官员腐败心理与预防控制研究

发布时间：2018-04-07 15:44

本文选题：腐败心理　切入点：预防控制　出处：《武汉大学》2014年博士论文

【摘要】：转型期中国的反腐败问题已经引起到了国内外学者的广泛关注,并出版了大量的论著。但是,这些论著大多是从腐败的成因及制度对策方面进行论述,更多地是对造成腐败的物质因素的反思与探索。相对而言,较少地从官员个体的心理动机和心理结构去深入分析研究对腐败的抑制。“任何政治行为体的行为都在一定程度上受着行为体心理因素的促进与引导,就此意义而言,只有了解政治人的心理特点及其发展规律,才能理解他的政治行为”。①因此,要寻求腐败产生的根本原因并加以源头防控,那就回避不了研究行为主体即腐败参与者本身的心理机制。腐败作为社会行为,必然有其产生的心理因素。腐败行为的心理就是研究腐败行为主体在腐败行为完成前对腐败行为及其后果所表现出的心理状况,是腐败行为及其结果的一种观念形态,具体地讲是腐败行为主体在行为完成前所表现出的心理过程和心理实质,包括需要、动机等要素。实际上,由于人的需要随着实践的发展不断丰富,个体的动机也是此起彼伏的。需要的无限性及多样性促使动机也不断地发生变化和发展,从而激起个体各种各样的行为活动。当前,我国大部分人的需要是健康的、积极的、平衡的,都能按照社会要求来调整自己的需要结构,使个人利益与社会利益相一致。但是腐败官员所形成的是一种消极的反社会的需要结构。这种需要结构是社会环境中的不良因素、消极条件不断作用的结果。其过程在于：当不良的外在诱因改变了个体原有的需要结构后,会逐渐导致个体行为动机的演变,造成行为方面的变异,这种反馈作用又进一步影响个体需要结构的不良反应,促使反社会需要结构不断固化,最终激发腐败行为动机、引发腐败行为。腐败心理的产生以及腐败行为的形成并非与生俱来的,而是后天逐渐形成的,具体而言,实施腐败的心理机制的形成是受客观环境条件和社会因素影响的结果。“腐败行为=公共权力(物质条件)+腐败动机(心理条件)+腐败机会(制度条件)”。②因此只要全力消除一个或多个条件,就可以大大降低腐败行为的发生。就这个意义而言,当我们采取相应的措施来预防腐败心理因素的形成,将会大大抑制腐败行为的发生。这应视为我们治理腐败的组合拳之一。预防腐败犯罪应是一个内部疏导与外部约束的联动过程。针对国内现行反腐败制度中的内部疏导机制相对薄弱的现实,本文从心理学的角度出发,在对行为产生的心理因素进行分析的基础上,提出了腐败行为产生的主体心理机制,即腐败官员在实践活动中,不断创造私欲需要,这些需要在不良外部环境的影响下产生腐败动机,最终形成腐败行为。文章重点从外部环境及主体主观因素二方面对腐败心理的产生原因进行剖析,从而提出矫治腐败心理的相应措施。即只有消除腐败行为发生链条中的一个或多个条件：物质条件、心理条件、机会条件,就能在一定程度上预防腐败心理因素的产生。因此,我们既要从社会政治、经济、文化方面来制衡外部条件(公共权力),又要借助社会心理学和人格心理学理论强化领导干部的健康心理教育和思想政治工作,使他们树立正确的需要观、人生观及价值观,并通过完善制度体系,消除腐败机会,来预防腐败行为的发生。唯有这样,才能使官员形成一种“不敢腐败”、“不想腐败”和“不能腐败”的心理素养。基于这一主题,论文以腐败心理的预防与治理为研究对象,在综合运用腐败(犯罪)心理理论,社会心理学相应理论的基础上,采用行为科学方法,对官员的腐败心理结构、表现形式、形成原因、对策治理进行了全面、系统的分析,在此基础上提出了预防和治理腐败可供操作的对策措施和建议。文章试图从心理干预的角度探索预防及遏制腐败的相关路径,由此拓展新的反腐研究领域全文的篇章结构如下： “导论”。在导论部分,首先立足于国内腐败问题的现状,说明在十八大重拳反腐的大背景下,预防腐败体系构建愈发重要,对官员腐败心理进行深入研究能够为有效遏制腐败动机的产生提供借鉴。接着阐述了研究腐败心理形成的理论及现实意义,并对相关研究进行文献梳理,最后对本论文的研究结构和研究方法进行了介绍。第一章“理论阐释”。以“官僚制”理论、“寻租理论”、“成本——收益”理论作为理论平台分别阐释“组织腐败”心理、“群体腐败”心理和“个体腐败”心理,从理论层面剖析腐败心理的发生机理,为实证研究提供理论依据。第二章“实证研究”。借助心理测量量表卡特尔16项个性因素测验和人格心理量表—中国人个性测量量表对被刑罚的腐败官员进行测量,分析呈显著差异的维度,讨论腐败行为与人格特质和心理状态的相关性。第三章“归因分析”。通过描述腐败动机的外在诱发因素和内在驱动因素,以及腐败动机的外化形式,以归因方式分析各种导致腐败心理滋生和强化的因素,从现实状况出发进一步探索遏制腐败心理形成的方法。第四章“国际经验”。分析北欧、新加坡及香港等国家和地区的反腐经验,主要从价值引导、伦理道德、教育养成等方面进行介绍和探讨,为完善和提升我国的廉政教育体系提供借鉴和参考。第五章“问题揭示”。从廉政意识、制度设计及惩防机制三个层面展开,从主客体的不同角度探析存在的问题和漏洞,揭示腐败问题发生的源头,解释腐败心理滋生的根源和逐渐诱发的过程。第六章“惩防体系”。从滋生腐败的主体入手,通过加大官员腐败成本、规范官员职务行为、筑构官员抗腐心理三个层面,提出了使官员“不敢贪”、“不能贪”、“不想贪”的对策。其中,“不敢”是治标,“不能、不想”是治本,三者结合,实现标本兼治,从而为官员预防腐败建立起心防体系。 “总结和展望”。对文章进行高度的概括和凝练,同时也对文章不足之处和未来研究的主要思路予以说明。预防官员腐败是一项系统工程,既包括外力的约束,也强调内心的修炼。论文的实证分析表明,官员的腐败行为与其个体的心理状态和人格特质有着一定的相关性。因此,应从官员入职时增加人格测试,选择适合公职岗位的人员履任；开展有效的廉政意识培养,锻炼官员坚定的内心；完善制度体系,压缩腐败空间,洁净从政环境,让官员专注业务；定期为官员提供心理疏导,释放不良情绪,消解不良认知；提升官员待遇,满足正常需求,创造从政幸福感。
[Abstract]:In the period of transition , the anti - corruption problem of China has attracted extensive attention from scholars at home and abroad , and has published a great deal of arguments . However , most of these arguments are discussed and explored in the aspects of the cause and the system of corruption , and more are the reflection and exploration of the material factors that cause corruption .

As a social behavior , corruption must have psychological factors . The psychology of corruption is to study the psychological process and psychological essence , including needs , motivation , etc .

The formation of corruption psychology and the formation of corruption are not innate , but the formation of the psychological mechanism of corruption is the result of objective environmental conditions and social factors .

This paper analyzes the causes of corruption in the context of social politics , economy and culture .

Based on this theme , the paper focuses on the prevention and management of corruption psychology . On the basis of the comprehensive application of the theory of corruption ( crime ) and the corresponding theory of social psychology , the paper makes a comprehensive and systematic analysis of the corrupt psychological structure , forms , reasons and countermeasures of officials .

The full text structure is as follows :

On the part of the introduction , first , based on the present situation of corruption in China , it is pointed out that the prevention of corruption is becoming more and more important in the large background of the anti - corruption of 18 heavy punch , which can provide reference for the effective containment of corruption motivation .

The first chapter explains the theory of " bureaucracy " , " rent seeking theory " and " cost - benefit " theory as the theoretical platform to explain " organization corruption " psychology , " group corruption " psychology and " individual corruption " psychology respectively .

The second chapter " empirical research " . With the help of psychometric scale Cattell 16 personality factor test and personality psychological scale - Chinese personality measurement scale measures the corrupt officials who were sentenced , analyzed the dimension of significant difference , discussed the correlation between corruption behavior and personality traits and psychological state .

In chapter 3 , " attribution analysis " . By describing the extrinsic factors and internal driving factors of the motivation of corruption , and the externalized form of the motive of corruption , the factors that lead to corruption psychological breeding and strengthening are analyzed in the way of attribution , and the method of suppressing the formation of corruption psychology is further explored from the reality .

Chapter Four analyses the experiences of anti - corruption in countries and regions including Northern Europe , Singapore and Hong Kong . It is mainly introduced and discussed from aspects of value guidance , ethics and education , so as to provide reference and reference for improving and improving our country ' s anti - corruption education system .

In chapter 5 , " Problem Revealing " is carried out from three aspects of incorruptible consciousness , system design and punishment prevention mechanism , and the problems and loopholes existing in different angles of subject and object are explored , the source of corruption is revealed , the root causes of corruption and the process gradually induced are explained .

Chapter 6 " Punishment and Prevention System " . From the main body of breeding corruption , by increasing the cost of official corruption , standardizing official duties and building officials ' anti - corruption psychology , this paper puts forward some countermeasures to make officials " dare to greedy " , " not greedy " and " do not want to greedy " .

At the same time , the article gives a brief description of the shortcomings of the article and the main idea of future research .

Preventing official corruption is a system engineering , which includes both external forces and internal cultivation . The empirical analysis shows that the corruption behavior of officials has a certain correlation with the psychological state and personality traits of the individual . Therefore , it is necessary to increase the personality test when the officials are in the job , and select those who are suitable for public posts ;
carry out effective anti - corruption consciousness training , exercise official firm heart ;
We should perfect the system , compress the corrupt space , clean the environment , and let the officials focus on the business ;
regularly provide psychological guidance to officials , release bad emotions , and resolve poor cognition ;
Promote the treatment of officials , meet the normal needs , and create a sense of well - being .

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D630.9

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