【作者】 董瑛；

【导师】 宋俭；

【作者基本信息】 武汉大学 ， 中共党史， 2013， 博士

【摘要】 权力结构,是人类阶级社会的基本存在,是国家政体和政党制度的重要体现,是领导制度、组织制度的关键内容。33年前,中国改革开放的总设计师邓小平告诫全党,以权力结构为关键的“领导制度、组织制度问题更带有根本性、全局性、稳定性和长期性”,不仅关系到党能否长期执政,而且“关系到党和国家是否改变颜色”。历史表明,一部人类社会发展史也是一部权力结构演变史,权力结构“好”“坏”关系国家政权兴衰。从权力结构视度,梳理苏共“议行监合一”(决策权、执行权和监督权合一)权力结构模式生成、固化、解体的历史轨迹,解析苏共亡党的根本性原因及其严重后果、深重教训,剖析苏共“议行监合一”权力结构模式的性状及其对中国共产党的历史影响,镜鉴中国共产党的权力结构改革,构建比西方“三权分立”制度更具内涵、更具实质、更具特色的等腰三角形权力结构[党内决策权、执行权和监督权分开,党代会(最高决策权、立法权)选举产生两个相平行的党内机关——执行机关(党委会)和监督机关(监委会),监委会对党委会进行异体监督],形成以权力结构为关键的不敢腐、不能腐、不易腐的“制度笼子”,这是贯彻落实中国共产党十八人和十八届三中全会精神、以更人的政治勇气和智慧推进政治体制改革、建设廉洁政治的重大政治主题。论文由导论、正文和结语三部分组成。导论简要介绍论文的选题缘起、研究意义、国内外研究现状、相关概念的界定、研究思路与研究方法、研究内容与主要创新点等。正文共七章,以马克思主义党的学说和权力结构理论为指导,将苏共执政74年划分为列宁时期、斯大林时期和后斯大林时期三个历史阶段,分别对权力结构的一般理论、苏共“议行监合一”权力结构模式的生成、固化、解体轨迹、苏共“议行监合一”权力结构模式的性状、危害与教训、苏共权力结构模式对中国共产党权力结构的历史影响和改革镜鉴、中国共产党权力结构改革的条件和建议等问题,进行分章研究。第一章是权力结构的一般理论。主要运用政治学、管理学、系统论、控制论、力学等理论,对权力结构的概念和类型、科学的权力结构范式、权力结构的演变规律进行探索性阐述。论文认为,权力结构可分为战时权力结构与执政权力结构、果型权力结构与树型权力结构、非三角形权力结构与三角形权力结构、“议行监合一”权力结构与“议行监分开”权力结构等；科学的权力结构范式,应是三维空间的立体形态,制约平衡的协调形态,耦合稳定的三角形态。从人类社会发展规律来看,结构转换导引事物质变,权力结构转换导引社会制度演变。第二章阐述列宁时期苏共权力结构从“议行合一”到“议行监分开”。论文认为,列宁既是社会主义实体形态的开创者,也是社会主义国家执政党权力结构形态的开创者。执政之初,面对战争与革命的时代主题及国内外敌人反攻围剿的险恶环境,面对俄共(布)建政时间仓促、执政经验不足、管理干部缺乏等复杂情势,列宁以巴黎公社“议行合一”(即同时兼管行政和立法)战时权力结构为范本,国家政策上实行军事共产主义,领导制度上初创“议行合一战时权力结构,组织制度上由普选制走向控制性选举制,在另一个环境和条件下继续着公社的事业。但是,列宁晚年意识到了“议行合一”权力结构导致“官僚主义复活”、“政治期票到期”的危险性,因而将军事共产主义政策转向新经济政策,将“议行合一”战时权力结构转向“议行监分开”(决策权、执行权和监督权分开且协调制衡)执政权力结构,进行党内权力结构的顶层设计和根本改革,草创了无产阶级执政党第一个“议行监分开”的等腰三角形权力结构,特别强调赋予中央监察委员会“最大限度的独立性”及其对中央政治局、总书记和中央委员的监督制衡权力,特别强调对斯大林的政治考量及其在党和国家权力结构中的重新定位,成为无产阶级执政党权力结构改革和科学社会主义建设的光辉遗产。第三章研究斯大林时期“议行监合一”权力结构模式的生成与固化。论文认为,斯大林是苏共“议行监合一”权力结构模式的生成者。斯大林执政期间,建立了国家的工业化、现代化基础体系,取得了卫国战争的胜利,为苏共积累了相当丰厚的执政资源和制度红利,但是掩盖了权力结构的先天之伤和畸形之路。斯大林中断列宁晚年启动的新经济政策和等腰三角形权力结构改革,将列宁初创并已否定的“议行合一”权力结构演化为“议行监合一”权力结构,虚化和替化党代会的决策权,弱化乃至异化监察机关的监督权,其个人超越政治局、书记处等中央机关,全面垄断党、国家和社会权力、党政军权力以及决策、执行、监督权力,形成“议行监合一”权力结构及“拥有无限的权力”的“一把手”体制；同时,以等级授职制固化“议行监合一”权力结构的“管理层”,以官僚特权制固化“议行监合一”权力结构的“守夜人”,以“红色恐怖”固化“议行监合一”权力结构的“统一性”,以造神运动固化“议行监合一”权力结构的“宗教主”,从而生成了无产阶级执政党和社会主义国家第一个“议行监合一”权力结构模式,将其强行推广到东欧各国。第四章研究后斯大林时期苏共“议行监合一”权力结构模式的反思与反弹、固化与溃败。论文认为,赫鲁晓夫执政时期,虽然进行过局部性改良,开展审查平反活动,揭判斯大林个人崇拜,推行干部轮换制、任期制,反对特权现象和特权行为,实行党政联合监督体制,开展民生建设,但始终没有找到也不愿意触动“权力过分集中”这个“总病根”,始终在“议行监合一”权力结构模式的窠臼中同义反复,同样搞“议行监合一”的个人极权制,同样搞等级授职制,同样搞个人崇拜,同样搞党内权力斗争,同样搞大国大党霸权主义,结果人没亡政就息了。“武大郎式”的勃列口涅夫执政18年间,维稳抑变,禁止改革,以“三合一”体制回归和极化斯大林权力结构模式,以文治武卫方式极化“一把手”一人治体制,以霸权主义向世界输出“苏联模式”及其权力结构,以等级授职制和职务终身制培植“议行监合一”权力结构模式的既得利益集团和改革阻碍机制,痛失苏共由革命党向执政党转型、革命权力结构向执政权力结构转型的最佳时机,苏共执政由红利期转向亏损期。经过安德罗波夫和契尔年科老年治国、病夫主政两年多的过渡时期,苏共连续三任总书记如斯大林一样身体力行领导职务终身制。到戈尔巴乔夫执政时期,苏联党和国家开始显露出出全面危机,于是,急忙抛出公开性、民主性和多元化的“新思维”,搞脱离“总病根”的急进式权力结构改革,但由于缺乏改革的顶层设计和基层试验,缺乏领导改革的顶层智慧和执政能力,结果回归于“议行监合一”的超级总统制和武大郎式的等级授职制,迟到的监督权配置改革也无力回天,最终“议行监合一”权力结构模式破产,苏共亡党亡国。第五章分析苏共“议行监合一”权力结构模式的性状与危害。厘清苏共“议行监合一”权力结构模式的性质,认为“议行监合一”权力结构模式,是一种“权力过分集中”的战时权力结构,是一种不符合人的全面自由发展价值的集权领导制度,是一种强化“武大郎店铺式”用人体制的权力结构,是根本背离“三大规律”的陈规旧制。同时,总结苏共“议行监合一”权力结构模式的主要弊端,即“权力过分集中”成为“总病根”,等级授职制选人用人成为总症结,权力无法监督制衡成为总困境,权力绝对垄断腐败并溃败成为总定局；解析等级授职制用人体制的主要缺陷,即以封建社会的钥匙开启现代社会的锁具存在技术缺陷,以少数人对权力的垄断性代替“权为民所赋”的合法性形成道德缺陷,“武大郎店铺”式的干部生产线出现能力缺陷,最终无人也无能替天下负责发生全局塌陷；阐述苏共“议行监合一”权力结构模式的严重危害,即致使权力配置严重失衡,民主严重削弱,监督严重虚化；形成“一把手”一人治极权体制,产生一个个神散而形不散的“土皇帝”、独立王国和各种利益集团；不断培养和复制旧体制旧权力结构的收益者、守夜人和掘墓人；不断开设“武大郎店铺”,执政队伍陷入平庸化的陷阱；导致“短板”制约了“长板”,“安泰”离开了“大地”,最终无人也无能替“天下”负责,从而揭示苏共亡党的历史必然性和内在逻辑性。第六章是苏共“议行监合一”权力结构模式对中国共产党权力结构的历史影响和改革镜鉴。论文认为,“议行监合一”权力结构模式对中国共产党权力结构影响较深,思想理论.上,中国共产党始终把列宁主义作为党的指导思想,甚至一度把斯大林主义作为党的重要理论指引；组织结构上,中国共产党曾是苏共指导和共产国际领导甚至控制的下级党组织；监督体制上,中国共产党基本“照搬”、长期沿用苏共监督权能配置模式,形成长达儿十年的同体监督体制；发展道路上,中国共产党依照苏共模式建党建国建政,曾效法苏共搞“城市中心论”、大跃进式的改造过渡和高度集中的计划经济体制；干部人才上,苏共为中共培养了一批领导力量和专业人才,但其选人用人体制给中共较深影响。同时,从权力结构、等级授职制、特权利益阶层、党群干群关系和同体监督体制等五个方而,分析苏共亡党给中国共产党权力结构改革的历史镜鉴。第七章是中国共产党权力结构改革的条件和建议。论文总结了中国共产党推进权力结构改革的主要条件,即马克思主义权力结构理论的科学指导,中国共产党权力结构建设的有效积累,中国封建社会权力结构建设的丰富养料,资本主义“三权分立”权力结构的困境借鉴。同时,提出中国共产党权力结构改革的思路与对策,建议按照中共十八大和十八届三中全会精神,加快权力结构改革的顶层设计,以权力结构改革推进中国共产党由革命党到执政党的转型,建立以权力结构为重点的政治体制改革试验区,构建中国特色的权力结构理论,“推进国家治理体系和治理能力现代化”。结语是通过全文的分析和研究,推导四点结论：“权力过分集中”的畸形结构,是列宁晚年力推的改革主题,是苏共亡党亡国的“总病根”,是“议行监合一”权力结构模式的第一大标志；等级授职制的用人体制,是苏共由“社会公仆变为社会主人”的加速器,是苏共执政能力层层矮化、代代弱化、无人无能替“天下”负责的总症结,是“议行监合一”权力结构模式的第二大标志；中国共产党现行权力结构带有明显的苏共权力结构模式特征；中国共产党改革权力结构的时机和条件已经成熟,必须把苏共亡党作为中国共产党执政兴国的重要镜鉴、全党学习研究的教科书,加快构建以权力结构为关键的“制度笼子”,展现中国共产党权力结构改革的信心和目标。更多还原

【Abstract】 Power structure, the basic existence of the human society, is an important embodiment of the state political structure and Party system and the core content of the leading and organization system. Deng Xiaoping, the chief designer of China’s reform and opening up, told the whole Party thirty-three years ago that the problem of leading system and organization system with power structure as the core is more likely to be considered as the fundamental and long-term problem, which is connected with the stability of the whole situation. This kind of problem is not only concerned with whether the Party can still be in power but also connected with whether the nature of Party and Country will change. The history has witnessed that the development of human society can be deemed as the evolution of power structure which plays a decisive role in the state power.In order to carry out the spirit of the Eighteenth National Congress of the Communist Party of China and the Third Plenary Session of Eighteenth Central Committee and to promote the reform of the political system and build a clean government with more political courage and wisdom, the following political problems should be taken into consideration:to trace the history of the Communist Party of the Soviet Union, making it clear that how Communist Party of the Soviet Union is developed, improved and disintegrated; to analyze the fundamental reason why the Communist Party of the Soviet Union was finally broken up and its important influence; to make it understood that the joint power of decision-making, execution and supervision has its own characteristics and influence on the history of CPC; to build a triangle power structure that is fuller, more substantial and more characteristic than the Separation of the Three Powers in western Countries to balance the power. To be more precise, the triangle power structure refers to the separation of the decision-making power, executive power and the power of supervision. The Party Congress, which has the highest power of decision-making and the legislative power, votes two balanced Party organs, namely the executive organ and the supervision organs among which the supervision organs is in supervision of the executive organ, forming a "system cage" with power structure as the core to cope with corruption.This paper is composed of three parts, i. e., introduction, body and conclusion.The first part gives a brief introduction of the paper, including the origin of the title, the meaning of the research, the present situation of the research at home and abroad, some relevant definitions, the organization and methods of the research, the main content and some innovative points.The body includes seven chapters, dealing with the following points. The period in which the CPSU was in power for seventy-four years can be divided into three parts under the guidance of the theories and power construction of Marxist Party. An analysis is given to the period which was ruled by Lenin and Stalin respectively and the period after Stalin lost power, the general theory about power structure, the first formation and reform of the power construction in Lenin’s period, its formation and development in Stalin’s period, its change, consolidation and disintegration after Stalin period, an analysis of the characteristics of the integration of three powers, including decision-making power, executive power and the power of supervision, and the influence on the history of power construction in China.The first chapter focuses on the basic theories of power structure. An exploration was made to deal with the definition and classification of power structure and its scientific pattern and evolution based upon some theories, including politics, management, system theory, cybernetics and mechanics. The power structure can be divided into several types:fruit power structure and tree power structure, triangle power structure and non-triangle power structure, the integration of the three powers and the separation of the three powers, etc. It is really important that whether the scientific pattern of power structure is a kind of power with three-dimensional shape, a balanced shape or a kind of stable power with a triangle shape. According to the law on the development of human society, the change of the nature is a result of the shift of structure. Therefore, the change of power structure results in the evolution of social system.The second chapter describes the transformation of CPSU power structure from "Combination of legislative and executive powers" to "Separation of decision-making, execution and supervision powers" during the Lenin’s reign. This thesis claims that Lenin is the pioneer of both socialism physical form and power morphology of the ruling party in socialist countries. In the beginning of Lenin’s administration, facing wars and revolutions, hostile environment with counterattack and siege from domestic and foreign enemies, and the Russian Communist Party (Bolshevik)’s complex situation with hastily established government and not so many experienced cadres, he implemented a lot of policies, based on "combination of legislative and executive powers" of Paris Commune. The national policy was military communism. The system of leadership newly established "Combination of legislative and executive powers", the wartime power structures. Organizational system shifted from general election system to the controlled. And commune career continued in another environment and conditions. However, Lenin realized that "Combination of legislative and executive powers" structure might lead to the risk of "Resurrection of bureaucracy","political IOU maturity". As a result, he transformed military communism to the new economic policy,"Combination of legislative and executive powers" to "Separation of decision-making, execution and supervision powers". He also originally created the isosceles triangle of decision-making, execution and supervision power in proletariat party, fundamentally reformed party’s ruling power structure. It specially put emphasis on "maximum independence" of Central Control Commission, checks and balances of Politburo of the central Committee, General Secretary and the Central Committee, and also on political considerations of Stalin and his position in the party and state power structures. All the policies become proletarian’s glorious heritage in ruling power structure reform and scientific socialist construction. Chapter Three explains formation and curing of power structure pattern-"Combination of decision-making, execution and supervision powers" during Stalin’s reign. This thesis insists that Stalin is the generator of this power structure pattern. During Stalin’s reign, the basic system of the country’s industrialization and modernization has been built up and victory in the Great Patriotic War has been achieved, accumulating a very substantial governing resources and system bonus for the CPSU, but obscuring the congenital malformations of this power structure. Stalin interrupted Lenin’s New Economic Policy and the power structures of isosceles triangle, turning Lenin’s "Combination of legislative and executive powers" into "Combination of decision-making, execution and supervision powers". He blurred and substituted the decision-making power of National Party Congress, weakening or even dissimilating the right of supervision of concerned authority. He had supremacy over the Politburo, Secretariat and other central authorities, and comprehensively monopolizing party, state and social power, military and political power and decision-making, execution and supervision of power. As a result, the power structure of "Combination of decision-making, execution and supervision powers" and the "Number one" system with unlimited powers took shape. Meanwhile, he solidified "management layer" of "Combination of decision-making, execution and supervision powers" through the rating system of investiture, its "night watchman" through the bureaucratic system privileges; its "uniformity" through "red Terror", its "religious master" through apotheosis, thus generating the first power structure pattern of "Combination of decision-making, execution and supervision powers" in the ruling party of the proletariat and the socialist countries. At the same time, Stalin forcibly popularized this pattern to eastern European countries.Chapter four explains the reflection, rebound, curing and defeat of CPSU’s power structure mode during the Stalin’s late reign. The thesis insists that during Khrushchev’s administration, although some reforms had been carried out partially, such as reviewing and vindicating activities, exposing and criticizing the personality cult towards Stalin, staff rotation and tenure system, against privilege phenomena and behavior, party-government oversight system and people’s livelihood construction, he could not find and was unwilling to touch the "Excessive concentration of power-the main cause of troubles. He always made tautology in the stereotype of "Combination of decision-making, execution and supervision powers", engaging in personal totalitarian system, ranking investiture system, personality cult, power struggle within the party, hegemony of large Congress and party. As a result, he struggled in power but the government is pulled down. During the eighteen years of administration, Leonid Brezhnev maintained stability, suppressed changes, prohibited reforms, regressed Stalinist power structure to polarization mode, polarized "Number one system" by civil Administration and army defense, exported "Soviet model" and its power structure to the world by hegemony, cultivated vested interest groups and reform hindering mechanism of "Combination of decision-making, execution and supervision powers" by rating system of investiture and life tenure. He also missed the best time for Communist Party of the Soviet Union (CPSU) to transit from revolutionary Party to ruling party, from revolutionary power structure to ruling power structure, from bonus period of administration to deficit period. After more than two-year transitional period of Andropov and Chernenko, three consecutive leaders in CPSU conducted life tenure of leading posts as Stalin did. To the reign of Mikhail Gorbachev, the CPSU and the country began to witness the full-blown crisis. Then, he hastily put forward "new concept" of openness, democracy and diversity, carried out reform in power structure, which radically ignored "main cause of troubles". But the reform lacked top-level design and grassroots experiment, and also had no enough top intelligence and capabilities to lead the reform, resulting in the super-presidential system and rating system of investiture of "Combination of decision-making, execution and supervision powers". Late configuration supervision reform was powerless, and ultimately absolute power and corrupts were defeated-"Combination of decision-making, execution and supervision powers" power structure mode finally went bankrupt, so did the party and the country.The fifth chapter analyses the nature and detriment of "Combination of decision-making, execution and supervision powers", regarding it as a wartime power structure with "Excessive concentration of power"; a totalitarian leader system inconsistent with human’s overall and free development; a personnel managing system with violation of "Three Law". What’s more, this chapter concludes its drawback from four aspects, namely the main cause of trouble "Excessive concentration of power", the main illness "ranking investiture system in personnel management", the total dilemma "unachieved checks and balances", a foregone outcome "an absolute monopoly of power and corruption". It also explains and analyzes the detriments of institutional barriers of ranking investiture system in personnel management, including the technology detriment in the key to modern society from feudal society, the morality detriment in the legitimacy of a few people’s monopoly power instead of "rights granted by the people", the ability detriment in the line of cultivating cadres as "Wu Dalang shop", and the global detriment derived from "no talents responsible for the world". Besides the above content, this chapter also describes the serious harm of CPSU’s power structure mode,such as an imbalance of power configurations, democracy undermining, oversight blurring; a totalitarian system with "top leaders" produced a spirit-scattered "tyrant", an independent kingdom, and various interest groups; continuing to nurture and copy beneficiaries, night watchman and gravedigger of old system the old power structure; constantly opening of "Wu Dalang shop", making the ruling team into a trap of mediocrity; causing"short board" to restrict "long board","Aetna"to leave "Earth", and ultimately no one is incompetently responsible for "world", so as to reveal its historical inevitability and inner logic of the failure of CPSU.The sixth chapter is the combination of decision-making, execution and supervision powers structure’s historical influence and reform suggestions to the Chinese Communist Party power structure. The paper holds the view that, the combination of decision-making, execution and supervision powers structure has a great effect on the reform of CPC power structure. In terms of theory, the CPC has always put the Lenin theory as the guiding ideology of the party, and even taken Stalin’s theory as the guidelines of the party; In terms of the organizational structure, the CPC was the regional party organizations at a lower level under the leadership or control of Comintern and CPSU guidance; In terms of system and mechanism, the CPC basically copied and used the CPSU’s supervision power configuration mode for a long time, forming the decades-old consubstantial supervision system. In terms of development road, the CPC found its party, country and state coping the "Soviet model", also followed the city-centered revolutionary road, the reform and transition with great leap and structure of highly-centralized planned economy; In terms of talents, the CPSU trained a large number of leading cadres and professional personnel for the CPC, but it’s candidates system affected the CPC greatly.The seventh chapter proposes the ideas and suggestions of the CPC’s power structure reform. The thesis summarizes the CPC s essential stipulation to push forward the reform of power structure conditions, namely, the scientific guidance of the Marxism’s power structure theory, the effective accumulation of the CPC s structure construction, the abundant nourishment of China’s feudal society’s power structure construction and the plight lessons from the capitalism’s separation of power structure. At the same time, the thesis proposes the ideas and suggestions of the CPC’s power structure reform. We should, based on the spirit of the Eighteenth National Congress and the Third Plenary Session of the18th Central Committee of the Communist, speed up the reform of top-level power structure design, reform the power structure to promote the Chinese Communist Party from a revolutionary party to the ruling party’s transformation, establish the political system reform of county experiment area on power structure as the core, construct the theory of international context structural power with Chinese characteristics and push on the modernization of the national management system and management ability. Through the analysis and research of the full text, four conclusions are made:dysfunctional structure of "excessive concentration of power" is the reform theme of Lenin in his late years, the main causes of national subjugation of CPSU and the first core sign of "Combination of decision-making, execution and supervision powers" structure; Organization system of ranking investiture system is the accelerator of "social public servant into social master", is the crux of its weakening, disabilities of ruling managing and no talents for "the world", so the second core mark of power structure model; CPC’s current power structure bears the obvious character of "Soviet model"; CPC s time and conditions to reform the power structure has come. We must take their failure as an important reference in CPC’s governing and rejuvenating the country, and a textbook for the whole party to study, speed up the "system cage" which takes construction of the power structure as its core to show CPC’s confidence and target of power structure reform.更多还原