional governments and amendment of existing legislation to allow for a balanced inter-governmental relations policy. The study further suggests that decentralization of functions to regions needs to be carefully planned and implemented because to lack of resource endowment and experienced personnel in the regions. / AFRIKAANSE OPSOMMING: Hierdie teoreties-gefundeerde kwalitatiewe en kwantitatiewe studie is daarop gemik om te bepaal tot watter mate die sentralisering van fiskale magte in die Namibiese regering 'n nadelige effek op die ontwikkelings-aktiwiteite van die Okavango Streeksraad gehad het. Nog 'n doelwit (van die studie) is om aanbevelings en voorstelle te maak vir die daarstelling van gebalanseerde inter-regeringsverhoudings tussen sentrale- en streeksowerhede in Namibië. Die waarde van hierdie studie lê in die feit dat, sedert die afskaffing van tuislande in Namibië deur die huidge regering in die 1990s, geen omvattende ondersoek nog gedoen is om die sosio-ekonomiese implikasies van so 'n sentralisering van magte deur die sentrale regering te ontleed nie. Die studie dui aan dat die mate van selfbestuur wat aan streeksowerhede in Namibië toegeken is, hulle rol as die agente/fasiliteersders van sosio-ekonomiese ontwikkeling kniehalter. Die studie ondersoek ook die oorsake van die verskille wat tans tussen sentrale- en streeksowerehede bestaan. Een van die hoofredes hiervoor blyk te wees die feit dat die bestaande resraamwerk/statutêre nie 'n vaste formule (vir die deling van mag) bepaal nie. 'n Aantal korrektiewe maatreëls word deur die studie aan die hand gedoen. Die aanbevelings sluit onder andere in maatreëls om dié funskies te densentraliseer wat effektief deur streeksowerhede gedoen kan word, die toekenning van belasting aan streeksowerhede en die wysiging van bestaande wetgewing om voorsiening te maak vir 'n gebalanseerde interregeringsverhoudingsbeleid. Die studie beveel verder aan dat die desentralisering van funkies na streke noukeurig beplan en geimplementeer moet word in die lig van 'n gebrek aan middele en ervare personneel in die streke.

Thesis (MPA)--Stellenbosch Univeristy, 2007. / ENGLISH ABSTRACT: Decentralisation is a growing phenomenon worldwide. However, the detail of its implementation determines whether desired objectives are achieved or not. The thesis extensively interrogates this concept from economic, philosophical and political theoretical perspectives, with emphasis on the economic rationale. An international perspective has also been utilised for informing the investigation. Reference is made, in this regard, to both federal and unitary states of the developed and developing world. Botswana, a unitary and developing African country, has been found to be facing more or less the same challenges that undermine the desired benefits of fiscal decentralisation in all developing countries. However, political maturity (which is a prerequisite for decentralisation reforms) - a predictably stable commodity in Botswana -sets it apart from most other developing, if not all, African countries. With regards to decentralisation, a number of considerations framed the analysis. Firstly, the established consecutive approach to Botswana 's centralised economic planning and management has been found to be counter-productive to the financial decentralisation process. This has resulted in an over-regulated local public sector that is not conducive for taking stock of local initiative and being innovative in local affairs, mainly due to an ambiguous institutional framework. Secondly, an ad hoc financial transfer mechanism, that is neither stable nor predictable, clearly undermines integrated financial management and strategic fiscal planning at municipal level. Thirdly, a one-size-fits-all approach to the assignment of expenditure responsibilities to all municipalities, small and large, as well as urban and rural, serves as another constraint. Finally, a lack of stable and buoyant sources of own revenues, as well as inadequate capacity to utilise fully the already existing internal revenues, has created grant economies that survive on a principle of beggar-thyneighbour to actualise their mandates. This? in turn undermines their? significance for the electorates at local level who turn to the national government even for minor local issues that should be addressed within the areas of local jurisdiction.The thesis concludes with recommendations regarding a redesign of the institutional framework, intergovernmental financial transfers, expenditure assignments and generation of internal revenue. It is critically important that the Government of Botswana should develop a strong policy framework, build a strong consensus within the political and bureaucratic circles and coordinate and integrate these reforms through strong capacity-building mechanisms at local governments. Finally, the capacity of the national government to monitor the process cannot be overemphasised. That is, the decentralisation process should initially be centralised with gradual decentralisation processes to allow for flexibility well aware of the fact that decentralisation structures are always in transition. / AFRIKAANSE OPSOMMING: Desentralisasie is wel 'n wereldwye verskynsel, maar suksesvolle implementering vereis aandag aan detail. Die desentralisasiekonsep word in hierdie tesis grondig ondersoek vanuit 'n ekonomiese, filosofiese, sowel as politieke perspektief. Die rol van ekonomiese beginsels in die desentralisasieproses geniet spesiale verwysing. Om die ondersoek so omvattend moontlik te maak is internasionale bronne geraadpleeg, afkomstig vanuit sowel federale as unitere state asook uit ontwikkelde en ontwikkelende lande. Botswana, 'n ontwikkelende Afrika land met 'n unitere staatsvorm, ondervind uitdagings wat, soos in enige ander ontwikkelende land, die voordele van fiskale desentralisasie ondermyn. Politieke volwassenheid en stabiliteit is van die voorvereistes waaraan 'n staatsbestel moet voldoen om desentralisasie suksesvol toe te pas. Gelukkig skiet Botswana in die opsig geensins tekort nie, inteendeel, dit is juis hierdie eienskap wat hom van die meeste - indien nie alle ander - Afrikalande onderskei. Heelwat oorweging is geskenk aan die bepalende faktore rondom desentralisasie. Botswana se gevestigde gesentraliseerde ekonomiese beplanning- en bestuurstelsel is gei'dentifiseer as die belangrikste teenproduktiewe struikelblok wat die finansiele desentralisasieproses ontspoor. Kenmerkend van 'n sentralistiese institusionele raamwerk is 'n oorgereguleerde plaaslike openbare sektor wat nie die skep van eie inisiatief en ondernemende bestuur bevorder of ag op die belangrikheid daarvan slaan nie. Tweede in belangrikheid is 'n onstabiele, ad hoc finansiele oordragmeganisme waarop daar nie peil getrek kan word nie en wat pogings om gei'ntegreerde finansiele bestuurspraktyke en strategiese fiskale beplanning op munisipale vlak te vestig, belemmer. Die derde hindernis is die owerhede se onwilligheid om te besef dat daar geen pasklare benadering bestaan wat by al die uiteenlopende tipes (in terme van grootte en ligging, plattelands tot stedelik) plaaslike besture verantwoordelik bestedingspraktyke sal vestig nie. Laastens is 'n wydlopende gebrek aan stabiele en lewenskragtige, eie inkomstebronne, sowel as onvoldoende kapasiteit om reeds beskikbare, interne belastinginkomste doeltreffend aan te wend, nadelig vir plaaslike regering. Pogings om te verseker dat 'n eie plaaslike raad so 'n groot as moontlike toekenning uit die staatskas ontvang, veroorsaak dat aanliggende rade dan nie hulle regmatige deel ontvang nie. Plaaslike rade se oormatige afhanklikheid van die sentrale regering vir finansiele oorlewing, ondermyn die legitimiteit van plaaslike politici. Laasgenoemde soek gewoon te maklik die oplossing vir 'n plaaslike probleem by die sentrale regering, eerder as om dit self aan te durf Die tesis sluit met aanbevelings oor 'n herontwerpte institusionele raamwerk wat kan lei tot sinvoller finansiele tussenregeringsoordragte, taakgedrewe uitgawes en die skepping van eie, interne belastingbron. Dit is van kritieke belang dat die regering van Botswana 'n stewige beleidsraamwerk ontwikkel en dan konsensus daaroor verkry tussen die politici en burokrasie. Die integrasie en ko-ordinasie van hierdie hervormings kan slegs geskied indien dit gepaard gaan met lewenskragtige kapasiteitsontwikkeling op plaaslike bestuursvlak. Die sentrale regering sal egter eweneens eie kundigheid moet ontwikkel om die proses te monitor, want die desentralisasieproses sal aanvanklik vanaf die middelpunt geskied en geleidelik uitkring. Dit sal buigsaamheid en begrip verg omdat desentralisasie in wese voortdurende oorgang impliseer.

Thesis. 1975. M.C.P.--Massachusetts Institute of Technology. Dept. of Urban Studies and Planning. / Bibliography: leaves 196-200. / M.C.P.

Thesis. 1975. M.C.P.--Massachusetts Institute of Technology. Dept. of Urban Studies and Planning. / Includes bibliographies. / M.C.P.

Thesis (LLM. (Development and Management Law)) -- University of Limpopo, 2017 / This mini-dissertation looks into the relationship between the different spheres or organs of the state, which is elaborately provided for in Chapter 3 of the Constitution. In particular, this mini-dissertation scrutinizes the propriety of the relationship between provincial and local government, using case law to analyze and examine conflicts within the organs of government. The critical question that is posed is whether the mechanisms provided for in the Constitution and legislation are working appropriately to foster cooperation between the spheres of government or whether they are inadequate to address these challenges. An argument that this mini-dissertation raises is that, in spite of the laws that have been put in place to resolve conflict within the state organs, the mechanisms provided for are inadequate and need to be strengthened if there is going to be proper and better cooperation between the spheres of government. The gap is more glaring in cases involving intervention by provincial governments into the functional terrain of local government. It has been observed that there is lack of willpower from the different role players to ensure the improvement of intergovernmental relations and cooperation as espoused by the Constitution. A comparative analysis was done, hence the mini-dissertation utilises the jurisprudence of the United Kingdom and Canada and draws useful lessons for South Africa. This paper therefore concludes that there is a need for legislative reform that will compel organs of government to avoid costly litigation against one another. It is recommended, also, that there should be effective inter-sphere communication so as to make plain the expectations of one sphere over another.

The Constitution Act, 108 of 1996 declares that: 'in the Republic, government is constituted as national, provincial and local spheres of government that are distinctive, interdependent and interrelated". Section 41(1)of the above Constitution further states that there shall be cooperation, mutual trust and good faith between these three spheres. They should inform and consult one another on matters of common interest, co-ordinate their legislation, and adhere to agreed procedures. In addition, it is expected that acts of Parliament should establish structures and institutions to promote and facilitate intergovernmental relations, and provide mechanism and procedures to facilitate settlement of intergovernmental disputes. In view of the above, it is evident that co-operative government can be regarded as one of the cornerstones of the new constitutional dispensation in South Africa and intergovernmental relations can be regarded as practical instrument for ensuring co-operative government in the delivery of services by the three spheres of government. The study therefore seeks to assess the impact of intergovernmental relations on service delivery in the Department of Cooperative Governance and Traditional Affairs in Eastern Cape Province from the year 1994-2009. It also attempts to show the importance of intergovernmental relations to service delivery especially in integrated development planning, co-operation and co-operation and co-ordination of policies and plans. "The assessment of the impact of intergovernmental relations on service delivey in the Department of Co-operative Governance and Traditional Affairs in the Eastern Cape Province (1994-2009)".

In 1981 the Reagan Administration announced a New Federalism to reduce the size and impact of the federal government and return power and control to state and local governments. This Revived Federalism program was partially initiated in the establishment of a state option to administer the Small Cities Community Development Block Grant (CDBG) program. This study examines the implementation process by which the national and state governments administer the CDBG program to accomplish national goals. A review of the implementation literature suggests a variety of variables which influence the implementation process. A general integrated framework, which incorporates the political, organizational and socio-economic environments, is proposed as a model to structure the investigation of the implementation process. A comparative study is made of the implementation process in five Area Offices of the Department of Housing and Urban Development and in two State programs. Recognizing the dynamic nature of the process, a four year period is covered to examine the process before and after the State option was established. The results of the study indicate that the implementation process is complex and diverse--both under federal and state administration. Similarities are found in the results of the program under both forms of administration. Differences in the results are also traced in both national and state implementation processes. The interaction of different mixtures of factors in the political, organizational and socio-economic environments within different communities contribute to the similarities and differences in outcomes which are observed. The influences of the local and federal or state administrators are reciprocal as actors at each level of administration interpret and adjust to the cycle of federal legislative changes in the program and to the perceived needs of the various communities. Uncertainty as to the intent and permanence of the multi-objective Small Cities CDBG program is mitigated by the reliance upon organizational structure and routine. National objectives are achievable under either national or state implementation processes, but the outcomes in both forms of administration, will be influenced by the perceptions of the administrators at each level of government participation and will reflect the influences of different sets of complex political, organizational and socio-economic factors. The outcomes in specific localities will not be general or uniform with the results in other areas of the United States. / Ph. D.

<p> <p>&nbsp / </p> </p> <p align="left">In this thesis I argue that by taking account of economic disparities and backlogs in intergovernmental infrastructure grants to municipalities in South Africa, government will effectively meet its constitutional obligation to equitably allocate infrastructure grants to local government according to the principles of parity, proportionality and priority (Young, 1994). Municipalities will thus be able to provide basic services to households in keeping with the Bill of Rights of the Constitution of South Africa (1996). Adapting the Petchey et al (2004) provincial capital expenditure grant model to the provision of municipal services using secondary data and information from local municipalities in the Cape Winelands District, I evaluate whether government&rsquo / s existing municipal grants are allocated equitably and, whether they account for disparities that differentiate municipalities from each other. The findings from my analysis show that the current approach to financing municipal infrastructure does not sufficiently account for disparities and thus, undermines the requirement for equitability, adequacy and efficiency of intergovernmental allocations. Consequently, the right of citizens to basic municipal services is compromised and the macroeconomic structure is weakened. Furthermore the institutional arrangements for local government autonomy is undermined because municipalities cannot ensure stability, predictability, flexibility and economic efficiency of infrastructure budgets. As municipalities receive part of their finance from national government through infrastructure grants, I used data from five local municipalities to examine the extent to which there is equitability and efficiency in the way this finance is allocated. To this end I constructed and applied a composite disparity index for each municipality to my adapted municipal infrastructure grant model to analyze and observe the impact of economic disparities in grant allocations. The findings show that a grant model that accounts for economic disparities satisfies the constitutional, economic and institutional considerations that should inform municipal grant allocation decisions. I conclude the thesis by highlighting the limitations and possibilities of using a municipal infrastructure grant model that accounts for economic disparities and, I propose some recommendations for applying such a model in South Africa.</p>