【作者】 段振东；

【导师】 崔卓兰；

【作者基本信息】 吉林大学 ， 宪法学与行政法学， 2014， 博士

【摘要】 自2003年非典实施“问责风暴”后，旨在通过追究官员责任以约束与控制其权力的行政问责制俨然成为我国构建责任政府的倒逼式民主机制。而以实施问责的主体为标准，行政问责制可划分为党政机关对其官员追究责任的行政同体问责制和党政体系的以外的主体对党政官员追究责任的行政异体问责制两种类型。本文以行政同体问责制为研究对象，探究行政同体问责制的理论基础，通过对各地方政府的行政问责制文件和问责事件的整理、统计、分析，找出当前我国行政同体问责制在立法和实践两个方面所存在的问题，进而提出如何完善我国行政同体问责制的具体对策。本文主要内容为：导论部分首先阐述了选题的背景、意义以及研究现状，指出现有的行政问责理论无法解释我国党和政府积极推行行政同体问责制的动因，提出要以新的理论视角重新看待行政同体问责制，充分发掘政府自我规制的潜能，并在此基础上完善我国的行政同体问责制。最后对论文的论文的基本框架、研究方法等方面进行了简要说明。第一章主要对与行政同体问责制相关的基础概念、构成要素、党内问责制、与行政异体问责制之间的关系等进行分析和论述。首先，对与行政同体问责制相关的基础概念进行界定，主要包括责任、问责制、行政问责制、行政同体问责制、行政异体问责制等，并指出党内问责制是行政同体问责制的特例。其次，对行政同体问责制与行政异体问责制之间的关系予以研究，在区别两种问责制度的基础上，指出行政同体问责制是政府自我规制的重要机制，而行政异体问责制则是行政同体问责制的辅助机制，两种问责制度共同发挥问责作用。最后，从详细分析行政同体问责制的主体、对象、范围、程序、结果等基本构成要素入手，对行政同体问责制度进行具体阐释。第二章分别从行政同体问责制兴起的时代背景、理论基础、产生动因、优势、作用等五个方面，对行政同体问责制的必要性进行分析和论证。首先，对行政同体问责制兴起的时代背景加以分析，指出行政同体问责制是应对政府合法性危机的新手段。其次，介绍行政同体问责制产生的理论基础。行政同体问责制作为一种主要对政府的权力进行自我规制的机制，其主要包括如下六个方面的理论：责任政府理论、行政自制理论、善治理论、科层理论、新公共管理理论以及责任伦理理论。复次，分别从我国政治体制的特点、同体问责并不必然丧失公正性、异体问责也可能失灵、弥补异体问责的缺陷等四个角度出发，论证行政同体问责制产生的动因。再次，指出相比于行政异体问责制，行政同体问责制具有对抗性小、便于深层次监督、高效便捷、规制成本低等优势。最后，指出行政同体问责制具有构建责任政府、重塑官员良好形象、维护社会公平正义等三个方面的作用。第三章是在深入考察、分析我国行政问责制现状的基础上指出其所存在的问题。首先，对目前我国的行政问责制的立法现状予以全面考察，具体从问责主体、问责对象、信息来源、问责范围、问责方式等角度，对所收集到的42个地方政府的行政问责制文件进行深入系统地分析，从而找出规律性的东西。其次，为了考察我国行政问责制的实践现状，选取从2003年3月至2012年12月期间我国所发生有代表性的62起问责事件为研究样本，通过对每起问责事件的事件类型、问责主体、问责原因、问责结果等相关指标进行对比分析，以找出我国当前行政问责制运行特点和规律，并指出行政同体问责制是我国当前行政问责的主要模式。最后，在前述考察的基础上，指出我国行政同体问责制在立法方面和实践方面则还存在种种问题，以便为下文提出完善我国行政同体问责制的对策建议提供基础。第四章提出完善我国行政同体问责体制的具体思路和办法。当前，我国要建构有效的行政同体问责制，首先，在考察英国、美国、法国、日本等西方主要国家的行政同体问责制度基础上，应该大胆的借鉴西方主要国家的行政问责制经验以完善和丰富我国的行政同体问责制度。其次，应从强化行政首长负责制、加强行政监察问责、完善审计问责、加快行政伦理立法等四个方面进一步完善行政机关内部的监督问责制度。再次，从确立权责一致、依法问责、平等公开、惩戒与教育相结合、问责救济等问责的基本原则，明确问责对象及其职责，拓展、统一问责范围，规范问责程序，界定责任类型和与之相对应的问责方式等五个方面制定全国统一的行政问责法。最后，要从完善引咎辞职制度、规范被问责党政官员的复出机制、促进问责中的信息公开等三个方面健全行政同体问责制的配套制度。需要强调的是，本文虽以大量笔墨极力论证行政同体问责制的合理性，但笔者并无意否定行政异体问责制所具有符合民主政治要求的科学性与合理性，而是在肯定外在监督制约的前提下，主张充分发挥主动地、低成本的政府自我规制的作用，以便在我国建立起一种高度负责的政府自我规制的机制，从而使党和政府进一步树立起为全社会积极主动服务的信念，并使行政法治的时代精神得到充分体现。更多还原

【Abstract】 Since the “accountability storm” was implemented in SARS period in2003, theadministrative accountability system which aims at restricting and controlling theofficials’ power through tracing their accountability has become a forced democracymechanism for China to establish a responsible government. If we take the subject whoimplements the accountability as standard, the administrative accountability can bedivided into two types, that is, administrative internal accountability system in whichthe Communist Party of China (CPC) and government organs trace accountability totheir officials, and administrative external accountability system in which the subjectbeyond party and government organs traces accountability to party and governmentofficials. This paper takes administrative internal accountability system as object ofstudy to explore the theoretical basis of administrative internal accountability system,and then finds out the problems currently existing in Chinese administrative internalaccountability system in terms of legislation and practice through classification,statistics, and analysis on documents about administrative accountability system andaccountability events of local governments, and further proposes specificcountermeasures about how to perfect Chinese administrative internal accountabilitysystem. The main content of this paper is shown as below.The introduction part firstly explains background of topic selection, significance,and research status, points out the reason why the current administrative accountabilitytheory can’t explain CPC and government officials’ active implementation ofadministrative internal accountability system, and proposes that we should re-treatadministrative internal accountability system from a new theoretical perspective, fullyexplore the potential of government self-regulation, and perfect Chinese administrativeinternal accountability system. Finally, this paper gives a brief description on basic framework and research method of this paper.Chapter I mainly analyzes and discusses the basic concept, constitutive elements,and in-CPC accountability system related to administrative internal accountabilitysystem, and the relation between administrative internal accountability system andadministrative external accountability system. Firstly, it defines the basic conceptrelated to administrative internal accountability system, mainly including responsibility,accountability system, administrative accountability system, administrative internalaccountability system, and administrative external accountability system, etc., andpoints out that the in-CPC accountability system is the exception of administrativeinternal accountability system. Secondly, it carries out a research on relation betweenadministrative internal accountability system and administrative externalaccountability system; on the basis of making a distinction between these twoaccountability systems, it points out that the administrative internal accountabilitysystem is an important mechanism for government self-regulation, while theadministrative external accountability system is an auxiliary mechanism foradministrative internal accountability system, and these two accountability systemsjointly exert accountability function. Finally, it gives a specific explanation onadministrative internal accountability system from perspective of basic constitutiveelements of administrative internal accountability system such as subject, object, range,procedure, and result.Chapter II analyzes and demonstrates necessity of administrative accountabilitysystem from five aspects, that is, historical background under which the administrativeinternal accountability system rose, theoretical basis, cause, advantage, and function.Firstly, it analyzes the historical background under which the administrative internalaccountability system rose, and points out that the administrative internalaccountability system is a new means to confront government legitimate crisis.Secondly, it introduces the theoretical basis of administrative internal accountabilitysystem. As a kind of mechanism which mainly implements self-regulation ongovernment power, the administrative internal accountability mainly includes following six aspects of theory: responsible government theory, administrativeself-regulation theory, good governance theory, hierarchy theory, new publicmanagement theory, and responsibility ethic theory. Secondly, it starts from fourperspectives of features of Chinese political system, not necessarily loss of fairness ofinternal accountability, possible failure of external accountability, and compensationfor defects of external accountability to demonstrate the cause of administrativeinternal accountability system. Thirdly, it points out that the administrative internalaccountability system has advantages of small opposability, convenient deep-levelsupervision, efficiency and convenience, and low regulation cost, etc. compared toadministrative external accountability system. Finally, it points out that theadministrative internal accountability system has three functions, that is, establishingresponsible government, re-shaping officials’ good image, and maintaining socialfairness and justice.Chapter III points out the existing problems on the basis of deep investigation andanalysis on current situation of Chinese administrative accountability system. Firstly, itgives a comprehensive investigation on legislation status of Chinese administrativeaccountability system from perspective of accountability subject, accountability object,information source, scope of accountability, and way of accountability, etc., and deeplyanalyzes documents about administrative accountability system collected from42localgovernments to find out some rules. Secondly, in order to investigate practice status ofChinese administrative accountability system, it selects62representativeaccountability events occurred in the period from March2003to December2012inChina to find out operation features and rules of Chinese current administrativeaccountability system through comparative analysis on type of event, accountabilitysubject, accountability reason, accountability result, and other relevant index of eachaccountability event, and also points out that the administrative internal accountabilitysystem is the main mode of Chinese current administrative accountability. Finally, onthe basis of above investigation, it points out that many problems exist in Chineseadministrative internal accountability system in terms of legislation and practice, for convenience of providing foundation for proposing the countermeasures andsuggestions about perfecting Chinese administrative accountability system in contentbelow.Chapter IV proposes specific thoughts and methods about perfecting Chineseadministrative internal accountability system. Currently, China should establish aneffective administrative internal accountability system. Firstly, on the basis ofinvestigating the administrative internal accountability system of main westerncountries such as U.K., U.S., France, and Japan, we should boldly borrow ideas fromadministrative accountability experience of main western countries to perfect andenrich Chinese administrative internal accountability. Secondly, we should furtherperfect regulatory accountability system in administrative organs from four aspects,which is, enhancing chief executive responsibility system, enhancing administrativesupervision accountability, perfecting audit accountability, and quickeningadministrative ethic legislation. Thirdly, we should formulate national uniformadministrative accountability law from five aspects, that is, establishing the basicprinciple of integration of power and responsibility, accountability according to law,equality and publicity, combination of punishment and education, and accountabilityrelief; specifying accountability object and his responsibility; expanding and unifyingscope of accountability; standardizing accountability procedure; defining type ofresponsibility and corresponding way of accountability. Finally, we should perfectsupporting system of administrative internal accounting system from three aspects,which is, perfecting duty dereliction resignation system, standardizing resumptionmechanism for CPC and government officials whose responsibility is traced andpromoting information disclosure in accountability.It should be emphasized that the author has no intention to deny that theadministrative external accountability system meets democratic political requirementsalthough this paper strongly demonstrates reasonableness of administrative internalaccountability system; however, under the premise of making affirmation on externalsupervision and restriction, the author advocates to fully exert the function of active and low-cost government self-regulation for convenience of establishing a highlyresponsible government self-regulation mechanism in China, so as to make CPC andgovernment officials further establish a faith of providing active service for wholesociety and make spirit of administration by law fully reflected.更多还原