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1、东北大学博士学位论文 摘 要困境、重构与突破:中国治理转型的模式研究摘 要改革开放以来,我国逐步实现由传统治理向现代治理的转变,过去30年的治理转型已经取得了巨大的成绩,主要体现为五个方面:从一元治理到多元治理,从集权到分权,从人治到法治,从管制型政府到服务型政府,从党内民主到社会民主。成绩固然不容忽视,但基于中国社会进一步发展的现实需要,继续推进传统治理向现代治理的转变,并实现某种形式的治理转型突破已成为时代发展的迫切任务。中国30年的治理转型虽然取得了巨大成绩,但仍然面临一系列深层次问题: 官-民两极治理结构在一定程度上的强化和制度性紧张;党的转型与宪政发展之间的内在制度性紧张逐渐凸显;权
2、力-权力、权力-权利、权利-权利之间基本制度安排的不合理日益凸出;非制度化博弈存在低层次徘徊;地方庇护网政治、既得利益政治、结构性腐败、权力-资本的非良性联姻等政治肿瘤尾大难掉;治理转型战略选择上长期合理性与短期合理性处于两难。现阶段的两极治理模式不仅不利于解决上述深层次问题,而且其本身就是上述深层次问题产生的主要根源。不仅如此,中国30年治理转型所遵循的“技术性渐进变革模式”已经日渐凸显其局限性,难以有效解决上述深层次问题。而学术界诸多治理转型模式的设计,或者偏离“党的领导、人民当家作主与依法治国有机统一”的基本原则,或者未实现我国国情与现代治理基本价值创造性结合,或者不具有理论彻底性和实践
3、可行性,均难以满足指导治理转型实践的需要。为了寻求一个理想的治理转型模式,本文从纵向和横向两个维度分析了中国深化治理转型所立足的基础情境:纵向上,传统治理向现代治理的演变史潮流所系,大势所趋;横向上,多层面的贫困并存和交织。整体上,中国深化治理变革的基础情境并不很理想,因而对治理变革的模式提出了更高的要求。随后,本文界定并分析了中国实现治理转型突破的关键问题,即党的现代转型与宪政发展的良性互动。沿袭“全能型政党”建设的思路难以实现两者的良性互动,政党多元化的思路既不现实也不合理。本文在“全能型政党”建设和政党多元化两种思路之外,提出了第三种思路:执政党的现代转型及其合法性重构,并认为党的现代转
4、型与宪政发展之间良性互动的发展是完全可能的。本文对中国治理转型的模式进行了重构,提出应该扬弃“官(政党-政府)-民(社会)”两极治理模式,抛弃治理转型的“技术性渐进变革模式”,建立“政党治理-政府治理-社会治理”三极互动的治理模式,政党、政府与社会三极良性互动既是治理转型的路径,也是理想的现代治理状态;与此相应,中国共产党应该实现由“全能型政党”向“功能型政党”的现代转变。唯此,才能够促进政党彻底转型,实现政党权威在治理转型过程中以及在现代治理结构中的合法性重构,较好的保证治理转型过程的有序性和结果的彻底性,并最终实现传统治理向现代治理质的飞跃。关键词:治理转型模式;模式重构;党的转型;党的合
5、法性重构;三极互动模式东北大学博士学位论文 AbstractResearch on the Process and Pattern of Governance Transformation in ChinaAbstract Since the reform & opening policy was implemented, our country has gradually transformed from traditional governance to modern governance. We have achieved great progress in this direction
6、, which includes five aspects: from unitary governance to pluralistic governance, from centralization to decentralization, from rule by men to rule of law, from regulation government to service government, from intra-party democracy to social democracy. Success is great, but for further progress of
7、Chinese society, we should advance the transformation process from traditional governance to modern governance further, and at this time some kind of major breakthrough is needed to challenge us to press on in this direction. With the “party governance-civil society governance” analysis frame, this
8、paper reviews the governance transformation history from 1978 systemically and analyzes the present governance pattern and the transformation pattern inherent in the past 30 years. The author argues that we have made substantial success, but we are still being haunted by some engrained problems whic
9、h includes: the substantial intensification of “the bipolar governance structure of bureaucracy vs. civilian” with increasing conflicts; the deepening structure intension between the transition of CCP and the development of rule of constitution in China; the inner institutional relations tension of
10、power vs. power, power vs. rights, rights vs. rights; the low-level interaction and repetition of non-institutional game practices; the local patronage politics, structural corruption, the political influence of vested interest and the distorted combination between power and capital which gradually
11、becomes a cancer of the healthy transformation process. At last, it is difficult to balance between long-term rationality and short-term rationality in governance transformation strategy. These problems wrest with each other and contribute to the dilemma of presentday governance transformation. Cont
12、emporary bipolar governance pattern (bureaucracy vs. civilian) cannot solve the dilemma fundamentally, on the contrary, it contributes these problems and the dilemma chiefly. Furthermore, the transformation pattern inherent in the past 30 years is so limited that it cannot meet the requirements of t
13、ime and resolve these difficult problems effectively. And there are some oriented mistakes in the alternative patterns of governance transformation which were designed by scholars which include: to stray away from the fundamental principle of governance transformation, which be fixed as “the organic
14、 combination among leadership of CCP, popular sovereignty and rule of law”; deviation of the fundamental circumstances of our country or deviation of the essential value of modern governance, lack of creative combination of both; lack of theoretical insight or lack of practical feasibility; so, they
15、 cannot meet the essential requirements of future governance transformation. In order to find a proper pattern, this paper analyses the fundamental circumstances of Chinas governance transformation, and the author argues that China will transform from traditional governance to modern governance inev
16、itably as a historical trend, but the fundamental circumstances of China doom the process of governance transformation will be complicated and formidable. Subsequently, this paper ascertains and analyses the core problem that obsesses the long-term governance transformation of China. The author argu
17、es that the core problem is how to deal with the relation between transition of CCP and the development of rule of constitution in China. The author does not argue that if the CCP insists the totalitarian party building route, the creative combination and well-orientated interaction of both will be
18、impossible and pluralistic party politics route has enough rationality nor has practical feasibility at present China. The author puts forward the third choice: transforming the leadership of CCP, and he argues that the creative combination and well-orientated interaction of both will be possible. F
19、inally, this paper restructures the pattern of governance transformation in China. The author suggests that we should transform the bipolar governance pattern (bureaucracy vs. civilian) into tripolar governance pattern (bureaucracy vs. civilian, and CCP as the intermediary), and desert the tradition
20、al transformation pattern inherent in the past 30 years. Well interaction among bureaucracy, civilian societyt and the CCP is the governance transformation route and the ultimate modern governance pattern. Accordingly, the CCP should transform from an unlimited totalitarian party into a limited func
21、tional party. By that, we can advance the complete transition of CCP, remake the authority legitimacy of CCP both in the transformation process and in the ultimate modern governance structure, make sure the orderly transformation process and the achievement of our ultimate pursuit, and realize the r
22、eal transformation from traditional governance to modern governance. Keywords: Process of Governance Transformation; Pattern of Governance Transformation; Restructure of Pattern; Transition of CCP; Legitimacy Remake of CCP; the Pattern of Tripolar-interaction东北大学博士学位论文 目录目 录摘 要IAbstractIII目 录VI第1章 绪
23、论1第1节 选题背景11治理的主体、客体、环境、需求发生了深刻变迁12治理转型领域仍有巨大的研究空间23治理转型研究是深化改革的现实需要3第2节 文献综述41. 核心概念辨析和界定42. 国内学术界对中国治理转型模式的研究53国外学术界对中国治理转型及模式的研究154中国治理转型模式研究中存在的问题17第3节 研究方案191 研究定位192 研究意义193 研究方法204 研究设想21(1)基本论点和思路22(2)研究重点难点22(3)主要创新点23第2章 治理理论及其在中国的发展24第1节 西方治理理论的兴起与应用241 西方治理理论的基本内涵242 西方治理理论兴起的历史背景和思想渊源25
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