【作者】 张国茹；

【导师】 王顺生；

【作者基本信息】 中国人民大学 ， 中共党史， 2009， 博士

【摘要】 中国是一个农村人口占绝大多数的大国,要解决中国的问题,离不开广大农民。历史已经证明,谁能够动员起农民,使农村实现各种力量的整合,谁就能取得革命和建设的成功。延安时期,是中国共产党创造历史辉煌的时期,其中在根据地成功进行的基层政权建设,满足了广大农民的基本利益需求,并实现对乡村社会的控制和民众的动员,构成这一辉煌时期重要的组成部分。陕甘宁边区作为中共中央所在地,又处于相对和平的环境,新民主主义的政治、经济、文化纲领在此得到全面贯彻和实施,成为全国的典型。因此,对延安时期陕甘宁边区基层政权建设进行研究能够探究共产党取得革命胜利的深层次原因。同时,现实需要从历史中汲取营养。中国共产党农村基层政权建设经历了一个发生、发展、转折、变化的过程,历史的痕印和积淀无时不在地影响着当前的实践。放宽历史的视野,延安时期中国共产党基层政权建设的思想、原则、路径、目的等,可以为当前的基层政权建设提供历史借鉴和启发。但是目前学术界对此进行专题研究的成果尚不多见,基于此,本文选择延安时期陕甘宁边区基层政权建设作为研究对象,主要依据大量历史资料,充分吸收学术界研究已有成果,在马克思主义唯物史观的指导下,运用传统史学研究方法,同时借鉴政治学和社会学等学科的理论和方法,尽量呈现所研究课题复杂的历史全貌。本文由导论、正文和结束语三部分组成。导论主要阐述了选题的缘由及意义、研究现状、资料来源、研究方法、研究思路、学术创新和不足等。正文包括五章内容。第一章,基层政权新格局。延安时期,在边区基层形成了由党支部领导的党、政、民众团体三位一体的政权新格局。边区的乡市政权系统主要由民意机关、政府机关及其附属的各种委员会组成,这种正式的法定权力机构成为乡村社会权力的主体。乡(市)政权实行议行合一制。乡(或相当于乡的市)没有正式的司法机关,但设有司法辅助机关,主要工作是进行调解,构成边区司法工作的重要组成部分。中国共产党领导下的支部在基层权力格局中占据领导地位,统领乡村政权和民众团体的工作。边区非常重视乡村支部的建设,加强区委、县委及以上各级党委对支部工作的领导和帮助,注意创造模范支部,推广其经验,加强支部组织建设和支部教育工作,提高党员质量,同时纠正支部领导工作中存在的包揽一切和放弃领导的错误倾向,以发挥支部正确的领导作用。群众团体的发展成为基层政权的重要支持和依靠。乡级的群众团体主要包括妇女联合会、青年救国会、工会和农民会,还有各种经济组织和教育组织。它们接受共产党的领导,有自己的组织系统,实行民主集中制。这些群众团体的发展,在创造政权、巩固政权和支持抗日方面都起到了重要作用。同时,在基层政权贯彻“精兵简政”政策,通过调整机构、裁汰冗员、干部下移、增设乡文书、重新划分审定县乡政权的职权和业务等措施,进一步实现基层政权的精简和高效。这种新权力格局,一方面上情能够下达,另一方面,下情也能够上达,保证共产党的路线方针政策在基层社会的推行,同时代表广大乡村民众的利益,克服了旧有权力结构的缺陷,促进共产党政权的下沉和乡村社会的发展。第二章,基层民主选举。民主选举是陕甘宁边区政权产生的根本途径。为了打破基层民众对政治的冷漠态度,使其正确地看待选举,积极参与选举,行使自己应有的权利,中国共产党人在宣传发动上做了大量艰苦细致的工作,其工作的积极主动程度、细心耐心程度、艰苦努力程度,都是老百姓没有经历过的,因此他们对共产党的政策主张产生了深深的认同,政治觉悟和参加选举运动的积极性都大大提高。通过参与民主选举,使基层民众真正履行自己最神圣的直接民权。直接选举原则在乡级贯彻得最好,一般的选民和干部通过选举实践的教育,对选举有了正确的认识,认为运用民主向政府提意见批评、质问政府的工作,是不可放过的权利,所以在乡选中,基层民众踊跃检查政府工作。为了便于广大选民行使自己当家作主的权利,边区还在投票方法上创造了适合农村居住特点、不同选民文化程度、不同时间参与投票的票选法,保证大多数人能够参加到选举中来。随着民族矛盾上升为主要矛盾,共产党在政权建设上提出“三三制”原则,并把它贯彻到乡村中。为了避免“三三制”原则贯彻过程中出现的党员包办和放弃党的领导两个错误倾向,共产党采用了保证的方式,保证党内和党外人士当选,或采取完全民主的方式,以此加强党的领导。通过民主选举,把乡村中的优秀人物、积极分子,即民众认为的“好人”,选了出来,改造了乡村政权,实现其优化,民众在实践中感受到共产党政权是为老百姓着想的政权,于是衷心拥护,使其在广大乡村社会立足扎根。第三章,基层干部队伍建设。一个政权是否具有健康的肌体和发展的活力,关键在于这个政权内部的干部队伍。边区政府充分认识到基层干部队伍建设的重要性,在极其艰苦复杂的条件下,采取了一系列措施加强边区的基层干部队伍建设。针对基层干部文化水平低,绝大部分是文盲的现状,边区注意加强基层干部的学习教育,学习教育的形式多样,与基层干部的实际相结合,并建立了各种学习制度。针对基层干部安于现状、因袭老一套作风、独立工作能力差等现状,上级对基层干部进行工作上的帮助指导。在帮助指导过程中,创造了许多具体的方法:重视调查研究;帮助工作具体;同时帮助指导还不能包办代替。边区还特别重视在基层干部队伍中进行廉政建设,制订了各种规章制度、政策法规,厉行廉洁政治,严惩公务人员的贪污、假公济私等行为,加强监督,解决基层干部具体困难,直接对基层干部形成约束激励机制,使基层干部基本做到廉洁奉公,受到群众的赞扬和爱戴。通过这些具体措施的实施,边区的基层干部队伍整体的文化素质、工作能力、工作作风得到一定提高和改善,克服了自身的一些缺点,成为真正为民办事的好干部好公仆,密切了党群干群关系,得到了乡村民众的认同,成功重塑了乡村权威。第四章,建设少数民族自治区乡政权。民族区域自治是中国共产党把马克思主义关于民族理论的基本原则同中国统一多民族国家的具体国情相结合而产生的一项民族政策,在延安时期的边区得到初步实践,也为边区的基层政权建设增添了新的内容。共产党的民族纲领经历了一个逐步转变的过程,从民族自决原则下的民族自治到民族自决与民族区域自治并提,并向主要强调民族区域自治过渡。到延安时期,为了团结各民族抗战,根据民族区域自治的民族纲领,中国共产党和边区政府领导蒙回民族人民从1942年起先后建立了六个回民自治区乡和一个蒙民自治区。居住在少数民族自治区、乡的居民,可以通过行使自己的民主权力,按照自己的意愿通过直接投票,选出代表群众利益的参议员和区、乡长,组成本民族自治机关,行使自治权,管理本民族内部事务。少数民族自治区乡政府的工作主要是发展生产,安置外来少数民族移民,发展少数民族教育,团结少数民族与汉族等。为了进一步建设少数民族自治区乡政权,发展少数民族政治经济文化事业,广泛团结少数民族,实现真正的民族平等,边区政府特别重视少数民族干部的培养工作。总之,建设少数民族自治区乡政权,在中国历史上是一个创举,尽管规模不大,但在保障少数民族平等权力,自主管理少数民族地区内部事务,提升少数民族政治经济文化地位,调动少数民族积极性,团结少数民族共同抗日等方面起到了重要作用,已经初步显示出这个政策的生机和活力,为民族区域自治理论的发展和大规模建立少数民族自治地方提供重要的实践经验。第五章,陕甘宁边区基层政权建设的特点——兼与国民党保甲制度比较。在20世纪上半叶的中国,活跃在中国政治舞台上的两大主角——中国共产党和中国国民党对乡村社会的争夺和竞争,是这一时期历史的重要内容。把共产党在边区的基层政权建设与同时期国民党在基层推行的保甲制进行比较,更能体现出边区基层政权建设的特色。第一,自治性。国民党想“融保甲于自治之中”,通过加强对基层社会的控制实现乡村自治,结果保甲制的封建宗法性与乡村自治的民权主义背道而驰,而且国民党始终把加强对基层社会的控制放在首位,为反共防共服务,致使自治目标处于从属地位而被忽视,再加上当时经济凋敝,社会动荡,民生困苦,致使国民党这种融保甲于自治之中的目标落空。而中国共产党自觉高举孙中山“三民主义”大旗,大力倡导乡村自治,制定了一系列法律规章制度,努力践行民主政治,初步实现了边区的乡村自治。第二,惠民性。国民党推行保甲制的最直接动因在于“反共剿共”,新县制推行后,保甲制的功能由自卫转向自卫和自治合一,但是,过分强调“管”,即控制人民的功能,导致建设乡村的功能严重弱化。另外,保甲行政人员多由土劣充任,上任后多中饱私囊,鱼肉乡里,与民众严重对立,致使保甲制的推行严重背离了民众的利益。而共产党在边区进行的基层政权建设更加注意保护和发展人民的经济文化利益,使人民群众生活水平和文化教育水平有了很大提高,而且边区基层干部与广大乡村民众血肉相连,利益相关,基本上具有廉洁艰苦的工作作风,终日为抗战动员及人民利益服务,甘于奉献,为民解决实际困难和问题,受到广大百姓的爱戴。第三,动员性。保甲制的推行并没有打破千百年来广大乡村民众对政治的冷漠态度。究其原因,保甲制没有解决农民最迫切的土地问题,反而加大了人民的各种负担,同时也未打破乡村中传统的人伦关系,致使保甲制的乡村动员失效。而共产党在边区的基层政权建设通过实行普遍、直接、平等、无记名的投票选举制,保证了最广大的乡村民众真正履行自己最神圣的民主权利,另外,共产党带给民众看得见、摸得着的物质实惠,从而在基层成功树立了共产党政权爱民、惠民的形象,实现了乡村民众对其广泛认同。结束语部分,分析了延安时期陕甘宁边区基层政权建设的历史定位、历史局限和历史启迪。延安时期陕甘宁边区基层政权建设是中国现代化进程中成功实现乡村民众动员和乡村社会整合的发端,但受当时社会历史条件限制,还存在没有实现完全正规化的目标、基层党政关系始终存在问题、在建设中多采取群众运动的方式、农民参与属于被动式参与等局限。历史已经走远,基层政权建设的课题依然继续,历史上的相关实践为今天的基层政权建设提供重要启迪:基层政权建设需要依靠广大农民,同时满足他们最迫切的利益需求;基层政权建设需要坚持中国共产党自上而下的领导来实现;基层政权建设需要结合具体实际。更多还原

【Abstract】 China is a big country and its rural population accounts for a vast majority of the population. Solving China’s problems can not be separated from the masses of peasants. History has proven that the person who can mobilize the peasant from the rural and realize the integration of the various forces will be able to achieve the success of the revolution and construction. During Yan’an period, the Communist Party of China created the historical glory. During this period, the CPC met the basic interests’of the peasants’masses, realized the control of rural society and mobilization of the mass by successfully building of the grass-roots political power at base level. In a relatively peaceful environment, as the location of the CPC Central Committee, the new democratic, political, economic, and cultural programs were fully implemented within the Shaanxi-Gansu-Ningxia Border Region. The Border Region became the country’s model. Therefore, studying the building of grass-roots political power in Shaanxi-Gansu-Ningxia Border Region during the Yan’an period may reflect the deep-seated reasons why does the Communist revolution win in the end. At the same time, the reality required to draw nutrition from the history. The building of rural grass-roots political power carried out by the Communist Party of China has undergone a process of four stage, they are beginning, developing, turning and changing. Traces and the accumulation of the history may constantly affect current practice. Widening the historical perspectives, the idea, principle, path, purpose and so on of the building grassroots political power of the Communist Party of China during Yan’an period provide the reference and inspiration for the building of current grass-roots regime. However, the thematic research on this topic is still rarely seen. In this paper, I select the building of grass-roots political power in Shaanxi-Gansu-Ningxia Border Region during Yan’an period as the research subject and try to depict its historical picture depending on substantial historical data and the previous achievements under the guidance of historical materialism of Marxist.Except for the introduction, the paper includes five chapters and conclusion.Chapter one emphasizes on the new pattern of grass-roots political power. During Yanan Period, the new pattern of three-in-one took shape led by the party branch by organizing party, government and mass together. Border regime in the rural or urban system was composed mainly of public institutions, government agencies and its various subsidiary committees that constitute the main power of rural society. Township (city) government implemented system combined discussion and action. There was no formal judiciary in township (or the equivalent of township or city), but subsidiary organs of justice carrying out mediation that constituted an important part of justice administration in the Border. Branches of the Communist Party of China were the leading power, guiding the regime and the rural groups. Border Region attached great importance to the construction of rural branches and took a series of measures. Mass organizations supported and relied on the grass-roots government, including Women’s Federation, Youth National Salvation Council, trade union and farmers, as well as various economic organizations and educational organizations. The organizations accepted the leadership of the Communist Party and had its own system to implement democratic centralism. The development of these mass organizations had played an important role to create and consolidate the regime and support the anti-Japanese struggle. At the same time, the "streamlining" policy was carried out at the grass-roots political power in order to realize further streamlining and efficiency. The new power structure guaranteed the implementation of the Communist Party’s guidelines, principles and policy at the grass-roots society, and represented the interests of the broad rural masses and to overcome the defects of the old power structure.Chapter two expounds the grass-roots democratic elections. Democratic election was the fundamental way to produce power in Shaanxi-Gansu-Ningxia Border Region. In order to break the grass-roots people’s political indifference, lead them to the correct view of the election and actively participate in the elections and exercise their rights, Chinese communists did a great deal of arduous and painstaking work on publicity and mobilization the masses doing what they never experienced. Therefore, the masses had a profound identity to the policies of the Communist Party. Their political awareness and enthusiasm participating in the election had been greatly enhanced. Through participation in democratic elections, the grass-roots people fulfilled their civil rights directly. The principle of direct elections was implemented best at township level. Grass-roots people checked actively the government work. To facilitate the masters of voters to exercise their voting rights, the Border created various voting ways and ensured the majority of people taking part in the elections. With the ethnic conflicts rising to the principal contradiction, the Communist Party took "Three-three on system" principle on the power construction carried out in the countryside. Through democratic elections, the outstanding rural figures, activists, who were called the "good guys" were elected. The rural power was transformed and optimized.Chapter three explains the construction on the grass-roots cadres. The key whether a regime holding a healthy body and the vitality of development, lies in the ranks of cadres within the regime. Being fully aware of the importance of the grass-roots cadres in the extremely difficult and complex conditions, the Government of Border Region adopted a series of measures to strengthen the grass-roots cadres, including educating, helping and guiding, cleaning of the government. Through these concrete measures, the grass-roots cadre teams of the Border became really good cadre of public servants and were agreed by the rural people. As a result, the relations between the party and masses were closer and the rural authority was reshaped.Chapter four emphasizes on the construction of the autonomous rural regime of ethnic minority. The policy of Regional Autonomy of Minority Nationalities got preliminary practice in the Border Area during Yan’an period that added new content for the grass-roots political power in the Border Area. According to the national program of Regional Autonomy of Minority, the CPC and the Government had set up six Hui Autonomous Regions and a Mongolia Autonomous Region since 1942. The rural residents living in Minority Autonomous Regions could exercise their democratic rights and elect their representatives to the interests of the masses in accordance with their wishes through direct ballot. These representatives were composed of the autonomous bodies, exercised their autonomy and managed the nation’s internal affairs. The government of Autonomous Regions of Minorities was mainly to develop production, place foreign minority immigrants, develop minority education, unite with the Han nationality and other ethnic minorities. At the same time, the Border Region Government attached particular importance to the work on cultivating minority cadres. Anyway the construction on rural minority autonomous regime had an important historical role.Chapter five expounds the characteristics of building grassroots political power in Shaanxi-Gansu-Ningxia Border Region -- compared with the KMT Baojia system. First one is the self-governing. The KMT did not achieve the purpose of“Baojia with a combination of self-government”. And the Communist Party of China implemented initially the village autonomy in Border. Second one is making the benefits to the people. The implementation of Baojia system seriously deviated from the interests of the people. The construction of the grass-roots political power of CPC in the Border Area paid more attention to the protection and development of the people’s economic and cultural benefits. Third one is the mobilization. The implementation of Baojia system did not break the political apathy of the broad rural people for thousands of years. The construction on grass-roots political power of CPC in the Border Region achieved wide agreement of the rural people.The Conclusion analyzes the historical location, the historical limitations and the historical enlightenment of the building of grassroots political power in Shaanxi-Gansu-Ningxia Border Region during Yan’an period. It is the beginning that implemented successfully rural mobilization and social integration at the process of modernization. But there were many limitations for being subject to the social and historical conditions at that time. The objectives of standardization were not fully realized. The relations between grassroots party and government had been a problem. The way of mass movement was often taken and the participation of rural masses was passive. In spite of this, the relevance in history provided important inspiration for today’s practice of building grassroots political power.更多还原