【作者】 刘娟；

【导师】 徐行；

【作者基本信息】 南开大学 ， 政治学， 2013， 博士

【摘要】 自新中国诞生以来,中央政府机构历经多次调整与改革。如何把坚持中国特色社会主义和有效借鉴西方成果结合起来,是当前中国机构改革的关键任务。其中1954年至1966年间国务院机构的创建与变迁,是整个中国机构发展历程的起点,涉及党政权力的重新分配,政府职能的设定与转变,中央与地方关系的渐次调整,国家与社会关系的定位等多重问题。如何由历史借鉴经验与教训、寻求从单纯行政变革向国家治理体系创新的转变,或是当前政府机构改革的基本方向。这意味着,改革不能仅在行政层次解读中国的政府体制问题,而是要将改革置于国家政治制度的变迁中分析。用新制度主义的理论来分析中国国务院机构的建立与变迁,是解读该项制度的一个全新视角。国家宏大的制度背景决定了国务院最初建立的政治选择,制度背景的变迁也导致了国务院机构的变革与更新。各种相关变量,包括经济水平、利益关系、意识形态以及国际关系等因素与国务院机构变迁之间存在一种序列结构,致使国务院机构及其行政体制的调整与变革处于一种制度依赖路径当中,影响并制约着当今的机构改革。同时,政治制度与政治领导人之间的互动模式也是推动国务院机构变迁的重要变量,党的领导人在决定政治经济结构方面具有相当的影响力和作用。”因此,本文亦将在研究国务院机构变迁的过程中引入政治领导人这一变量,探讨制度变迁过程中国务院总理周恩来发挥的重要政治作用。就研究思路来看,本文试图以制度本身为核心分析变量,将中国国务院机构的早期变迁纳入到新制度主义政治学的分析范式之中,借助利伯曼提出的历史制度主义的四种分析策略：即制度起源的策略、制度变迁的策略、外来震荡的策略和竞争性的原因策略这一分析框架,在一个宏大的历史视域内检视中国国务院机构的创立、维持和变迁的过程。同时以国务院总理周恩来的政治活动为线索,合理解释1954年至1966年间中国国务院机构的变迁,并尝试为当前国务院机构改革探索一种新的解释路径。就研究框架来看,首先提出问题,即“当前国务院为什么要进行机构改革,其机构设置特点和变迁过程遵循了怎样的制度路径?”,并尝试性地提出一个假设：“国家的制度环境和一系列的政治变量决定了中国国务院机构最初的制度选择与安排,制度变迁的路径依赖性促使国务院机构不断更新与强化。制度与政治领导人的互动共同推动了国务院机构的改革。”为了验证假设,1954年至1966年间第一至第三届国务院制度的建立和变迁、周恩来个人政治作用与制度的互动就成为本研究的主要内容。在总结经验教训的基础上,剖析了中国国务院机构与制度的现状,提出了未来改革的可能取向。就文章的内容结构来看,首先考察了周恩来与国务院制度的建立过程,讨论国务院的初创是在一种什么样的制度环境和体制下被制定和实施的；对制度变迁的实施产生影响的重要变量有哪些,这些变量(如社会经济条件、各种政治组织和机构、政治领导人等)中哪些起决定作用。同时探讨了宪法秩序的改变对国务院制度变迁产生的影响,和国务院成立前后中国政府制度的变化。其次,分析了国务院机构变迁所受到的动力影响以及制度变迁本身所表现出来的复杂特征。讨论了国家制度巩固后对中国政治经济变迁的影响。分析了第一届人民代表大会期间国务院制度的首次内在渐进性转型,1954年至1966年间周恩来三次组阁的路径依赖特征,和由于制度发展惯性致使原有政治制度逐渐显现负面缺陷等问题。最后,运用新制度主义理论对1954年至1966年国务院运行的总体情况进行分析。概括出国务院机构变迁的维度取向与运行模式,阐明国务院机构变迁呈波浪式推进。国务院机构变迁的原因,主要集中在国家与社会关系的调整,中央与地方关系的变动和执政党对于中国经济发展制定的政策变化上。其中周恩来作为政治领导人的特殊变量,对整个国务院的制度变迁过程起到决定性的作用。基于上述分析,本文在结论部分提出,当前的机构改革应需理性认识1954年至1966年机构变迁产生的正负效应,客观审视新制度安排的优势和问题所在,进而形成良性路径依赖。通过科学界定党政关系、健全法律制度、转变政府职能来推进中国政府体制改革,以图构建“制度政府”概念及内涵。更多还原

【Abstract】 The central government in China has experienced repeatedly adjustments and and reforms from the new country has been established. It is the critical mission that how to cmbine persisting socialism with Chinese chracteristics, with learning the achievements of westen countries effectively. Wherein, the establishing and transition of The State Council during the year of1954to1966have been the starting point of the developing course in China, which has involved in the redistribution of the relationship between the ruling party and government; the setment and transform of the government functions; the adjustment between the central and local government; and the repositioning relationship between the state and the society, etc. That means, the reform should not be placed in the process of the administrative reform, but the institutional transition of the whole country.It is a brand new perspective of studying the establishing and transforming of the State Council in new institutionalism politics perspective. The original political selection of the establishing of the State Council has been decided by the national’s institutional background, and it also affects its changing and update. Some other related political variable factors:including the economic development, interest, ideology, and international relations, etc. are in some sequence structure with the institutional reform of the State Council, which made the administrative system being in some path dependence, influences and restricts the super-ministry system.At the meanwhile, the interactive mode between the political system and the political leaders is also an important force to promote the transition of the agencies in the State Council. The leaders in the communist party had been playing an important role In deciding the political and economical structure, because of the authoritarianism system in the beginning, period of China. So, this paper has introduce the interactive relations between the political system and leaders, which has also been the innovative perspective.This paper will make the political system as a core analysis variable, and bring the institutional changing of the State Council in the paradigm of the new institutionalism, and then, investigate the founding, maintaining and transition of it in a historical perspective. At meanwhile, with the clue of Zhou-Enlai’s political behavior, this paper will draw a rational explication of the transition of the State Council in China, and provide some proposal against the super-ministry system reform in nowadays.First, I review past research and lay out the theoretical framework for my research, and raise the question that:why the super-ministry system reform has been implemented? And which path-dependence has been abided by it? Then, it will try to put forward the hypothesis that the variable sequence and the institutional environment had arrangement, and the path-dependence of the transition of the institution had intensified the result the above. The reform of the super-ministry system in nowadays is just the sticking point to transform it.which is comprised both by the institution and the political leader.Secondly, this paper has traced the history of the first, second and third session of the State Council in China from the year1954to1966. By analyzing the forming process of the cabinet in1954, the path-dependence effect, and the magnification of self-accumulate function and the institution inertia, which leaded to the appearing of the negative effect of the initial institution.The last part of the study is an analysis of the real-world problems and recommendation by applying the empirical analysis method. By means of overview the study made the summary that, the institutional transition of the State Council is a gradual progress undulation. And the reasons for the transition are the adjustments between the nation and the society, the authority alteration between the central and local governments, and the changing policies which were drafted by the ruling party. The paper has also reviewed the alteration of Zhou-Enlai’s position and terms of reference, which acting on the institutional transition.On the basis of the studies, finally, I draw basis laws and lessons as followings:1) the institutional reform should break through the inherent path-dependence, to realize the positive and negative effect in the period of the exploring in Chinese history, and to examine the advantages and disadvantages of the arrangement of the institution, which will form the benign path-dependence;2) to optimize the leadership of the ruling party in the process of the institutional transition of the State Council;3) to improve the legislation, the administration of justice,and law enforcement when put the super-ministry system reform into practice;4) to coordinate the governments’ functions comprehensively;5) to propel the reform of the governments’ organization gradually, and then, to establish some model of institutional government.更多还原