中国人民代表大会制度规定与实际过程不一致探因

【作者】 张西勇；

【导师】 赵虎吉；

【作者基本信息】 中共中央党校 ， 政治学理论， 2014， 博士

【摘要】 中国人民代表大会制度是我国根本的政治制度，它构建了国家与民众联接的制度化渠道，是实现人民当家作主的制度保障和载体。然而，从人民代表大会制度运行的政治实践来看，存在着人民代表大会制度法定地位与实际地位不一致的现象。本文所要研究的内容就是探求影响人民代表大会制度规定与实际过程不一致的因素，以期能更好地理解和思考人民代表大会制度的改革与完善，推进社会主义民主政治建设的发展。本文以影响和制约人民代表大会制度功能发挥的因素为研究对象，运用历史制度主义的分析方法，通过追溯人民代表大会制度的生成、路径依赖和制度变迁，来分析导致人民代表大会制度规定和实际过程不一致的原因。研究方法的采用意味着本文是从制度的中观层面出发，来寻求解决现实问题的理论和方案。政治制度的高度密集，使得作为集体行动的政治活动时刻受到规则和制度的形塑，二者之间的互动推动了制度的生成与变迁。因此，本文以制度作为自变量和因变量，考察了环境、理念、行为与制度之间的互动，全方位地对导致人民代表大会制度规定和实际过程不一致的因素进行了检视。本文共分为七章。第一章是导论部分，首先提出了研究的问题，并对国内外有关人民代表大会制度规定和实际过程不一致的研究现状进行了审视，阐述了课题的研究价值，提出了可能的创新点和研究的不足。最后，提出了论文的研究方法，并对相关的概念进行了界定。第二章对人民代表大会制度规定与实际过程的不一致进行了概述。从法理上讲，作为我国根本的政治制度，人民代表大会制度在国家政治生活中处于核心地位，它建构了各政治主体在国家权力机关和运行机制中的地位和关系。然而，在实际运作中，人民代表大会制度的地位有待提高、功能有待发挥。本章从制度群的角度进行了探讨，首先是人民代表大会制度运行的外部制度环境，探讨了党与人民代表大会、人民代表大会与“一府两院”等其他国家机关的关系；其次，从人民代表大会制度自身运行机制的角度进行探讨，分析了人民代表大会制度中选举制度、代表制度和会议制度中存在的不足。第三章探讨了历史进程中的人大制度与行为的互动。历史制度主义从制度关联的角度探讨制度与行为的关系，强调整体性制度框架对行为的影响，行为受到多层面制度的制约和限制。由于制度本身是历史进程的遗产，因此，需要在历史进程中考察制度与行为的互动关系。首先，介绍了人大制度的历史变迁，按历时顺序划分为历史遗产（1954年前）、人大制度的初步发展阶段（1954年—1965年）、人大制度的失灵阶段（1966年—1978年）、人大制度的再造阶段（1979年后）四个阶段；其次，探讨了政治精英对人民代表大会制度生成与变迁的推动。制度文本与现实状况的差距为政治精英发挥主观能动性留下了较大的空间，因此，政治精英的价值偏好往往会影响到对人民代表大会制度的运行，其发展趋势是从权威主义逐步向后权威主义过渡。第四章主要从政治观念角度来探讨人民代表大会制度规定与实际过程的不一致。首先，从权力的价值判断、冲突产生规则、人的有限理性三个层面，论证了民主政治制度安排的逻辑起点，表明民主的目的就在于要实现对权力的驯服和制约，任何民主政治制度都是在政治实践中不断发展完善的；其次，探讨了人民代表大会制度的理论渊源，“主权在民”是其理想范式，“代议民主”指导了其现实构建；最后，分析了政治观念在实体化为制度的过程中出现了变形，从而得出的结论是：指导人大制度生成的是民主主义的政治观念，而在现实运作中是权威主义政治观念起主导作用，这种政治观念的二元化状态是导致人民代表大会制度规定与实际运作不一致的原因之一。第五章探讨了环境的变化对人民代表大会制度生成和功能发挥的影响。1949年新中国成立后，国际环境对中国新政权必须体现出“主权在民”的合法性，与国内环境对构建现代国家制度的迫切需要，加快了人民代表大会制度的生成。而在人民代表大会制度付诸实践的过程中，在实施“赶超战略”、快速实现现代化的背景下，国际上“先进——落后”二元格局、国内“强国家——弱社会”、“强政党——弱政府”的二元结构，又深深地影响到人民代表大会制度运行的制度环境。另外，各种制度之间也是相互影响的，经济制度、政治制度和文化制度之间的互动，构成了人民代表大会制度运行的宏观制度环境，计划经济体制、党的动员机制也影响到人民代表大会制度功能的发挥。第六章探讨了共产党的执政模式对人民代表大会制度的影响。中国发展的路径是政党领导了现代国家制度的建构，并主导着国家的发展进程。长期的革命斗争使得中国共产党形成了高度集权的“一元化”领导体制，民主集中制、党团（组）制度强化了党对政权机关的领导。革命时期形成的战时领导体制的路径依赖，深刻地影响了人民代表大会制度的运行和功能的发挥。第七章是结语部分。市场经济的发展改变了中国的经济结构和社会结构，内部民众希望扩大政治参与的要求、外部民主化的压力、政治精英对治理、善治新理念的接受，为人民代表大会制度的改革与完善提供了充足的动力。更多还原

【Abstract】 The people’s Congress system which constructs the institutionalized channelsbetween the state and the people is China’s fundamental political system. And it is thesystem security and carrier which can make people be in power. However, from thepolitical operational practice of the people’s congress system, there is not the samebetween the legal position and the actual position. The paper will explore the factorswhich causes the disparity between the institutional requirements and the actualprocess of the people’s congress system, which can make us better understand andthink the reform and improvement of the people’s congress system, and promote thedevelopment of socialist democratic politics construction.The research object of the paper is the factors which influences and restricts thefunction of the system of people’s congress. By tracing the generation, pathdependence and changing of the people’s congress system, the paper which uses theanalytical method of historical institutionalism analyzes the reasons which lead to thegap between the provisions and the actual process of the people’s congress system.Adopted research methods means that this paper solves the practical problems of thetheory and scheme from the medium measure. The highly dense of the politicalsystem means political activities as a collective shaped by rules and regulations. Theinteraction between them promotes the formation and changes of the system.Therefore, to make the system as variables and dependent variable, the paper inspectsinteraction between environment, idea, behavior and system, and makes a full rangeof view on the factors leading to the gap between the provisions of the people’scongress system and the actual process.This paper is divided into seven chapters. The first chapter is the introductionpart; it introduces the research issues. Moreover, this chapter which examines theresearch status of the inconsistence between the provisions and the actual process ofthe people’s congress system at home and abroad expounds the research value of thesubject and put forward the possible innovation and deficiency. Finally, this chapterputs forward the research methods and defines related concepts.The second chapter outlines the inconsistency between the provisions and theactual process of the people’s congress system. From a legal perspective, as China’sfundamental political system, the people’s congress system is in the core position in the political life of the country, because it constructs the position and relations of thevarious political subjects which are in the state power organs and running mechanism.However, in actual operation, the position and function of the people’s congressessystem needs to be improved and exerted. From the system group this chapterdiscusses the problem. First of all, it discusses the external system environment of thepeople’s congress system, including the relationship between the Party and thepeople’s congress, people’s congress and “bicameral” and other state organs; secondly,it discusses the system of people’s congresses internal mechanism, including thedeficiencies of the election system, the representative system and the conferencesystem in the system of people’s congress.The third chapter discusses the interaction between the people’s congress systemand behavior in the process of history. The historical institutionalism discusses therelationship between system and behavior from the angle of institutional relationships.And it emphasizes the influence which whole system frame imposes behavior to; italso emphasizes that behavior are limited and restricted by multi-level system. Thesystem itself is a historical process of the heritage, so it is necessary to study theinteraction between institution and behavior in the historical process. Firstly,according to the time sequence the paper introduces the history of the people’scongress system. It is divided into historical heritage (prior to1954), the preliminarydevelopment stage of the people’s congress system (1954-1965), the failure of thepeople’s Congress system (1966-1978), and the recycling stage of the people’scongress system (after1979) of four stages. Secondly, it explores that the politicalelites push on the generation and evolution of the people’s congress system. The gapbetween the system text and the reality leaves a larger space where the political elitescan play subjective initiative. Therefore, the value preference of political elites oftenaffects on the practice of the people’s congress system, and its development trend isfrom authoritarianism backward stepwise authoritarian transition.From the perspective of political ideas, the fourth chapter mainly discusses theinconsistency between the provisions and the actual process of the people’s congresssystem. First of all, from three aspects such as the value judge of the power, conflictmaking rules and the limited reason, the paper discusses the logical starting point ofthe democratic political system and demonstrates that the purpose of the democracy isto realize the tame and restriction of power, any democratic political system is constantly developing in the political practice. Secondly, it discusses the theory originof the people’s congress system.“People’s sovereignty” is its ideal paradigm;“representative democracy theory” guides the realistic construction. Finally, the paperanalyzes the deformation when the political ideas turn into the system. Thus, it isconcluded that the democratic political concept guides the generation of the people’scongress system, as the authoritarian political idea plays the leading role in realityoperation. Therefore, the dualistic political concept is one of the reasons that cause theinconsistence between the provisions and the actual operation of the people’s congresssystem.The fifth chapter discusses the impact of environmental changes on people’scongress system formation and function. When the new China was established in1949, international environment requires that the legitimacy of Chinese new regimemust reflect “the sovereignty of the people”, and domestic environment requiresurgently constructing the modern state institution, which accelerate the formation ofthe people’s congress system. And in the process of people’s congress system intopractice, China implements on “surpassing strategy” to realize rapid modernization.International dualistic pattern of “advanced-backward” and domestic dualisticstructure of “strong country-weak society”,“strong Party-weak government” alsodeeply affects the operation environmental of the people’s congress system. Inaddition, various systems are mutual influence. The interaction among economicsystem, political system and cultural system constitutes the macro institutionalenvironment of the people’s congress system operation. Moreover, the plannedeconomy system and the mobilization of the Party also influence on the function ofthe people’s congress system.The sixth chapter discusses the influence of the ruling mode of the CommunistParty to the people’s congress system. The development path of China is that theParty leads the construction of the modern state system, and plays a dominant role inthe development process of the country. The long-term revolutionary struggle makesthe Chinese Communist Party form a highly centralized “unified” leading system.Democratic centralism and the caucus system strengthen the Party’s leadership to theorgans of political power. Therefore, path dependence of wartime system formed inthe period of the revolution profoundly affects the operation and function of thepeople’s congresses system. The seventh chapter is the conclusion part. The development of the marketeconomy has changed the economic structure and social structure in China. There aresome factors which include the expansion of political participation requirements ofthe internal people, the external democratization pressure and the political eliteacceptance the new ideas of governance, good governance provide adequate powerfor the reform and improvement of the people’s congress system.更多还原