【作者】 公维友；

【导师】 张全新；

【作者基本信息】 山东大学 ， 政治学理论， 2014， 博士

【摘要】 21世纪是全球化治理的时代,世界各国都处于伟大的变革中。高度复杂的公共问题以及动态多元的社会环境使得各国政府的不可治理性不断增大；民主社会公民权利的扩张和公民利益需求的提高也彰显出政府治理能力的不足,公共治理面临着严峻的挑战。这就要求各国政府要采用新的思维框架和思维方式来处理复杂多变的现实问题。各国政府能否改变自己传统的优越感和自我中心意识、能否激发公民的社会责任感、能否调动社会自我管理事关公共治理的合法性、政府的权威和公信力以及公共行政科学的合法性。政府与社会共同治理将成为21世纪公共治理的重要议题,也是公共行政民主化改革和民主行政社会建构的必然要求和应有之义。“民主行政”是在批判传统公共行政范式基础上提出来的,在公共行政的发展历程中是一个充满争议的发展范式。自行政学成为独立学科以来,受政治——行政二分法以及传统公共行政“工具——技术”理性和“管理主义”思维的影响,民主一直囿于政治层面,人们很少从行政层面研究民主问题,民主与行政一直保持着若即若离的关系,“民主行政”似乎成为一个矛盾的、不可能存在的概念。但是,历史和现实告诉我们,行政学原本是政治学的分支学科,行政学需要借助政治学的基本理论和方法来分析政府体制和政府行为。公共行政本身就是政治过程的一部分,行政作为国家的代表和实现形式,越来越多地体现并实现着国家的普遍性和社会性,公共行政无论在实践中还是在理论上都不可能脱离政治,任何割裂政治与行政内在联系的做法都不利于公共行政的学科发展,也会导致公共行政发展缺乏理论支撑。随着人们对政治——行政二分法认识的深化以及行政国家的兴起、立法权的式微与衰落,民主与行政的关系有了融通的桥梁,并出现加速耦合的趋势,主张公共行政在治理过程中承担民主价值的呼声逐渐成为趋势,正如美国行政学者德怀特·沃尔多指出,“如果行政确是当代政府的核心,则20世纪的民主理论必须拥抱行政”,丹哈特也曾援引列维坦(Levitan)的话强调：“一个民主国家不仅要以民主原则为基础,而且还要民主地行政,让民主哲学渗透行政机器。”美国行政学者Beverly说：“在公共行政领域,有一个正在兴起的典范,它提倡通过更有力的回应力和多渠道的沟通创造出一个对政府所服务的公众以及内部雇员都更加有效的行政,Wamsley和Wolf称之为‘民主行政的重建’。”文森特·奥斯特罗姆认为,从“民主制行政”走向“官僚制行政”,意味着倒退,而从“官僚制行政”走向“民主制行政”,实际上意味着一个“哥白尼革命式”的转折。在这种背景下,西方学界重新反思传统公共行政的价值取向和组织设计,“民主行政”日益受到人们的重视,民主与行政趋向融合成为行政学的趋势,民主行政也正在成为一个不断兴起的研究题域甚或是典范。回顾公共行政的历史发展,民主行政与官僚制几乎是同时被提出来的,国外有关民主行政理论的发展和研究迄今已将近半个世纪。西方很多政治学家、行政学家在“民主行政”这个大范式下进行了大量研究。马克斯·韦伯、汉密尔顿、麦迪逊和托克维尔等人都曾对其做过早期的探讨。在接下来的时间里,新公共行政学派、黑堡宣言、新公共服务理论、后现代公共行政等理论都从不同的视角论述了“民主行政”思想或其理论内容不同程度地透视出“民主行政”的思想。纵观西方民主行政理论的形成与发展,民主行政主要围绕着宪政限制、角色重塑、改善公共服务和注重话语民主几个核心议题展开,大体经历了从理性建构到社会建构、从单一权威中心治理到多中心治理的历史演变。民主行政的兴起和发展顺应了民主的历史演变和政府治理方式的变迁,也是政府对自身治理合理性与价值正当性的自我求证,亦是社会治理方式的发展和创新。民主行政是公共行政学发展史上具有里程碑意义的转折,对公共行政理论发展作出了卓越贡献,推动了公共行政理论和实践的发展。伴随着民主政治和公共行政的发展,我国在公共行政的研究和实践中也逐渐正视民主行政及其社会建构的价值和重要性。民主行政社会建构倡导民众参与公共治理过程,超越了传统的官僚体系,推动着公共治理走向民主化,也增强了政府对外部环境的回应性,这是公共行政发展的必然趋势,是社会发展的归宿。民主行政的社会构建将公共行政看作是政府与社会共同的实践行动,而不是把公共行政看作在封闭的行政环境中政府与行政官员的自我描述与自我建构。社会构建的民主行政体现着对人类基于实践行动而形成的话语的尊重,是对人们在分享、互动基础上达成共识的尊重。本文遵循着“历史脉络—理论分析—中国实际—逻辑建构”的研究路径,以社会建构主义为方法论,遵循西方民主行政从理性建构到社会建构的历史脉络,以治理理论为理论支撑,以中国政治、经济、文化和社会发展为现实基础,探讨了在中国如何推进民主行政社会建构的问题。民主行政的社会建构离不开“政府主导的多元合作治理共同体”的建设,构建这一治理共同体的过程就是民主行政社会建构的推进过程。具体来说,论文从社会建构主义的视角出发,在对传统公共行政进行批判、反思的基础上,沿着从“理性建构”到“社会建构”的历史脉络、“政府与社会”双向建构的理论逻辑尝试建构一个政府主导的多元合作治理共同体,深入探讨政府、公民社会(社区和非营利组织)、市场(私人部门)与公民等治理主体的角色定位、合作机制、治理场域等内容,推进建设政府、社会与公民间的对话、互动、协商和共享的民主治理模式和社会合作机制,以推进我国民主行政的社会建构,进而推动我国公共行政的发展,推进我国民主政治建设和政府社会治理创新。本文共分六章,各章节的研究思路和基本观点如下：第一章为导论。本章主要阐述了民主行政社会建构研究的缘起与意义、国内外相关研究现状、相关概念界析以及研究思路和研究方法。第二章为“民主行政建构的方法论：社会建构主义的理论解释”。本章在论述建构主义与社会建构主义理论的基础上探讨了社会建构主义与民主行政的内在关系,然后阐述了社会建构主义视阈下民主行政的内涵所在。基本观点是：社会建构主义为我们提供了一个崭新的重新认识公共行政的视角,为我们提供了一套分析和研究公共行政的全新框架。在社会建构的框架下,公共行政成为政府管理者与社会共同的实践活动,公共行政治理主体的角色定位、治理理念和治理手段都发生了根本性的变迁,实质是民主行政,是对人们民主参与治理过程的倡导,是对公共事务治理中政府与公民社会等主体间积极互动的张扬。第三章为“西方民主行政的历史演变：从理性建构到社会建构”。本章首先从批判传统公共行政范式的基础上厘清了民主行政兴起的时代和社会背景,探讨了民主与行政融合的历史必然性,然后尝试探寻西方民主行政历史演变的规律和特点。基本观点是：民主行政的兴起和发展顺应了民主的历史演变和政府治理方式的变迁,也是政府对自身治理合理性与价值正当性的自我求证,亦是社会治理方式的发展和创新。民主行政是公共行政学发展史上具有里程碑意义的转折,对公共行政理论发展作出了卓越贡献,推动了公共行政理论和实践的发展。纵观西方民主行政理论的形成与发展,民主行政主要围绕着宪政限制、角色重塑、改善公共服务和注重话语民主几个核心议题展开,大体经历了从理性建构到社会建构、从单一权威中心治理到多中心治理的历史演变规律。第四章为“中国民主行政社会建构的理论逻辑”。本章围绕着治理理论与民主行政的内在关系展开论述。首先,解读了治理的内涵及其与民主行政的内在关系；其次,探讨了治理理论的中国适用性；然后,围绕着治理的社会属性以及治理共同体的建构论述了共同治理与民主行政社会建构的关系。基本观点是：我国民主行政社会建构具有坚实的理论基础,治理理论提供了一种新的民主视角,促使民主理论与公共行政融合,揭示出全球化时代公共事务治理的新变化。治理意味着国家与社会关系的重新调整和分配,标志着国家权力向社会的回归。在中国治理语境下,构建政府主导型的多元合作治理共同体符合“治理”的政府管理研究途径,也是善治意义上治理的内在要求；同时也是我国当前现代治理体系、市场经济和公民社会发展的社会现实的客观要求。政府主导型的多元合作治理共同体是人类社会治理模式变迁的必然结果,是推进民主行政社会建构的重要路径。政府主导型的多元合作治理共同体是按照公共性规范和民主治理建构起来的不同治理主体之间的一种公共事务治理机制,这是一个价值共同体、一个目标共同体、也是一个利益共同体。多元的治理主体具有共同的价值、共同的目标和共同的利益。在共同体内,政府、公民社会(社区和非营利组织)、市场(私人机构)和公民等治理主体通过对话、协商、谈判、合作等集体选择和集体行动,形成资源共享、彼此依赖、互惠合作的机制与组织结构,以实现共同的治理目标。治理共同体的终极目的就是推进政府、公民社会(社区和非营利组织)、市场(私人机构)和公民在公共事务中的共同治理,从而达到优化公共服务、提升治理公共性、推进民主在公共治理中的实现和民主行政的社会建构。公共能量场是治理共同体的成长空间和重要载体。政治上的相互认同、伦理上的相互信任、职责上的权责明确、利益上的相互协调是治理共同体的运作规则和合作机制。第五章为“中国民主行政社会建构的现实基础”。本部分首先从经济、政治、文化和社会四个层面论述了民主行政社会建构的宏观环境,然后探讨了民主行政在中国建设的成就与不足。基本观点是：民主行政社会建构是中国社会深刻的经济、政治、文化和社会变迁的产物。第六章为“中国民主行政社会建构的道路选择：治理共同体的构建”。本章围绕着理念建构、主体建构、规则建构和空间建构等四个层面探讨了“治理共同体”的建构及民主行政社会建构的思路与过程。基本观点是：对公共性的坚守是民主行政社会建构的根本理念和价值追求；民主行政社会建构需要政府、公民和社会组织等多元主体的共识与合作；政治上的相互认同、伦理上的相互信任、职责上的权责明确和利益上的相互协调是治理共同体的运行规则也是民主行政社会建构的保障；治理共同体需要一定的公共领域,社区建设和网络空间建设是我国治理共同体建设的重要场域,是民主行政社会建构的成长空间。本文可能的创新主要有以下几点：一是系统梳理了西方民主行政的历史演变,并探讨了民主行政从理性建构到社会建构、从单一权威中心治理到多中心治理的历史演变规律。二是以社会建构主义为视角构建民主行政。社会建构主义为我们提供了一个崭新的重新认识公共行政的视角,为我们提供了一套分析和研究公共行政的全新框架。在社会建构的框架下,公共行政成为政府管理者与社会共同的实践活动,公共行政治理主体的角色定位、治理理念和治理手段都发生了根本性的变迁,实质是民主行政。三是从“政府与社会”双向建构的理论逻辑构建了一个“政府主导型的多元合作治理共同体”,并对这一治理模式的内涵、目的、合作机制和成长空间进行了解读,最后围绕着理念转变、主体建设、运行规则、治理场域四个方面对民主行政展开社会建构。更多还原

【Abstract】 In the trend of global Governance of the21st century, all countries all over the world are experiencing great changes. Highly complex public issues as well as dynamic’and diverse social environment increase ungovernability of governments. The expansion of the citizens’ rights and the increase of the citizens’interest demands in democratic society highlight the lack of governance capacity. Public governance is facing severe challenges. This situation requires that governments adopt new framework and ways of thinking to deal with the complicated reality. It is important to the legitimacy of public governance, the authority of government and the legitimacy of public administration science whether governments in the world can change their traditional superiority and self-centeredness, arouse the citizens’ social responsibility and mobilize the self-management of society. Collaborative governance by both government and society will become not only an important topic in twenty-first century, but also the inevitable requirement of democratic reform of public administration and the social construction of democratic administration.As a controversial paradigm,"democratic administration" is put forward by criticizing the traditional public administration paradigm. Since the administration developed into an independent discipline, democracy has been restricted in the political level because of the influences of the political-administrative dichotomy,"tool-technology" rationality in traditional public administration and "managerialism" thinking. People seldom studied democracy from administrative level. Democracy has always maintained ambiguous relations with administration."Democratic administration" seems to be a paradoxical concept that may not exist. However, history and reality tell us that the administration was originally a branch of political science. The administration needs the help of the basic theories and methods of political science to analyze the government systems and behaviors. As a part of the political process public administration can’t be divorced from politics either in theory or in practice. Any practices that separate politics from administration will result in the lack of theoretical support for the development of public administration.With the deepening understanding of the political-administrative dichotomy, the rise of the administrative state and the decline of the legislative power, the relationship between democracy and administration is bridged, and is showing coupling trend. The voice that the public administration should assume democratic values in the governance process is becoming almost trendy. Dwight Waldo, the American administration scholar, noted that "If the administration is really the core of modern government, the democratic theory in the20th century must embrace administration". Dan Hate also quoted Levitan’s viewpoints, then stressed:"A democratic state not only is based on democratic principles, but also administrates democratically, allowing democratic philosophy penetrate the administrative machinery."Beverly,the American administration scholar,said that:"In the field of public administration, there is an emerging paradigm which advocates more effective administration for the public and internal employees should be created through more forceful response and multiple channels of communication, and which is called’the reconstruction of democratic administration’by Wamsley and Wolf." Vincent Ostrom thinks that the transition from "democratic administration" to "bureaucratic administration" means backward. On the contrary, the transition from "bureaucratic administration" to "democratic administration" actually means the turning of "Copernicus Revolution". In this context, western scholars rethink the value orientation and organization design of the traditional public administration, and so people increasingly pay attention to "democratic administration". The fusion of democracy and administration is a growing trend, and democratic administration is becoming an emerging research topic or model.Reviewing the development history of the public administration, the development and research abroad about the theory of democratic administration have been for almost half a century. There are many western political scientists and administrative scholars who made a lot of research in the paradigm of "democratic administration". Max Weber, Hamilton, Madison and Tocqueville have done earlier discussion. In the following days, new public administration school, Blacksburg Manifesto, new public service theory, post-modern public administration theory discussed the thought of "democratic administration" from different perspectives. Throughout the formation and development of western democratic administration, the democratic administration which developed around several core issues, such as constitutional limits, remodeling the role, improving public services and focusing on democratic discourse, has experienced historical evolution rule from rational construction to social construction and from single center governance to multi-centers governance.The rise and development of democratic administration not only comply with the historical evolution of democracy and the changes of government governance, but also are the development and innovation of the social governance. As the landmark transition in the development history of public administration, democratic administration has made outstanding contributions to promoting the development of the theory and practice of public administration. With the development of democratic politics and public admim’stration, our country has come to realize the value and importance of democratic administration and social construction in the research and practice of public administration.The social construction of the democratic administration, which is beyond the traditional administrative bureaucracy, prompting public governance towards democratization, strengthening the response to external environment by the government, as well as advocating public participation in public governance process, is the inevitable trend of the development of public administration and the ultimate goal of the development of society. The essence of constructing democratic administration is that public administration should be seen as a joint practice by government and society, rather than be confined in a closed environment that is self-described and self-constructed by government and officials.Following the research path of "historical context-theoretical analysis China’s reality-logical construction" and the historical context of western democratic administration from rational construction to social construction, this paper discusses how to promote the social construction of democratic administration with the methodology of social constructivism in China, the theoretical support of governance theory and the practical basis of China’s political, economic, cultural and social development. The social construction of democratic administration cannot do without the construction of "multi-cooperative governance community dominated by the government", and therefore the process of building the governance community is the process of promoting the social construction of democratic administration. Specifically, this paper, along the historical context from rational construction to social construction tries to construct the multi-cooperative governance community dominated by the government from the perspective of constructivism on the basis of the criticism of traditional public administration and the theoretical logic of mutual construction by "state and society". The paper inquires into the problems of role orientation, cooperation mechanism, governance field in governing subjects such as government, civil society (community and non-profit organizations), market (private sectors) and citizens etc. This paper aims to build a democratic governance model and the social cooperation mechanism in which government, society and citizens could dialogue, interact, negotiate and share, thus promoting the development of public administration,the construction of democratic politics and the innovation of social governance in China.This paper has six chapters. The research ideas and basic viewpoints of each chapter are as follows.The first chapter is the introduction. This chapter mainly expounds the origin and significance of the social construction of democratic administration, the research status at home and abroad, the definition of related concepts, research ideas and research methods.The second chapter is concerned with "methodology of constructing democratic administration:theoretical explanation of the social constructivism’ Based on the analysis of the constructivism and social constructivism theory, this chapter discusses the democratic prosperity of social construction, demonstrates the relationship between constructivism and democratic administration, and then analyzes the connotation of the democratic administration from the perspective of social constructivism. The basic viewpoints of this chapter are as follows. Social constructivism provides us with a new perspective of rediscovering public administration and a new framework for analyzing and researching public administration. In the framework of social construction, public administration is the practice activity in which government and society participate together. Governance subjects of public administration have undergone fundamental changes in role orientation, governing ideas and methods. The social construction of public administration advocates public participation in governance processes and positive interaction among government, society and citizens, which is the essence of democratic administration.The third chapter is concerned with"the historical evolution of western democratic administration:from rational construction to social construction ". This chapter first discusses the historical inevitability of the integration of democracy and administration, and then clarifies the background of the rise of the democratic administration on basis of criticizing the traditional public administration paradigm, and finally explores the rule and characteristics of the historical evolution of western democratic administration. The basic viewpoints of this chapter are as follows. The rise and development of democratic administration not only complies with the historical evolution of the democracy and the changes of government governance, but also is the development and innovation of the social governance. As the landmark transition in the development history of public administration, democratic administration has made outstanding contributions to promoting the development of the theory and practice of public administration. Throughout the formation and development of the western democratic administration, the democratic administration which developed around several core issues, such as the constitutional limits, remodeling the role, improving public services and focusing on democratic discourse, has experienced historical evolution rule from rational construction to social construction and from single center governance to multi-centers governance.The fourth chapter is concerned with "theoretical logic of the social construction of China’s democratic administration". This chapter focuses on the relationship between governance theory and democratic administration. Firstly, the chapter explains the meaning of governance and its internal relationship with the democratic administrative; Secondly, the chapter discusses the applicability of governance theory in china. The basic viewpoints of this chapter are as follows. Governance theory, giving a new perspective of democracy, promotes the integration of democracy and public administration, and reveals new changes of public governance in the era of globalization, so there are solid theoretical foundations in the social construction of democratic administration in China. Governance means redistribution of the relationship between state and society, which marks the return of the state power to the society. In the context of Chinese governance, building a government-dominating cooperative governance community conforms to the approach of government management, and it is an inherent requirement of governance in the sense of good governance. At the same time it is also the objective requirement of modern governance systems, market economy and civil society. The government-dominating cooperative governance community is the inevitable result of the changes of human social governance modes and an important way to promote the construction of democratic administration society. As a governance mechanism of public affairs, the government-dominating cooperative governance community is constructed according to common norms and democratic governance between different governing subjects, which is a value community, a target community and a community of interests. Diversified governance subjects have common values, common goals and common interests. Within the community there are the mechanisms and organization structures of resource sharing, mutual dependence, mutual cooperation which are formed through dialogue, consultation, negotiation, cooperation among government, civil society (communities and non-profit organizations), market (private sectors) and citizens. The ultimate purpose of the governing community is to promote co-governance between government, civil society (communities and non-profit organizations), market (private sectors) and citizens in public affairs, thus optimizing public services, enhancing public governance, and achieving democracy in the public governance. Public energy field is the field and vehicle of governing community. Political identity, mutual trust on ethics, well defined power and responsibility and interest coordination are the operation rules and cooperation mechanism of governing community.The fifth chapter is concerned with "realistic basis of the social construction of China’s democratic administration". This chapter first discusses macroscopic environments of the social construction of democratic administration from four aspects of economy, politics, culture and society, and then discusses the achievements and shortcomings of the construction of democratic administration in China. The basic viewpoint of this chapter is that the social construction of democratic administration is the product of profound economic, political, cultural and social changes in China.The sixth chapter is concerned with "the choice of path to social construction of China’s democratic administration:the building of governing community." This chapter explores the ideas and processes of the construction of democratic administration and "governing community" around four aspects of concept construction, subject construction, rule construction and spatial construction. The basic viewpoints of this chapter are as follows. Holding on the public is the basic idea and value pursuit of social construction of democratic administration. Consensus and cooperation are required among such multiple subjects as governments, citizens and social organizations in the social construction of democratic administration. Political identity, well defined power and responsibility, mutual trust on ethics, and interest coordination are the rules of governing community; they are also a guarantee for the social construction of democratic administration. The governing community needs some public domain. Community and cyberspace construction, in which there are a lot of room for the growth of social construction of democratic administration, are the important fields of governing community in our country.The possible innovation of this paper may be somewhat as follows. Initially, the paper systematically combs historical evolution of western democratic administration, and discusses historical evolution rule from rational construction to social construction and from single center governance to multi-centers governance. Secondly, the paper constructs democratic administration with the perspective of social constructivism. Social constructivism provides us with a new perspective of rediscovering public administration and a new framework for analyzing and researching public administration. In the framework of social construction, public administration is the practice activity in which government and society participate together. Governance subjects of public administration have undergone fundamental changes in role orientation, governing ideas and methods. The essence of the social construction of public administration is democratic administration. Thirdly, in this paper, we present a "multi-cooperative governance community dominated by the government" with the methodology of social constructivism, the theoretical support of governance theory,the practical basis in our country and the theoretical logic of bidirectional construction by "state and society". The paper explains the connotation, objective, role orientation, governance field and cooperation mechanism of governing community, and then constructs the governing community from three aspects of concept, subject and governance field.更多还原