【作者】 尤光付；

【导师】 徐育苗；

【作者基本信息】 华中师范大学 ， 中外政治制度， 2006， 博士

【摘要】 现代化进程中,伴随着经济民主化、市场化,我国社会公共治理中为治理腐败、提高效能,权力监督制度和机制的建立健全问题突出起来,党和国家对此十分重视。在此背景下,我国已有不少学者投入监督理论、制度、机制和实践的研究,并已有若干研究论文、调研报告发表,但迄今为止学术界尚无人对县政府行政监督进行系统的专题研究。从历史和现实看,县政府行政监督体系是整个国家权力监督体系的一个有机组成部分,县政府管理的地位及其功能上的政府治理的基础性价值不言而喻。因此,本项研究可以在政治学、行政学的学术领域里弥补行政监督研究的一个薄弱环节,进而拓展出县域行政管理研究的一个新的层面;本项研究的成果,也能够对县政府行政管理体制中权力监督机制的科学配置等有一定的参考价值,有利于防范和纠正县政权中行政权力运作的弊端,督促行政权力运行的公正、廉洁和高效,激励和保障社会各界的民主参与。 在县域,行政监督颇为复杂。首先,监督的内容和方式由监督主体的权能及其指向所决定,监督的性质、权能决定了监督内容的特质和监督方式的选择;与此同时,监督的内容和方式也充分地体现出监督的性质和权责。其次,监督主体与客体基于制度而在监督什么与如何监督等方面的博弈有一定差异。再次,行政生态的变迁会在监督制度运作中促成一些新的监督行动者和造成一些新的问题。这样一来,我们会看到制度设计与现实践行间现出的差异及由此而引发的变革动力。基于上述预设,本文将县域行政监督中存在的人大监督、政协监督、法院监督、检察院监督、纪律检查、行政监察、上级监督、干部监督、审计监督、公民监督、社团监督、舆论监督等分别归为三类模块,即分工配合性他律式监督、管理控制性自律式监督和社会维权性参与式监督,并由此入手,以马克思主义政治学理论为指导,运用经验分析方法,系统地阐释和探讨我国县政府行政监督的制度、机制和生存状态。 全文包括五章和结束语。 第一章是导论。主要阐明论题的缘起及其意义;界定县政府、行政监督等基本概念的内涵和特质;对相关研究文献予以述评;确定经验分析法为主要研究方法;预设范式和写作框架。 第二章探讨古代县政监督。主要是考虑到历史的延续性与借鉴性,选择较成熟的中国古代县政监督凸显出的机理及其启示予以总结概括,旨在历史的回眸中找出其经验教训,为以下各章的阐述做一个历史铺垫。本章简要概括出古代县政监督的机理主要有“灵活性与规范性并举”,“以卑察尊,以小制大”和“多元主体,三层监督”;提出古代县政监督的启示在于:监督功效发挥,权力制约是基础:多元监临态势,官僚政治成障碍;官吏薪俸不济,勤廉监督终难为。 第三章探讨分工配合性他律式监督。县治中对行政权的外部监督,主要有宪政基础和组织更多还原

【Abstract】 With the trend of democratization and marktization in economy, the public governance of our country has witnessed obvious problems concerned with the establishment and improvement of certain systems and mechanisms aimed to tackle corruption, enhance effectiveness and supervise authority in the process of modernization. Our country has attached much importance to these problems. Under such circumstances, a few schorlars in this country have dedicatied themselves to the study of "supervision" ranging from system to mechanism, from theory to practice and several research papers have been published.Even though some research paper and investigating reports are published, no one studies administrative supervision of County Government systematically and exceptionally. The significance of county government management and the basic value of government governance are self-evident. The supervision system of county government is one of the national authority supervision’s. Therefore, this research can strengthen the weak point politically and administratively in academic circle, and extend a new world for the county government administration;its research outcome can make for guarding against and remedying the abuses, and supervise the power exerting justly and effectively, and encourage and ensure the democratic participation., as well as throw light on the disposal of the supervision mechanism.As for the county, supervision is very complicated. Firstly, the content and the ways of supervision hinge on the faculty of the supervisor and the aims, that is to say, the character and potency of supervision decide the nature of the content of supervision and the way. Meanwhile, the content and means of supervision embodies the nature and the responsibilities. Secondly, the subject and object of supervision rest on institution, as to the game playing between what to supervise and how to do, the differences still exist, and then, the variance of the administrative ecology can make new supervisor come into being during the operation and cause some new problems. And so, we find out the differences between the system design and the practice and transforming motivities.Based on above supposes, this dissertation classifies— supervision of People’s congress Council, political consultative conference, court, procuratorate, and inspection of discipline, administrative, superior, cadre, and also supervision of audit, citizen, league,public opinion etc, as division and cooperation heteronomous supervision, manage and control self discipline, social authority maintenance—participating supervision. Then guided by Marxist politics theory, employing demonstration analysis elucidates and probes into the institution, system and ecology of the county supervision.The dissertation is made of five chapters and conclusion.The first chapter is the introduction which is mainly about the reason for this research and its significance. The following points are included in this chapter: connotations and characteristics of basic ideas such as county government, administrative supervision, literature review of related researches, experience analysis as main research method and the structure and frame of the dissertation.The second chapter is about the supervision of ancient county government and its revelation. The mechanisms of supervision of ancient county government are as follows: "flexibility integrated with standardization", "the humble’s supervision of the senior", "coexistence of main parts and supervision from three levels". And meanwhile, the revelation of the ancient county government’s supervision is following: we should exert supervision’s function and supervision of power is the basis;we should persist in coexistence of supervision from all levels;probity supervision is difficult to carry out because bureaucracy is the obstacle and wages for government officer are not sufficient.The third chapter is about division and cooperation heteronomous supervision in politics. The external supervision of administrative power in county governing includes supervision of CPPC, power supervision of NPC, democratic supervision of court trial and legal supervision of procuratorate based on law and organization guarantee. This chapter describes and illustrates subjects, objects, contents, processes and ways of these kinds of supervision as well as the exertion of supervision’s function and its obstacle in order to reveal the modality of supervision unfolded in upright power constraint and non-power constraint of county government administration.The fourth chapter is about manage and control self-disciplined supervision. This chapter mainly deals with main mechanisms such as supervision from higher level, supervision of cadre administrative departments and inspection with reference to the discipline of CCP. This chapter describes and illustrates subjects, objects, contents, processes and ways of supervision based the discipline in order to real the administration of probity and efficiency reflected in the internal supervision mechanism in government administration.The fifth chapter is about supervision by way of participation of other powers in the society. This chapter tries to discuss supervision from civil individuals, social organizations in order to demonstrate the characteristics and difficulty of constraining political power by civil individuals.The last part is a conclusion which summarizes the three supervision mechanisms mentioned above. The author points out that the three supervision mechanisms have worked into a system of supervision consisted of three aspects such as heteronomy, self-discipline and participation. However, the operation of such a system involves four limitations—lack of authoritativeness, consistency, guarantee and self-discipline. The key to perfecting it is possibly to optimize constraints of power, to integrate internal supervision, to concentrate on the improvement of certain priorities in county government’s supervision systems and mechanisms: to advocate the supervision by media and bring about a kind of constaint by media in the systems and mechanisms of government’s administrative supervision to strengthen the supervision of county governors and to boost administrating by law.Two creativities in this dissertation are as follows:The first one lies in the method adopted in this research. The method of experience analysis which combines both the normative study and the empirical study are used in this dissertation to analyze the administrative supervision of China’s county governments in their political process, not only emphasizing the literature comments and the literature citations but also the problem sense and the theoretical hypothesis. This method focuses on the analyzing the data from all sources beyond the confines of one text or one special application field. The systematic study on one aspect of the county administration by this method not only differed from the macro-study based on the normative study, but also from the micro-study based on the empirical study and tried to explore a new method for the administrative supervision study.The second one lies in the contents. The previous studies on the supervision mechanism in China’s socialist democratic politics have two limitations: the first one is the confusing classification, for example the democratic supervision of CPPCC and the disciple inspection of the CPC were often mistaken as the social supervision;the second one is the neglect of power-supervision mechanism study in China’s political process from the aspect of county government, because the previous studies focused on the construction of a clean and honest administration and the anti-corruption movementresulting in some deviating from the idea power controlled and maintained by the constitution" and from the idea "governed by law".This research observed and analyzed the administrative supervision in county government from such three aspects as heteronomy, self-discipline, and participation to illustrate the characteristics and relation of various supervision forms. In this research, the administrative supervision system in the county government consist of three sub-systems: heteronomy, self-discipline, and participation, which reflects the competition between power-restriction, management control, interest-restriction and administrative power, but there are still some limitations in how to manage them integrally. Based on above, this research also comes up with several suggestion and approaches.更多还原