平衡视阈下的当代中国信访制度研究

【作者】 叶笑云；

【导师】 浦兴祖；

【作者基本信息】 复旦大学 ， 中外政治制度， 2008， 博士

【摘要】 在中国这样的超大型的发展中国家中,如何构建一种有效的平衡机制,成为中国政治发展中非常关键的内容。新中国建立之后,一元社会结构中,围绕着信访制度,执政党、政府和民众之间形成了一种非常复杂的平衡关系——运动式的平衡。改革开放后,随着社会结构的转型,旧的平衡被打破,而新的平衡关系尚未形成,在整个过渡时期,执政党的制度创新和政策推动就成为构建新的平衡关系的关键因素。本文首先分析在一元社会结构中,执政党如何运用信访制度在政府和民众之间构建了一种控制中的运动式平衡关系,然后研究在社会结构转型的冲击下,这种平衡逐步丧失的政治机制及其内在逻辑。全文内容分为以下五章:第一章分析新中国信访制度形成的理论根源、历史起点和社会文化等主要因素。文章认为,作为中国共产党精神指南的马列主义毛泽东思想,基于巴黎公社经验和对官僚制的反思而形成的人民民主理论是信访制度形成的理论根源;列宁创建的社会主义苏维埃共和国所建立的“信访”制度对于新中国的信访制度建设具有某种导向作用:新中国的信访制度萌芽于新民主主义革命时期中国共产党创建的革命根据地,是革命党群众路线的体现。中华人民共和国的建立,不仅意味着中国共产党从革命的政党转化为执掌国家政权的党,而且意味着政治生态不可逆转的转换:一方面,政党的精神植入国家的肌体,赋予国家一种现代性的精神:另一方面,国家的逻辑开始运行并嵌入党民关系之中。因此,建立信访制度就成为新中国国家政权建设的结构性需要。当然,信访制度建立的现实动力则来源于具有深厚的传统权威情结和现代民主意识萌芽的中国民众。第二章分析在一元社会结构中,信访制度的形态及其功能。在这一结构中,既有基于日常政治的利益表达式信访,又有与运动政治相配合的动员式信访,总体上呈现为间歇式爆发的态势。中国共产党遵循革命的逻辑,通过信访制度克服官僚制的弊端,实现对政府官僚的监督和控制;并且在满足民众部分需求的同时,对民众进行教育和改造,实现社会控制。通过与政治运动的相互配合,信访制度有助于共产党实现对政府和民众的平衡控制。第三章分析信访制度的治理模式及其绩效问题,以及怎样从文化大革命中的功能紊乱走向平衡修复。作为反官僚主义机制的信访机构,自身走向官僚化,不论是官僚代理模式还是精英模式,其实际效能都相当有限,因此信访制度的运作主要是靠群众性的政治运动来推动,这一方面推进了信访制度的制度化进程,形成了运动式的治理模式,另一方面则形成了对于政治运动的依赖;而制度本身又对政治运动具有动员和纠错功能,从而实现了问题和权力的封闭式再生产。然而,革命逻辑的泛化导致制度功能的紊乱,最后通过信访制度平反冤假错案,实现拨乱反正和秩序恢复,执政党通过制度进行了自我纠错,合法性基础得以修复,政治体系得以恢复平衡。第四章主要分析社会结构转型中政治生态的变化如何促进信访制度的功能变化,着重分析90年代以后市场导向的非均衡发展如何“制造’’了信访制度中的“倒逼”机制,引发了信访制度的危机。市场机制的引入开始了党和政府主导的社会结构的多元化转型,80年代形成了过渡型的信访,一方面解决历史遗留问题,另一方面逐渐成为民众的现实利益表达的管道。而非均衡发展成为20世纪90年代以来的信访制度内“倒逼”机制形成的重要根源,信访制度成为民意表达最主要的制度形式。大量的初信初访意味着制度面临困境,而重复信访率的上升等现象则意味着制度功能的问题化。第五章分析为什么通过制度强化应对倒逼机制的做法会形成制度强化的悖论。倒逼机制的形成既造成了制度的危机,又促使制度通过自我变革得以强化。地方政府主要形成了两种运作模式,即解决问题型和管制型,前者难以解决庞大治理目标与有限治理资源之间的矛盾,后者则激发了民众的越级上访等所谓“越轨”行为,从而使得制度失序现象更为严重。路径依赖下的变革逻辑是强化信访制度,促进信访治理制度化和法治化,以期提高制度的效能——加强沟通,维护权益和秩序。但是“稳定”话语中的信访制度,陷入了两难困境,形成了形式(权利和秩序的平衡)与精神(强调秩序)的疏离和背反:社会控制和秩序维护功能的强化导致制度运作中实际功能的变异,加剧了政府和民众之间、中央和地方之间的紧张关系,导致权力的内卷化和社会激进化,从而影响执政党的权力再生产和权威认同,形成了制度强化的悖论。由此,得出本文总的结论,一元社会结构中信访制度是执政党借以平衡政府和民众两者关系的较为有效的机制,信访制度形成了与政治运动相配合的运动式治理机制,从而在政府与民众之阳J实现了运动式的平衡。而在社会结构转型过程中,非均衡发展使得“信访”成为民众进行利益表达的重要机制,并形成了对于制度的倒逼机制,是制度危机出现的社会政治生态。而稳定话语中的信访制度难以在政府和民众之间有效构建平衡关系。信访制度的问题揭示了中国政治发展进程中的内在逻辑,如何重新构建政府和民众之间的平衡关系,成为中国政治发展的核心问题。政府和民众之间平衡关系的重新构建有赖于执政党的政策推动和制度变革。实现从结构平衡向制度平衡的转换,从运动式的运行机制向民主体制下的运行机制转换,是中国政治发展和信访制度困境舒解的内在需求。制度的民主化法治化建设、发展战略的转型以及推进社会的组织化建设的源头治理型才是最终恢复政治体系平衡的关键。更多还原

【Abstract】 Expression of opinion and political communication are two functions of the "letters and visits" system, so "letters and visits" system is not only a resource to maintain the legitimacy of the CCP and the government, but also an important part of power reproduction. Order and stability is necessary for modernization, so to enhance state’s capacity which core is institutionalization becomes an important part of the state-building, an effective institutional basis for political communication and expression of interests as well. Therefore, the "letters and visits" system forms a very complex and complementary balanced relation within the CCP, the government and the people. In practice, the tension and conflict within them is one of the causes of the predicament of the "letters and visits" system, and imbalance relations of the government and the people. So balancing the relations depends on the CCP’ policy and institutional change.This paper use five chapters to study the inherent logic of how the CCP use the "letters and visits" system to build a controlling and moving balance between the government and the people in the unified of the social governance structure, and how the "letters and visits" system lose balance between the two’s relationship in the transformation of social structure.Chapter I analyses the theoretical source of the "letters and visits" system, historical starting point and forming factors in the beginning of the state’s founding. The article put forward that as the guiding spirit of Marxism-Leninism and Mao Zedong Thought of the CCP, the people’s democratic theory which is based on the reflection of the rising and falling of dynasties history is the theoretical root of the "letters and visits" system. As the first socialist country, the Soviet republics created by Lenin, the petition system they created undoubtedly had a guidance role for China’s practice. The "letters and visits" system germing in the revolutionary base areas which was created by the CCP during the new democratic revolution was a manifestation of the ruling party’s mass line. The establishment of new state power, the transformation of the CCP from a revolutionary party into a state-charged party means that the political environment has changed, and the state logic began running in the relationship between the party and people. The spirit of the CCP began to embed into the State framework, making the state has modern spirit, and thus state logic created the need for the establishment of the system. The direct driving force for the establishment of the "letters and visits" system is from the Chinese people who not only had budding sense of modern democracy, but also had profound feeling of the traditional authority.Chapter II analyses the function of the "letters and visits" system and its balancing role in the revolution logic in the unified social managed structure. The people’s expression of interests outbreak intermittently, not only based on the day-to-day politics, but developed a mobilized petition coordinated with the political campaign. In the logic of the revolution, the CCP overcome the drawbacks of the bureaucratic system through the "letters and visits" system, realize monitoring of the government bureaucracy, meet part needs of the people while achieving social control by education and transformation of the people, "letters and visits" system achieved the moving- balance that Communist Party controlled between the government and the people in the political campaign’ intermittent outbreak.Chapter III analyses the "letters and visits" system’ model of governance and performance issues, as well as how it repairs balance dysfunction after the Cultural Revolution. As an anti-bureaucratic mechanism, the petition system has its own bureaucracy, and thus the petition system’ performance of the bureaucratic-proxy mode and elite mode is quite limited. So the petition system mainly relies on mass political movement to promote, not only promoting the institutionalization of the petition system, forming a campaign-style model of governance, but also forming dependence on political movement, the system itself has functions of the political mobilization and error correction of the movement, and thus it achieves a closed reproduction cycle of power. The Cultural Revolution logic led to system’s disorder. Finally the political system balance is restored by vindicating of trumped-up case through the "letters and visits" system to achieve order out of chaos and order, the CCP realize self-correcting through the system, and repair the basis of legitimacy.Chapter IV analyses how political ecology of the social restructuring promoted the "letters and visits" system’s functions to change, and how the market-oriented non-balanced development in the 1990s "created" the "Daobi"(anti-driving) mechanism and trigger the "letters and visits" system crisis. The introduction of market mechanisms made social governance structure diverse under the party and the government-led restructuring. A transitional type of "letters and visits" formed in the 1980s, on the one hand solving the problems left over by history, on the other hand gradually becoming the people’s pipeline of expression of interests. But the non-balanced development formed the major causes of the "Daobi" mechanism in the 1990s, the "letters and visits" system became the main form of the public expression, but the participation "explosion" resulted in the crisis of the system.Chapter V analyses how the CCP strengthened the system to response the Daobi mechanism, and formed strengthening paradox. Daobi mechanism not only caused the crisis but also prompted self-strengthening through system transformation. The local governments formed two operation modes, that is solve-type and control-type. The former is difficult to solve the contradiction between the huge governance objectives and the limited resources, and the latter has inspired the people leapfrog petition and other so-called "deviant" behavior, and as a result system disorder phenomenon is even more serious. The logic of the transformation under path- dependent is to strengthen the "letters and visits" system, and promote the "letters and visits" to manage through institutionalizing and the rule of law, with a view to enhance theeffectiveness of the system------to strengthen communication and build order toprotect their interests. However, "stability" system for the spirit of the "letters and visits" system trapped in a dilemma and formed alienation and anti-back which is between form (the balance of rights and order) and the spirit (that order). The function of social control and order was strengthened; it also exacerbated the tensions between the government and the people, the central and local and led to power involving and social radical phenomenon.Thus, the conclusion reached in this paper, is that "letters and visits" system is an effective mechanism of the CCP party to balance the relationship between the government and the people in the unified community. The petition system formed a campaigning-governance model coordinated to the political movement and with which the balance between the government and the people has been achieved. In the relationship between the government and the people, the ruling party’s policy direction is the key for the "letters and visits" system to balance the relationship between the two leading factors. In the process of the government-leading restructuring of social governance, the "petition" for the interests of the people in the non-balanced development became an important mechanism. However, the emphases of the stability by the ruling party make it is difficult to achieve an effective balance between the government and the people. The solution to the crisis of the system and restoration of the balance between the government and public relations depends on the CCP’ policy and institutional change.At last, this article put forward that the key to alleviate the plight of petition system is "open source". The democratization of the institutions and the building the rule of law, transition of development strategy, as well as the restructuring of the organization are the fundamental sources, and the keys to restore balance of the political system.更多还原