【作者】 汪巧红；

【导师】 刘伟；

【作者基本信息】 华中师范大学 ， 中国近现代史， 2007， 博士

【摘要】 新县制是国民政府于1939年开始在全国正式推行的一种基层政权改革。清末以来，随着地方自治思想的传入，各届政府怀着不同目的进行了不同程度的地方自治，力图强化对基层的控制，把行政权力下沉到民众的家门口。国民政府也打着继承孙中山总理遗教的旗帜，在20世纪30年代进行了十年的地方自治。随着中国共产党力量的壮大和日本入侵的加深，为了加强对基层社会的动员和资源控制，国民政府在吸取30年代基层社会改革的基础上，开始重新对基层政权进行制度设计，实行新县制。湖北省地处中原，地理位置十分重要。当时的省政府主席是蒋介石的忠实跟随者陈诚，因此，他对于新县制的实施不遗余力，提出“新湖北建设”的口号。本文就是以湖北省新县制的实施为考察对象，借助历史学、政治学和经济学的理论为分析工具，选择几种具有代表性和最能体现新县制精神的事务，探讨新县制各项政策的实施状况，并考察这些政策的实施为什么最终偏离了制度设计者的轨道，走入一种“锁定”状态。进而透视整个国民政府为什么最终失去了大陆，并为今天的地方自治提供历史的借鉴。本文研究的时间跨度为1939—1949年。本文主体部分共七章，每章基本内容提要如下。第一章：考察新县制实施时的制度环境。分析了孙中山的地方自治理论以及存在的矛盾之处，他的理论为国民政府的地方自治提供了文本和路径。蒋介石自称继承孙中山衣钵，因此也对地方自治理论进行了阐释，并掺入个人的封建专制理念。以蒋介石为首的国民政府，进行了十年地方自治，结果却弊病百出。在共产党日益占领广大乡村以及日军的军事步步紧逼下，国民政府被迫实行新县制，以强化自己在基层社会的力量和汲取基层资源。第二章：湖北省实施新县制时所处的整个社会环境。湖北地处中部，无论是资源还是地理位置都十分重要。在国民政府成立后，湖北省也进行了十年的基层政权建设，包括政治、经济、教育文化等方面，都为新县制的实施奠定了基础。1938年湖北省政府西迁，在环境相对稳定的情况下，陈诚提出了“新湖北建设计划大纲”，勾画了新湖北的蓝图。在经济方面实行新经济政策，教育文化上独创了计划教育的理念，在政治方面，紧紧配合中央新县制的实施，并制定了相应的政策法规，选定县份进行试验。第三章：新县制是一种制度变迁，首先要在组织机构上进行改革，以便执行各种政策。湖北省也从上到下对基层政权的组织机构进行了设定。县一级包括县等的划分、县政府的编制、人员的设定以及县长权力和地位的界定，此外还有各种县级附属机构，使得县级组织臃肿不堪。区署在新县制下成为县政府的附属机构，其设立是暂时和特殊的，可有可无。湖北省的联保也改为乡镇组织，成为一级自治体，并划分了等级。最有特色的是保甲组织在新县制下发生了变异，融入到了自治当中，成为乡镇下的组织细胞，利用保甲办理自治，其编制也有明确规定，并且其统治日益强化。第四章：新县制中的重要工作之一，就是基层各级民意机关的设立。国民政府对基层民意机关进行了设计和制度安排，包括公民的认定，公职候选人的资格、考试，以及县参议会、乡镇民代表会、保民大会和甲居民会议的职责、成员、成立程序等。湖北省也颁布了一系列的政策，并相继成立了各级民意机关。但是这些的民意机关出现了代表资格不合格，议会提案也多为军事服务，选举多为少数人把持的状况，从而使民众对它毫无兴趣。而沔阳县政府和县参议会的纠纷表明，部分人员凭借他们手中的权力，利用宗族、地缘、血缘、武装等，把民意机关变成了为自己谋取私利的工具，根本无法代表民意。第五章：新县制下的地方财政开始有独立的税源，湖北省也进行了自治财政整理。新县制下，财政体制先后经历了两级制和三级制时期。湖北省也从1940年开始对自治财政进行整理，分三期进行，但是由于种种原因，一直到1949年也没有完成对它的彻底整理。湖北省对于自治财政的整理包括五项自治税捐、清理地方公有款产、实行公共造产和公营事业。但是湖北省的地方财政最终没有建立起来，反而随着形势的发展，使得各种非法摊派制度化。本文分析了摊派产生的原因和种种情形，以及湖北省对摊派所做的限制等，但最终摊派成为湖北省基层政权运作所需经费的主要来源。第六章：国民政府为了培养民众对政府的认同感，因此，在新县制中推行成人民众和小学教育结合的政教合一的国民教育体制。湖北省为了推行国民教育，结合陈诚的“新湖北建设计划”，提出了湖北省的国民教育五年计划，对于提高民众文化水平，起到了一定的作用。但是。新县制下的国民教育也存在着国家控制功能的强化的趋势，表现在三位一体和四位一体的实行、政教联系以及对于师生思想的钳制等方面；另一方面，国民教育的教育功能却因为经费不足、师资缺乏、管理不善和失学民众教育的边缘化而逐渐弱化。第七章：综合考察新县制在实施过程中为什么会进入一种“锁定”状态而无法自拔的原因。新县制在实施过程中产生了新的利益群体，他们为维护自身利益而阻挠新县制更为有效的实施。同时政府也缺乏一种有效的奖惩实施机制，以使他们不受约束。新县制的实施也无法摆脱中国的专制传统，从而使地方自治成为集权专制的补充。新县制自身在实施过程中也由于战争环境和蒋介石的个人理念，无法走出历史的路径依赖，最终运行到一种低效率的“锁定”状态。近代以来，中央一直努力把行政权力的触角下沉到基层，并实行地方自治，直到新县制的实施，结果都无法摆脱中国传统的历史积重和包袱，尤其是中国的专制传统以及在此浸染之下的各种文化，因此所谓地方自治也多偏离了民众。本文通过对湖北省新县制下各项政策的分析，透视了国民政府乃至近代整个中国为什么在基层的改革。都无法取得满意的效果的历史原因，同时也为今天的村民自治提供了历史的借鉴。更多还原

【Abstract】 The new county system is the reformation at the basic level which was carried out by the National Government from 1939.Every government attempted to push on local self-government since the late Qing dynasty in order to strengthen the domination of the demos. The National Government carried out ten years local self-government of 1930s under cover of patriotism which claimed to be inherited the teachings left by the deceased premier. With the stronger of Chinese Communist and deeper of invasion of Japanese, The National Government began to practice the new county system based on the reform of 1930s for the sake of Controls of grass-roots. Hubei province lies in the central plains of China, and its geographical position is very important. At that time, the chairman of provincial government was Chencheng who was firm supporter of Chiang kai-shek, therefore, he tried his best to practice the new county system and proposed slogan of building new Hubei. I main study the situation of the new county system of Hubei province, at the same time I choose several works which can represent the spirit of the new county system , and I want to analyze the reason that the outcome of the new county system deviated from the design of the National Government and ended up with its useless take advantage of the theory of history、politics and economics. Furthermore, I wan to perspective the reason why the National Government failed and to provide experiences for local autonomy at the present. The time duration of the paper’s research is from the year 1939 to the year 1949.The main body of the paper is sub-divided into seven parts, and the basic content of each chapter is briefly introduced as follows.Chapter 1 explains the environment of system which the new county system began to practice. Sun Yat-sen proposed his theory of local autonomy, but his theory were conflicting in some respects, and this conflicting philosophy was the text of reforming at the county level of the National Government. after this, Chiang kai-shek exerted and illuminated the local autonomy theory of Sun Yat-sen, and mixed into his feudalism ideas. Under his guidance, the National Government carried ten years local self-government but failed. The National Government was forced to practice the new county system in order to strengthen his domination at the county with the development of martial situation.Chapter 2 illustrates the social environment of Hubei province which the new county system began to practice. Hubei province lies in the central plains of China whose geographical position is very important, and this province is rich in natural resources. The provincial government proceeded ten years construction of the grass-roots organization of the village in 1930s, including politics、economy、education and so on. All these were based on the carrying out of the new county system. Hubei Government moved the west of province in 1938, and Chencheng proposed the plan how to build new Hubei province, including new economic policy, planned education. At the same time, they carried on the new county system so as to act in concert with the policy of central government. They drew up policy and legislation and first chose several counties to test.Chapter 3 discusses the organizational structure, because the new county system is a kind of institutional change which needs corresponding organization to run all kind of policy. Hubei Government designed the organization of grass-roots unit, including the grade of county, the establishment of prefectural government office, the power and status of podesta. District was the secondary organ of the governments of county, and it was temporary, special and not essential. Joint guaranty was replaced by villages and towns which was a kind of commune and was divided several grades. It was the most characteristic that the baojia system was blended into autonomy system and was the cell of villages and towns. Hubei Government prescribed the establishment of Baojia System and put into practice self-governing, and their domination strengthen increasingly.Chapter 4 is about the establishment of the grass-roots public-opinion-expressing organization of all levels, because it was an important point of local autonomy. The Republic of China carried on various designs and systematic arrangements concerning the grass-roots public opinion organization, including the citizen affirmation, the qualifications, examination of the public position candidate, and the congressional job, member of residents of people’s conference as well as the establishing procedure etc . from the county parliament to the people’s commissary meeting of country and town. The province of Hubei also practiced a series of policy, and established all levels of public sentiment organization one after another. But these so-called public sentiment organizations didn’t agree with the fact, such as the representative’s qualifications were unqualified, and the people didn’t interest in it. The Mianyang county government and county disputes of the parliaments indicated that a part of personnel used the power in their hands and the clan, blood and born place relationship to make it serve for their own benefit, couldn’t represent the public sentiment.Chapter 5:Under the new county system, the local finance had its independent tax source, and the Hubei province carried on the autonomy finance in order to match with the Central .The county and villages all had their independent finance, and the local finance system experienced two-class and three-class system period. The province of Hubei also carried on the sorting to the autonomy public finance since 1940 at three stages, but because of various reasons, until 1949 it hadn’t been finished. The sorting of Hubei province toward the autonomy finance included five autonomy taxes , checking up the public property , practicing the public building property and the government operated business. But the public finance of Hubei province finally was not build up, on the contrary with the development of the military situation, it made various illegal assign duties systematical. Analyzing the reason and various situations of the phenomenon of assign duties as well as the effort and limit the province of Hubei had done, in end assign duties were the main source of the budget need for the run of the grass-roots society of Hubei province.Chapter 6: In order to cultivate the people’s approbation feeling, the Republic of China put the public education and the primary school education together and practiced the education of integration in religion and politics. Under the new county system, the citizen education had its special meaning and reason. In order to carry out the citizen education, combining Chen Cheng’s construction plan in new Hubei, the province promoted two five-year plans in citizen education, which had a certain effect on improving the people’ s cultural level. But the enhance of the control function was also existed, such as the practice of three to one or four to one, contacting the religion and politic together and controlling the teachers and students’ thoughts etc. On the other hand, the public education function was on the decline because of the shortage of budget and teachers, bad management and the edge trend of the adult education.Chapter 7 will do a synthesized analysis on why the new county system was not so effective in the course of practice but fell into a frozen condition. During the practice of the new county system, it produced new benefit colonies, which obstructed the movement of the new system, and the emergence of various accusations of the Bao-jia organization personnel was the best proof. This benefits community made use of various influence of Chinese tradition to protect their own benefit and obstruct the effective practice of the new county system. At the same time the lack of valid prize and punishment mechanism also made them free from the stipulation. The implement of the new county system couldn’t get away from the Chinese despotic tradition, whether culture or politics, people or leaders, the grass-roots unit or the Central. The local autonomy since the late Qing dynasty was almost a complement to the despotic rule . The new county system couldn’t come out from the path dependence of the history, and ended be low efficient states and forth in the course of practicing, because of the war environment and Jiang Jie-shi’s personal principle,Since the modern age, the Central tried to descend the antenna of the administrational power to the basic level, and practiced the local autonomy. Until the implement of the new county system, its result couldn’t get away from the accumulation and heavy burden of the Chinese tradition and history, especially the despotic tradition and culture, thus the so-called local autonomy deviated from people more. This thesis analyzed the reason why the reform to the grass-roots society didn’t produce satisfied effect in the Republic of China as well as the whole modern China through the analysis of various policies under the county system of Hubei province. The conclusion is the reason lying in that it could not get away from the historical path dependence, which also provided the historical lessons for the villagers’ autonomy of the village today.更多还原