【作者】 孟宪艮；

【导师】 孔令栋；

【作者基本信息】 山东大学 ， 政治学理论， 2009， 博士

【摘要】 人民代表大会制度是我国的根本政治制度,是检验政治文明发展的一个重要标尺,也是我国宪政建设的制度起点。监督权是人民代表大会的一项重要职权,是防止权力滥用和官僚主义的重要武器。然而在现实中,这一制度的运行与规范要求存在相当大的差距。大量的事实表明,人大代表在监督权的行使方面本应大有可为,但在这个重要的政治舞台上却鲜见人大代表的活动。因此人大代表监督不作为的问题在实践中是一个急需解决的问题。受法治建设大环境的影响以及对人治传统的反思,人们期待通过人大监督制度的法制化加强人大监督的权威,并为人大代表履行监督职责提供可操作的具体程序,以使监督制度能够真正运行起来。然而从人大监督的实施效果来看似乎并未达到预期的目的。这种重视法制建设的思路虽然可以满足人们对问题寻求明确性解答的需要,但人大监督制度并不是在法律规范塑造的权利、义务与责任的真空中运行。对于生活在现实社会中的人大代表而言,其在履职过程中会受到多种因素的影响,而且这些因素很可能比监督制度本身对人大代表的影响更直接、更重要。如果不能对这些外在影响因素进行客观的分析,则极有可能使人大代表采取制度规避或曲解制度的行为以保全自身利益,最终使得制度流于形式。自十一届三中全会以来,我国先后颁布实施了代表法、选举法以及监督法等一系列法律法规以提高监督的效能。从制度建设的角度上看,力度不可谓不大,但是在实践中的效果却并不理想,人大监督无力的事实并没有发生实质性的改变。可以看出,我们并不缺乏制度的宏观建设,也不缺乏权利的配置,甚至也不缺乏具体的实施程序,关键是缺乏将这些制度运转起来的动力以及维持这种动力的力量。那么动力以及维持动力的力量来自哪里?是什么制约和阻碍了他们的生成?这些问题直接影响着制度的实施效果。因此本文将转换研究的角度,从人大代表监督的主体能动性入手,对相关的重要制约因素展开分析。从这一视角进行分析是因为主体能动性是人作为主体的体现,人类在改造自然界中所体现出的超乎想象的能力正是得益于主体能动性的发挥。在制度运转过程中情况也是如此,正所谓“徒法不足以自行”,如果制度主体的积极性能够得到充分的激发,将会使制度在运行中克服制度自身固有的僵化性和时滞性缺陷,更加富有活力;而一旦主体的能动性受到限制,也会导致制度因主体的有意规避、曲解或者消极应付而流于形式,甚至有可能成为制度主体牟取私利的工具。当然试图在本文中将所有的影响因素全部大包大揽的分析实在非个人能力所及,因为人的个体需要结构非常复杂,要想对个体需要进行全面的心理分析是一项极为复杂和专业的工作,本文只是选取能够对代表生存和发展根本利益起到根本性影响的制约因素进行分析,以期获得解决问题的良药。对于代表监督能动性的影响,学界虽然没有专门系统的研究,但是有些学者显然已经注意到代表制度激励不足而产生的消极后果,因此以公共选择的理论作为理论基础,开始探求构建激励机制提高代表履职的积极性。其中最有代表性的观点是将竞争性选举和代表专职化相结合,通过选举的负向约束力量以及专职制的正向激励作用来激发代表履职的积极性。实现选举的竞争性与代表专职制无疑是一个不错的改革方向,但是这种改革的思路实际上是与西方议会监督进行横向比较后,基于自身制度缺陷而得出的结论,忽略了西方议员专职制形成的历史背景以及推动其形成的社会力量,而这些因素正是构建代表专职制的重要前提。因此本文通过对英国议员专职化过程的考察揭示了专职化道路的形成条件。可以发现,正是议员在政治生活中的地位和权威才是议员职业真正的生命力之所在。在笔者看来,人大代表专职化的确可以解决代表的角色冲突问题,也可以实现精英化、专业化的愿望,但如果代表权威虚化的局面不能得到改变,即使选举的竞争性得到实现,也无法真正发挥代表专职制的激励作用。可以说,代表权威虚化是制约代表专职制产生激励作用的瓶颈。要想打破这一瓶颈,必须使执政党的执政行为遵循民主与法治的规律,实现人大代表在政治生活中的权威地位。因为这种权威才是人大代表所真正值得人们追求的价值,只有获得这种权威,人大代表专职制的激励作用才能得到真正的实现。构建激励机制的最终目的是为了使代表以自己的智慧、经验为选民服务,为国家尽职尽责,因此设计合理的制度以规范代表与选民之间的关系成为代表制度研究的重心。但是,随着普选权的实现和选举规模的扩大,政党已经成为选举运行的核心力量。从现代代议制度的运行来看,政党虽然没有决定由谁当选的最终决定权,但是没有政党支持的独立候选人是很难获得胜利的,这是现代选举的普遍规律。而且由于政党在现代政治中的政治录用功能,使得党员要想在政治事业上有所作为就必须获得党组织的认可和信任。因此对于代表来说,如何得到党组织的认可和推荐至关重要,换言之,党员代表在履职的过程中不仅要忠于国家和选民的利益,同时必须与党的意志保持一致。这种事实说明,影响代表行为价值取向的不仅是代表制度和监督制度,政党的内部组织体制同样能够对党员人大代表起到非常重要的制约和激励作用,而且这种作用甚至比代表制度和监督制度本身对代表的影响更为重要。因此党内组织体制是否民主对于代表监督能动性的影响作用是不可忽视的,必须对党内组织机制中所存在的问题进行分析和改进,为党员人大代表履职创造良好的环境。人大监督在本质上是社会对政府权力的制约在制度上的实现。既然监督的对象是政府权力,那么就必须拥有能够控制政府权力的力量。这种力量来自哪里?尽管从理论上说,人大的监督权有国家强制力作为保障,但从根本上说,这种监督的力量来自社会自身。从宏观的角度上看,这种监督实际上就是社会与国家力量之间的博弈,如果社会力量足够强大则可以为代表监督政府提供力量支持。而如果社会缺乏自治,社会运转主要依靠官僚机构的权力控制才能运转或保持稳定,那就难以对行政权力实施有效的监督,因此人大的监督必须具备适合其运行的生态环境才能真正运行。从中观的角度来看,作为影响代表主体能动性的党内组织体制之所以会产生潜规则与党内家长制现象,其根本原因在于社会组织成员之间缺乏理性沟通的能力,在社会中缺乏培育民主精神产生的土壤。因为政党本身也是一种社会组织,其成员生活在现实社会中,也必然会潜移默化地受到社会主流与非主流的价值观念、交往方式以及生活习惯的影响,所以在党的组织内部就很容易滋生人身依附的问题。从微观的角度上看,人大代表必须有能力承受住因选举失业而产生的重新就业问题,能够自谋职业是保持代表自身主体性和独立性的前提。如果人大代表在此问题上过度依赖政府,则很难保障监督的公正性与积极性。这些问题从根本上制约着人大代表监督能动性的发挥,但又很难通过制度的层面得到解决。因此必须重视社会自治能力的提高与社会自身的发育,很难想象在一个社会发育不良与缺乏自治能力的国家会有健康的民主政治。更多还原

【Abstract】 The People’s Congress system is the fundamental political system which is an important benchmark to test the development of political civilization and the starting point of the construction of our constitutional system. It is very significant to the realization of the political civilization. The supervision Power is an important weapon to prevent abuse of power and bureaucracy. However, there are significant gaps between the operation of the system and the regulatory requirements. Theoretically, the National People’s Congress authority should be very promising, but lots of facts indicate that the supervisory is uncommon used by the NPC deputies. So the absence of supervision activity of deputies is an urgent to resolve.By the influence of the construction of Rule of Law as well as the reflection on the rule of man, theoretical research on this issue mainly focus on the Election System and the Representative System , placing great hope on the legalization construction of the supervision system. Although legalization construction of the system can meet people’s need to seek clarity answer on the issue, the operation of system is not in the shape of rights, obligations and responsibilities by law. For the system subject who are living in reality, will be affected by many factors in the course of the performance of their duties and these factors is likely to affect people’s duties of their own interests more directly, even more important than the supervision system itself .If those external factors can not be objectively analyzed and resolved, it is very likely to make deputies to distort the system and ultimately make the system a mere formality. Since the Third Plenary Session of the Eleventh Central Committee, a series of laws and regulations to improve the effectiveness of supervision has been successively promulgated and implemented. From the point of view of system legalization construction, the effect in practice is not ideal. As can be seen, it is not the absence of a system of macro-building, not the lack of the right configuration, or even the lack of specific implementation procedures, the key is the lack of functioning of these systems with the power and strength to maintain this momentum. Then where are the momentum and the strength to maintain the motive power come from? What are the constraints and impediments to the generation of power? These problems directly affect the effectiveness of the system. Therefore, the study will convert the research perspective to analyze important factors, which has great influence on the deputies subjective activity, because it is the main manifestation of human nature, and contributions greatly to reconstructing the world .The situation running in the system is the same. It is so-called "laws is not sufficient on its own", if the subjective activity can be fully excited, the system in operation will overcome the rigid system of their own inherent defect ,and make the system more dynamic; and when the subject activity was limited ,it would lead to the system lose its vitality. Of course this article cannot analyze all these factors, because the structure of individual needs is very complex. And conducting a comprehensive psychological analysis on individual is a very complex and professional work. To obtain a panacea solving the problem. This article just only analyze some fundamental factors that can affect the survival and development interests of deputiesThere is no specific study on the subject activity of reprehensive, but obviously some scholars have noted the problem which the lack of incentives will lead negative consequences. Therefore they begin to construct an incentive mechanism to enhance the enthusiasm of the representatives based on the public choice theory; one of the most representative views is that the combination of the competitive election and the full-time representative can stimulate the enthusiasm of the performance. The achievement of competitive elections and full-time system is a good direction for reform.However; we could not ignore the historical social background of the western parliamentary supervision system, which is important prerequisite for the full-time Mps system. Therefore, through the historical investigation of the full-time system of MPS process, we can analyze the system foundation social, politic conditions of the time and the motive force of the implementing the full-time system of representatives. Compared with fundamental conditions of MP’s full-time system. It can help analysis the conditions which faced by the full-time system process of NPC members, definition of the problems to be settled and find the fundamental way to solve the problems. It is no doubt that the professionalization of NPC Deputy can solve the issue of role conflict and meet the professionalization aspirations, however , if the representative’s deficiency authority problem can not be changed, the MP’s full-time system can not work even if competitive elections have been realized. It can be said that the deficiency of authority is the bottleneck which constraints MP’s full-time system getting its aim. To break this bottleneck, it need the ruling party follow the logic of democratic and rule of law, because just this authority is worthy of people’s deputies to pursuit. Only the authority of people’s deputies realized in the political life, the aim of full-time deputy’s incentives can be really achieved.The ultimate goal of building incentives is to encourage the representatives serve the voters with their wisdom and experience and fulfill their duties for the state. Therefore designing a proper system to standardize and improve the relationship between voters and representatives is the focus of the study. However, with the realization of universal suffrage and the expansion of election, political parties have become the core strength to run the election. In the operation of representative institutions, although political parties can not decide who will be the final Candidate, the independent candidates is very difficult to win in the election without the support of political parties. Furthermore, since the party has political employ Functions, the party members must get the party’s trust to make progress in his political career, Therefore, it is significant to get the party’s trust and obtain the chance to be recommended, in other words, the representative of party members must be loyalty to the country and the interests of voters in the course of the performance of their duties, at the same time must be consistent with the will of the party. Such facts show that not only the incentive mechanism can influence the psychological and behavioral of the representative, but also the party’s internal organization can constraints and motivate their subject activity, which will be more significant than incentive mechanism .Therefore the organizational structure is democratic for the main initiative it can not be ignored to motivate the NPC Deputy’s Subject activity whether the party’s internal organization is democratic. Therefore, In order to create a good environment for deputies to perform their duties, it is essential to analyze and improve the problems of the party’s internal organization,The supervisory system of NPC is essentially the social constraints on the authority of government. Since the object of supervision is state power (strictly speaking, is the executive and judicial powers), then the NPC must have the power to control the government. However ,Where does the power comes from? Theoretically, the supervision of the National People’s Congress has the force granted by law, but fundamentally speaking, this power of supervision is from the society itself. From the macro point of view, the supervision is actually the power haggling between of society and the State, if the social power strong enough, it can provide sustain for deputies to supervise the government. And if the society lack self-governing and the social running mainly rely on the control of the bureaucracy to maintain the stability. It would be difficult for the NPC members to implement effective supervision to the executive power. So the operation of NPC supervision power must run in the suitable social environment. From the medium view, the underlying rules and patriarchal system get long existence in the party’s internal organization. The fundamental reason for this is the lack of rational ability to communicate between social members and the lack of the soil of nurturing spirit of democracy. Because the political parties themselves are one of the forms of social organization. Its members are also live in the realistic society, which is influenced by the mainstream and non-mainstream social values and the Communication method. So it will inevitably lead to the personal dependence relation in the party’s internal organization. From the microscopic point of view, the NPC deputies must face the re-employment problem due to resulting from the election. How to solve their own self-employment is the premise to maintain independence and initiative as subject of supervision. If the deputies of NPC over-rely the government on this issue, it will be difficult to protect the impartiality and initiative of the supervision. Fundamentally, these issues constrains the NPC members’ subject activity .However, it is difficult to be resolved through the system level. Therefore we must pay attention to the healthy development of the society itself, it is hardly to imagine an adverse society has a healthy democratic politics.更多还原