【作者】 郑华卿；

【导师】 王国华；

【作者基本信息】 华中科技大学 ， 行政管理， 2011， 博士

【摘要】 当今中国的行政问责基本上是由突发事件引起的。突发事件行政问责具有实现民主控制、改进政府应急管理绩效、提升公共安全服务品质、维持治理的合法性以及在灾难或处置失败的情况下为公民提供宣泄途径五项功能。突发事件行政问责功能的发挥需要对政府具有制约力的多元行政问责主体参与,拥有明晰的行政问责客体及客体间职责划分,同时公务员应急管理行为信息是可获取的。行政问责主体依据获得的信息,根据其行为判断标准,对相关责任人进行质询或制裁。相关责任人对其行为进行解释、辩护或证明。在实践中,突发事件行政问责功能发挥受到限制,不断异化,表现为民主控制的失效、程式化的应急管理行为、阻碍应急管理绩效的提高和“替罪羊”的出现。突发事件行政问责异化的功能需要归化。突发事件的类型、结构等属性、特定国情下政府外部监督制约机制、政府系统内部监督机制和“理性”公务员对行政问责的规避行为对行政问责功能异化具有客观影响。这些要素通过影响行政问责主客体构成和应急管理行为信息的获取对功能异化发生作用。中国突发事件行政问责功能异化具有深刻的根源。突发事件行政问责的主导模式是基于层级的政府系统内部问责,外部多元行政问责主体参与程度有限,造成行政问责主体缺位。政府职能部门间、层级间和党政间职责模糊,造成行政问责客体认定困难。突发事件情境下结果导向型和过程导向型行政问责各有利弊,应根据具体情况作出取舍或是二者融合,然而行政问责主体的缺位又无法对应急管理过程作出考量。行政问责仅由突发事件的爆发触发,触发时机单一；问责方式以惩戒性为指向、方式单一；行政问责过程中主客体互动性不强,客体话语权缺失。突发事件行政问责功能异化需要从主体、客体、内容及实施方式四个层面进行矫正。建立适合国情的多元主体参与机制,改进层级主导的问责模式,从制度、体制层面保证权力机关、人民、政协机关、新闻媒体等问责主体的有效参与。有效认定问责客体及其职责,从体制上对应急管理主体的职责进行划分,在应急机制磨合中形成相对固定的、具有约束力的职责安排；开展地方应急能力评估,确定能力基准,实现权责一致。政府应急管理信息集成公开,保证问责主体对应急管理行为信息的获取。构建行政问责非事件触发机制,引入柔性问责主体,注重对应急管理过程的实时监督和控制,对问责客体激励与制裁并行,并保证其话语权的实现。更多还原

【Abstract】 Nowadays, accountabilities are basically caused by the emergency in china. Accountabilities arising from emergency have five functions:democratic control; improve government performance of emergency management; improve quality of public safety service; maintain the legitimacy of governance; and in the incidental case of tragedies, fiascos, and failures, processes of public account can help to provide public catharsis.The achieving of accountability functions needs some conditions.The first is the participation of multiple accountee who have the force to constraint government. Secondly,have specific accountors and clear demarcation of responsibilities between them.The third is the information of emergency management actors are accessible. According to the information and behavior criterion,accountee make questions and sanctions.At the same time, the responsible person explain their actions, defense or proof. In practice, the functions of accountability are restricted and continue to alienation, showing the failure of democratic control, programmable emergency management practices, impeding the improvement of performance and the "scapegoat". The alienated functions need to correct.The type,structure and other attributes, the external supervisory mechanisms, the oversight mechanisms within the government system,and the avoid acts of "rational" civil servants under the pressure of accountability,all of those have objective affect to function alienation of accountability. These elements play a role on the function alienation through affect the constitution of accountee and accountor and the accessing of behavior information.The function alienation of accountability arising from emergency has deep roots.The dominant mode of accountability is based on levels of government,the multiple external accountee only have limited participation, resulting in the absence of accountee.The responsibilities between government departments,different levels,and between party and government are ambiguous.The accountee have difficulties to identify who is the accountor and his responsibilities.Result-oriented and process-oriented accountability have advantages and disadvantages,we should make choice depending on the circumstances or the fusion of the two,but the absence of some accountee makes it impossible to consider the emergency management process. Accountability is only triggered by the outbreak of emergencies,the results of accountability are based on punishment,only a single way;the interaction between accountor and accountee is weak,the rights of explain is missing.For the purpose of correction to functions alienation,we should take measures from accountee,accountor,contend,and implementation methods.The first is improving levels model,ensure the People’s Congress,the people,the CPPCC organizations,news media’s participation from the political system and the institutional level.Identifying the accountor and its responsibilities effectively,divide the responsibilities of emengency manager on institutional level,form relatively fixed, binding duty arrangements in the running of emergency management mechanism,launch emergency capability assessments in local government, determine the capability benchmark and determine the responsibilities according to one’s power.Disclose government emergency management information in Integrated way,ensure the accessing to information for accountee. Construction of non-event trigger mechanism, introduct flexible accountee, focusing on real-time monitoring and control for emergency management process, incentives and sanctions in parallel,and ensure the realization of their right to speak.更多还原