美国进步时代的政府治理：1890-1920

【作者】 王涵；

【导师】 竺乾威；

【作者基本信息】 复旦大学 ， 行政管理， 2009， 博士

【摘要】 19世纪末美国开始转型成为以工业化和城市化为主要特征的资本主义社会,经济的转型伴随着重大而深刻的社会结构和政治结构的变迁,尤其是在自由放任主义政策导向下,对市场行为的过份依赖与放纵,使经济发展中出现了严重的失控和无序现象,公司霸权逐渐形成,不仅直接引发了市场失灵,还加剧了政治腐败,导致社会失范。在市场失灵和政府失败同时存在的情况下,为了维护经济自由和社会公正,19世纪末20世纪初美国兴起了一场影响深远的改革运动,又称为进步主义运动,这一时期被称为进步时代。进步主义运动是一场旨在维护社会公正,由社会各界和政府共同参与和推动的多元治理运动,而政府在进步时代元治理职权的行使,为美国健康和谐的发展起到了力挽狂澜的作用。在进步主义运动之初,政府采取自由放任政策,未能及时地对社会治理需求作出回应。针对工业化引发的社会问题,社会各阶层首先展开了自组织治理。但在社会转型期,由于旧的调整机制已被破坏,而新的调整机制还有待建设,缺乏整合利益和治理机制的力量,在多元治理过程中出现的利益分歧和治理目标分化,削弱了自组织治理能力,使自组织治理难以对组织良好的公司霸权形成有效制约,使最初设定的社会公正目标无法在全社会范围内达成。要制约公司霸权,维护经济自由和社会公正,必须依靠政府权力的强制性或权威性来重塑抗衡力量的平衡。在进步主义运动中后期,社会主流意识形态发生转变,不干涉主义走向衰落,新的意识形态为美国政府由“消极政府”走向“积极政府”奠定了合法性基础,政府在民主政治体制框架内和“中立”基础上实现了权力扩张,并以积极的“公共利益的实现者”和“社会公正的维护者”的角色承担起元治理的职责。“元治理”源于政府对保护社会机构制度完整和社会凝聚力的责任的承担,政府元治理职权的行使可以发挥整合利益和治理机制的宏观调控作用,不仅可以为自组织治理提供制度基础和保障,而且在社会子系统治理失败的情况下,可以提供补救措施,推动多元治理的有效开展。在进步时代政府治理权的扩张主要表现为制衡机制下行政权力的扩张,而且,随着西奥多·罗斯福、伍德罗·威尔逊等强权总统的出现,人们重新将联邦政府看成能为公众谋福利的有效机构,更多的治理权开始从州政府转移到联邦政府。联邦政府通过在经济、政治、社会各领域推行整体性治理的制度变革与创新,以及强化政府管制,有效地行使了元治理职权:通过经济改革,加强政府经济控制力,有效地治理了市场失范问题;通过政治改革,惩治政治腐败,扩大公民政治权利,使政府逐渐走出失败的阴影;通过加强社会管制,以及加大对社会公德和公民责任感的培育,提升了公民公共精神以及民主参与能力,使社会逐渐从无序走向有序。在进步时代,因肩负的时代责任不同,制度安排与制度变迁呈现出鲜明特色。第一,制度变迁的目标不再是削弱政府权力,而是扩大政府权力,以形成对公司霸权的有效制衡,并切实维护和保障民主社会的公民权利;第二,随着不干涉主义的衰落,政府才开始充当“第一行动集团”,成为推动制度变迁的重要行为主体,因此,进步时代的制度变迁是“自下而上”的制度需求与“自上而下”的制度供给交互推动的过程,诱致性变迁先行,但以强制性制度变迁为主;第三,进步时代的强制性制度变迁在联邦、州、地方三个层面展开,州政府和地方政府推行的强制性制度变迁是构成区域制度变迁的重要因素,并“自下而上”地影响和推动着联邦政府的制度安排,联邦政府推行的强制性制度变迁则是具有普遍性的国家制度安排,“自上而下”地主导着全国范围内的制度变迁过程。进步时代的政府治理为多元治理确立起共同目标和基本规则,为构建起可以与公司霸权相抗衡的力量奠定了基础,从而推动了市场经济和民主政治的协调平衡发展。这表明,在追求社会进步的过程中,政府治理不仅肩负着维护和推动市场经济健康发展的任务,更肩负着协调和整合经济和政治力量,将市场经济所创造的经济福利转化成为民主发展动力,最终推动人类社会全面进步的重要任务。本文在对进步时代经济、政治、社会三领域内的政府治理过程进行纵向剖析的基础上,在时代背景下从微观、中观、宏观层面对政府治理作出横向理论总结归纳,即从微观层面揭示出,政府治理作为多元治理中的元治理,通过对治理机制的整合,发挥着社会自组织治理所不具备的对多元治理进行宏观调控的作用;从中观层面揭示出,制度变迁影响着各权力主体间的权力配置和定位,政府治理可以通过公正的制度安排和制度变迁,重塑权力平衡和制度均衡,而公正的制度安排是政府治理的基础;从宏观层面揭示出,进步时代的政府治理是一场旨在推动民主政治发展的渐进式改革,政府治理可以发挥促进市场经济和民主政治协调发展的平衡器作用。更多还原

【Abstract】 In the end of the 19th century the United States began to transform into capitalist society with the main features of industrialization and urbanization. The restructuring of the economy was accompanied by significant and profound changes of social and political structures. Especially with the laissez-faire policy of the government, the over-reliance and indulgence of the government on market behavior lead to a serious disorder and out of control during the economic development situation. Such a change made corporate hegemony gradually form, directly aroused market failure, and increased political corruption , caused anomie. With the market failure and government failure existed at the same time, to protect economic freedom and social justice, during the end of the 19th century and early 20th century a far-reaching reform movement, i.e. Progressive Movement started in the United States. And this period of time is called the Progressive Era. The Progressive Movement is a Plural Governance movement with the aim of protecting social justice. It is participated in and promoted by all the communities and the government. The government exercise their functions and powers of meta-governance during the Progressive Era. This played a role to turn the tide for the healthy and harmonious development of the United States.At the beginning of the Progressive Movement, the government adopted a Laissez-faire policy and failed to timely make the responsiveness to the needs of treatment of the society. To resolve the social problems aroused by industrialization, all walks of life began the heterarchic governance. But during the transforming of the society the old adjustment mechanism had been destroyed and the new one longing for making, with the absence of the power of integrating interests and governance mechanisms, differences of the interests and the differentiation of the management target weakened the management power of the self-organizing "heterarchy", obstructed self-organizing "heterarchy" effectively restrict the well-organized corporate hegemony. As a result, the initially set goal of social justice can not be realized in the whole society.To restrict the corporate hegemony, maintain the economic freedom and social justice and rebuild the balance of the countervailing power an mandatory or authoritative government was needed. During the mid-and late period of the Progressive Movement the mainstream ideology of the society began to change. The ideology of non-interference began to decline, and meanwhile, the new ideology settled a legit basement for the government of the United States from negative state to positive state. Based on the "neutral" state , the government realized the expansion of the power in the framework of democratic political system and undertake the duty of meta-governance as the positive achiever of social interests and defender of social justice. The meta-governance appeared because the government should undertake the duty of protecting the integrity of the system of social institutions and social cohesion. Exercising the powers of meta-governance, the government can play a macro-controlling role of integrating the interests and governance mechanisms. The government can not only provide the systematic basement and protection for hierarchic governance but also provide remedial measure in the case of governance failure of the social subsystem and promote the development of multi-governance effectiveness.In the Progressive Era the expansion of governance was mainly expressed the expansion of executive power under the mechanism of the balance of power. With the emergence of presidential powers such as Theodore Roosevelt, Woodrow Wilson, the federal government was taken as an effective institution for the benefit of the public again. More and more governance was transferred from the state government to the federal government. The federal government effectively exercised the meta-governance through carrying out system changes and innovation of overall governance through the economic, political and social areas and strengthening government control; efficiently dealt with the issue of market anomie through economic reform and strengthening the government’s economic control; helped the government get from the shadow of the failure through political reform, punishing political corruption and expanding civil and political rights, the failure of the government emerging from the shadow of; helped the society shift from a disorder state to an order one through strengthening social regulation, increasing cultivation of social morality and civic responsibility, enhancing public spirit of citizens as well as the capacity of democratic participation and social order gradually and orderly.In the Progressive Era, due to different era responsibilities, institutional arrangements and institutional changes showed distinct features. First, the goal of the institution changes was no longer weakening the authority of government, but expanding of government power to form an effective holding of the company’s hegemony, and truly safeguard and protect the civil rights of democratic society. Second, with the decline of the doctrine of laissez-faire, the Government began to act as the First Act Group, become important actors in promoting institutional change. Therefore, the system change in the Progressive Era is interactive process of a "bottom-up" system demand and "top-down" system supply, Induced Institution Changes before, but giving priority to Mandatory change of institution. Third, a mandatory institution change of the Progressive Era started at the federal, state and local level. The mandatory institution changes, carried out by the state and local governments were the important factor of regional institutional change and to influenced and promoted the institutional arrangements of the federal government in a "bottom-up" way. While the mandatory institution changes, carried out by the federal government were universal national institutional arrangements and dominated the process of institution changes of the whole country in a "top-down" way.The governance of the Progressive Era established the common goals and basic rules for the multi-governance and laid the foundation for the power against the corporate hegemony so that it promoted the improvement of the balance of the market economy and democracy. This shows that in the process of pursuing social progress the governance is not only responsible for maintaining and promoting the healthy development of market economy but also undertake the responsibility of coordinating and integrating forces of economy and politics and change the economic well-being, created by the market economy into democratic development power and ultimately promote the overall progress of human society.Based on the longitudinal analysis of governance process in the era of economic, political, social areas of the Progressive Era, this dissertation has made a horizontal theoretical summary of governance in the background of the times from the micro, meso, macro level. From the micro-level it is revealed that as a meta-governance among multi-governance through integrating governance mechanisms governance plays a role of macro-controlling, which social heterarchic governance does not have. From the meso level it is revealed that institution changes affects the power configuration and positioning among main powers and governance can reshape the balance of power and system through fair institution arrangements and change, which is the basis of governance. From the macro level it is revealed that the governance in the Progressive Era is a progressive aimed at promoting democracy improvement and the governance can play a role of balancing the development of market economy and democratic politics.更多还原