英美地方自治制度比较研究

发布时间：2018-02-27 12:00

本文关键词： 地方自治制度英美自下而上历史制度主义　出处：《中共中央党校》2011年博士论文　论文类型：学位论文

【摘要】：地方自治制度与地方分权改革是民主发展达到一定程度时,对政治结构形式与政治体制的重新认识,是一种较高程度的民主制度建设。地方自治传统的产生历史悠久,这一制度的产生发展与历史传统的关系是认识地方自治制度的重要内容,它揭示了这一制度产生的源头与发展过程中的规律。本文从历史观念的角度出发分析问题,主要集中在两个方面。一方面,选取制度产生具有悠久历史的国家进行分析,英美两国都是地方自治传统深厚的国家,以这两国为研究对象更有利于看清这一制度发展的全貌;另一方面,对制度进行不局限于一国一个时期的分析,而是进行制度发展历史脉络的研究,对正在使用和发展的制度进行理性的分析和合理的解释。本文将英美两国具有地方自治传统的国家作为一种模式进行研究,主要是出于历史制度主义的研究方法进行的分类,将两国的地方自治制度的形成与发展看作是“自下而上”建立的,在相似传统中寻找差异与共性更有利于对地方自治制度进行深入的研究。同时,英美两国都拥有较为先进的政治文化和较发达的政治体系,以这两国为样本进行研究对这一制度整体的发展具有代表性。地方自治制度不仅是实现传统自治精神的现实选择,还是实现民主政治的重要途径,其建立与发展在发达国家的尝试与经验对发展中国家具有示范效应和借鉴意义。地方自治由于世界各国国情、历史文化传统各不相同,而且地方事务纷繁庞杂,所以有从不同方面、不同角度及不同侧重点对其进行定义具有一定的合理和客观性,而难以在一个定义中将其全面涵盖。本文试图从两个层次上对地方自治的概念进行界定。制度层面上,从中央、地方、社会、个人的政治理念、法律制度关系去界定。实际运作过程层面上,从地方政府的表现方式与实现途径的变迁、在特定环境中地方网络成员的互动关系及地方自治目标与行动的互动关系去界定。本文试图从政治制度的静态及动态角度较为全面客观的去理解地方自治的内涵。地方自治是一整套关于地方自我管理、决策的制度、法律和规范,以及围绕规范展开的各种政府行为和相关主体间的互动模式。地方自治权作为一种政治权力存在必有其合法性来源,本文主要介绍了固有权说、国家确认说和人民主权说。地方自治的价值与意义在于它是人权原则的政治实现途径,是民主价值的必然要求,是妥善处理中央与地方利益关系的重要手段。本文并不企图将英美两国地方自治的历史全貌进行复述,而是选择几个具有代表性的阶段分析制度形成原因,重点在研究这一类模式地方自治制度当代发展的特点与趋势。英国有着悠久的地方自治传统,这一制度的形成发展是伴随着法治化与议会主权为特色的,根据中央与地方的权力关系主要分为传统地方自治制度建立形成时期、20世纪80年代中央权力回收时期、20世纪末工党宪政改革下的权力下放时期。在不同的时期权力对比中,主要使用历史制度主义的分析指标——利益、观念、制度的角度,分别对每个时期为何形成具有代表性特点的原因进行横向的分析,在横向与纵向的交叉中探寻当代英国地方自治制度的历史积淀。英国地方自治制度在新近的改革与现状中表现出新的特点:通过建立和完善地方自治制度解决民族问题,中央政府对地方政府的分权化改革以及地方政府在实现地方自治的效果中进行的种种改革。美国地方自治的生产生活方式是在其建国前各个地方就形成的,以一种自愿结成的乡镇自治生活为特点,并“自下而上”将之确定为国家法律予以推行,成为一种公共政治生活的准则。美国中央与地方的权力关系没有明确的代表性阶段,而是在其地方自治传统形成后,经常处于权力的调整状态中。本文意在给地方自治权力的形成与调整厘清各自的原因,同样以利益、观念、制度的角度进行历史制度主义的横向与纵向交叉分析。美国当代地方自治制度在历史与现实条件下呈现出新特点:地方自治与分权的新动向是由解决人口集中区域政府面临的问题时所引发的,新联邦主义不仅在联邦与州层面上运用,还在州与地方的新关系上起原则性作用,地方政府在管理方面进行的一系列适应地方自治的变革。英美两国地方自治模式虽然有相似的历史发展脉络,都是具有共同的自下而上建立地方自治制度的基础,两国具有共同的政治文化基础和相似的制度基础,在近当代都出现国家权力的回收现象,重新重视基层地方政府或组织的力量,在总体上趋向一种中央与地方权力均衡发展的状态。但二者仍有各自不同特点,主要表现在:地方政府自治权的法律来源不同,拥有地方自治权的组织机构不同,地方政府选举中政党因素的影响程度不同,两国对地方政府职能权限不同,两国对地方政府的监督方式有所不同。本文在对英美模式的地方自治制度情况进行全面了解和从历史制度主义的角度进行深入分析后,对此模式地方自治制度的当代发展中面临的难题进一步总结与思考,对传统的政治理念和政治要素提出挑战,并指出了由此引发的适应现代政治模式与理念的重新定位。其主要表现在:第一,由地方自治制度引发的对公民权的重新思考,地方自治的实践使公民权到底是源于地方团体认同还是个人主义的追求?公民权是通过地方政治参与实现还是通过国家政治选举实现?这些争论开始被重提,同样也是经过英美地方自治的实践,提出了争论解决的对策,即地方自治制度的发展与完善,也是一种将个人主义的追求融入到地方团体的认同中去的过程。政治参与与民主选举在不同层面上对实现公民权具有重要作用,事实证明,民主选举在实现国家层面的公民权方面更有效,其他形式的各种政治参与在地方自治中具有开创性意义。矛盾能够化解为一个问题的两个方面。第二,地方自治制度发展引发的地方政府的角色转变可能产生两方面的问题,在重视效率问题时可能出现价值问题,在重视价值问题时可能出现效率问题,制度设计与实践总会产生理想与现实的差异,但这些差异并不一定都是消极的,有可能激发积极的结果。第三,地方自治制度引发的社会治理的发展以及治理主体权威多中心化产生的对国家传统的政治要素与权力结构的冲击与变化,主要表现在传统国家形态发生变迁和传统政治参与主体出现的变化。综上所述,本文主要以研究英美模式地方自治制度的历史形成发展原因为基础,深入分析两国这一制度的差异与共同点,更明确的揭示这一制度当代发展的特点与发展趋势以及由此引发的政治理念方面的新思考。本文的目的不仅在于地方自治制度发展的历史进行疏理,而且试图对这一制度的发展趋势进行前瞻性思考与研究;不仅能对制度本身及现阶段的政治实践具有剖析作用,而且能对这地方自治制度在其它国家的运用具有启示意义。
[Abstract]:The system of local autonomy and decentralization reform and democratic development is to a certain extent, to re recognize the political structure and the political system, democratic system construction is a high degree of local autonomy. Traditional production has a long history, the relationship between the system's development and historical tradition is an important part of understanding the system of local autonomy. It reveals the origin and development process of this system in the law. This paper from the perspective of the historical concept of the analysis of the problem, mainly concentrated in two aspects. On the one hand, select the system of a country with a long history of Britain and the United States are traditional and local autonomy to the two countries, as the research object more conducive to the development of this system to see the whole picture; on the other hand, analysis is not limited to a period of a country's system, but the system of the development of the historical context Research, the rational analysis and reasonable explanation of the system being used and developed.
This article will study the Anglo American tradition of local self-government with countries as a model, is the main research method for classification of historical institutionalism, the formation and development of the system of local autonomy between the two countries is considered as a "bottom-up" establishment, find the difference and commonness is more conducive to the in-depth study on the system of local autonomy in similar traditional. At the same time, both the United States and Britain have advanced political culture and political system is developed, with the two countries as samples to study the system of the development of the whole representative. Local autonomy is not only a realistic choice to achieve the traditional spirit of autonomy, but also a important way to achieve democracy, its establishment and the development of practices and experiences in developed countries have a demonstration effect and significance to the development of Chinese furniture.
Local autonomy as the world situation, historical and cultural traditions are different, and local affairs are numerous and complicated, so there are from different aspects, different angles and different emphases with some reasonable and objectivity of the definition is difficult in a definition in its comprehensive coverage. This paper tries to define the concept of local self-government from two a level. The system level, from the central, local, social, personal political philosophy, legal relationship to define. The actual operation of the process level, from the local government performance and the way to realize the change and interaction in a specific environment where the interaction between network members and local autonomous target and action to define the connotation. This paper tries to objectively understand the local autonomy from static and dynamic angle of the political system. Local autonomy is a set of local self management The system, the law and the norms of the decision, and the interaction patterns between the various government actions and the related subjects around the norms.
Local autonomy is a kind of political power there must have its source of legitimacy, this paper mainly introduces the inherent right, state and sovereignty of the people. To confirm the value and significance of local autonomy is that it is a political way to realize the principle of human rights, is the inevitable requirement of democratic values, is an important means to properly deal with the relationship between central and local interests.
This paper does not attempt to American and British local autonomy history to repeat, but choose several representative stages of system analysis of causes, focusing on the characteristics and trends of this type of regional autonomy. Britain has a long tradition of local self governance, the formation of this system is accompanied by the development of law ruling with the sovereignty of Parliament for the characteristics, according to the relationship between central and local powers are established during the formation of traditional system of local autonomy, in 1980s the central power recovery period, the power of labour under the constitutional reform at the end of twentieth Century. During the period of decentralization in different periods of power comparison, analysis indicators mainly use historical institutionalism, interests, ideas, the angle of the system, each of the reasons why the period representative characteristics of the horizontal analysis, the horizontal and vertical cross In the search for contemporary British local autonomy system. History of British local self-government system shows new characteristics in the recent reform and current situation: to solve the ethnic problems through establishing and perfecting the system of local autonomy, the central government on various reform of decentralization reform of local government and local government in the implementation of local autonomy in effect.
The local autonomy of production and lifestyle is formed in most areas of the country before, in a voluntary form of township autonomy life characteristics, and "bottom-up" will be identified as the national law implemented, become a kind of public political life standards. The power relations between the United States of central and local representative not clear in the stage, but formed the tradition of local autonomy, often in a state of adjustment in power. This article is intended for the formation and adjustment of local autonomy to clarify their own reasons, concept of interests, also, the horizontal and vertical cross analysis system of historical institutionalism. The contemporary local autonomy system presents new features under the condition of history and reality: a new trend of local autonomy and decentralization is caused by the concentrated area to solve the population problems facing the government's new federalism is not only in the League At the state and state level, it also plays a principled role in the new relationship between the state and the local government, and a series of reforms that local governments are adapting to local autonomy in management.
Although there are two local autonomous model of Anglo American history are similar, with the common foundation of bottom-up establishing system of local autonomy, the two countries have the political common cultural foundation and similar institutional basis, in the recovery of nearly all the contemporary phenomenon of national power, attach great importance to the local government or organization tends to be a kind of power balanced development of the central and local state in general. But two of them still have their different characteristics, mainly reflected in: the legal source of local government autonomy is different, different organizations with local autonomy, local government elections party influence degree of different factors, different countries on the functions of local government authority, supervision of the two local government is different.
In this paper, the system of local autonomy of the Anglo American model of comprehensive understanding and in-depth analysis from the perspective of historical institutionalism, and further summarizes the problems facing contemporary development of this mode of local self-government system in consideration of traditional political ideas and elements to challenge, and points out the re orientation of modern political adaptation model and idea. It mainly displays in: first, caused by the local autonomy of citizens' rights to rethink the practice of local autonomy, the civil rights is derived from local group identity or individualism? Civil rights is realized through local political participation or through national elections? The debate began to be again, also through the practice of English local autonomy, and puts forward some countermeasures to solve the dispute, the development and perfection of the system of local autonomy, but also A kind of individualism into the process of local group identity. In political participation and democratic elections at different levels of the realization of citizens' rights has an important role, in fact, the democratic election is more effective in the realization of citizens' rights on the national level, other forms of political participation has pioneering significance in the local autonomy two. To resolve the contradictory aspects of a problem. Second, change the role of the local government triggered the development of local self-government system may have two aspects, the value problem in the importance of efficiency, efficiency in the problem may pay more attention to the value problems, system design and practice will always produce the ideal and the reality the differences, but these differences are not always negative, may stimulate positive results. Third, the development of social governance by local autonomy system of governance The impact and change of the traditional political elements and power structure produced by the multi centralization of the authority of the main body is mainly manifested in the change of the traditional state form and the change of the traditional political participants.
In conclusion, this paper is mainly to study the Anglo American model of local self-government system due to the formation and development of historical basis, in-depth analysis of the difference in the systems of two countries and common point, reveal the characteristics and development trend of the contemporary development of this system is more clear and the politics of new thinking. The purpose of this paper is not only to the development of local the autonomous system of the history of this article and to the developing trends of this system are forward-looking thinking and research; not only has effect on the analysis of the political practice system itself and at the present stage, but also of great significance for the use of the system of local autonomy in other countries.

【学位授予单位】：中共中央党校
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D771.2;D756.1

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