官僚制与现代民主政治

发布时间：2018-05-08 23:41

本文选题：官僚制 + 官僚主义　；参考：《厦门大学》2007年博士论文

【摘要】： 纵观人类社会政治发展的历史,官僚制几乎是任何类型的国家都必须依重的国家政治统治与社会治理体制。从君主专制的古代国家到现代社会的民主政治国家,从奴隶制国家、封建国家再到资本主义国家和社会主义国家,恐怕没有任何一种政治国家能够离开某种类型的官僚制的运作而正常维护其统治。长期以来,官僚制,特别是19世纪以前的官僚制,主要是作为一种国家统治的政治手段而存在的。换言之,官僚制是一种维护少数统治者(君主或贵族)的利益,并保持其统治稳定和长久的工具组织。然而,随着现代民主国家的逐步建立和发展,无论何种形式的政治专制统治都已经为人们所唾弃,而民主政治已经成为历史发展的必然趋势和不可逆转的时代潮流。因此,在民主政治的背景下,现代官僚制与民主政治的关系日益受到关注和研究。本文是从厘清“官僚”、“官僚制”与“官僚主义”的概念以及相关的问题切入并逐步展开的。这样,既给后面的论述提供了一个清晰的概念基础,也为论及官僚制与民主政治的主题找到一种缘由。事实上,与其说官僚制是因为其对现代社会发展的贡献和作用而为人们所了解,倒不如说是因为它的官僚主义弊病所带来的恶劣影响而使人们印象深刻。所以,本文首先对官僚、官僚制和官僚主义的概念进行剖析,以客观和中性的态度分析它们之间的区别和联系,并对官僚主义产生的根源以及消除的途径作了初步的分析和探讨。在辨明了基本的概念之后,文章首先按照官僚制历史发展的逻辑顺序论述了君主专制下的古代官僚制和现代民主政治下的现代官僚制,对它们产生的历史轨迹和制度特征等进行了具体的分析。通过这种分析笔者意在表明,没有或缺乏民主制度的框架约束,是导致君主专制的古代官僚制肆意侵犯人民的生命、财产和自由权利的根源。然而,将官僚制的运作置于现代民主政治的约束和控制之下就不存在任何弊端和问题了吗?显然,回答是否定的。虽然现代官僚制与民主政治的结合开辟了官僚制发展史上的新篇章,但现代官僚制工具理性主义的设计也带来了诸如官僚主义等违背其职责和职能的问题。因此,如何克服官僚制的弊端以实现真正的民主政治的问题,自从现代官僚制诞生之日起就一直为人们所关注、讨论和研究。官僚制与现代民主政治的关系问题是本文的主题与重心,所以文章的第四、五、六章集中围绕这一核心展开。本文将官僚制与现代民主政治的关系定位于一种既互相协调又互相对立的关系。协调表明了两种体制之间的一种体制上的优势互补特性,而对立则表明了两种体制之间的一种冲突和制约。在二者的这种关系中,文章强调和突出了现代官僚制与民主政治之间的一种权力或力量的平衡。这是保证现代国家政治稳定和社会持续发展和持久繁荣的最为重要的政治因素。否则,如果国家的权力和力量偏向于官僚制或民主政治的任何一方,都有可能导致一种危险的政治体制的出现。而历史已经证明,极权专制政体或极端民主政体的存在将给国家和社会发展带来了怎样的灾难。因此,我们的结论是,应当保持现代国家政体模式下现代官僚制与民主政治体制这两种“子体制”之间的一种权力或力量的“平衡”。任何一方权力和力量的过度膨胀都是导致人民的生命、财产、自由和权利受到侵犯和伤害的开始,都存在着趋向于一种危险政治体制的潜在可能。然而,现代国家政治实践提供给我们的事实是,现代国家官僚制的权力和力量出现了日益扩张的趋势,而民主机构的权力和力量却相对衰落。这种扩张已经和正在造成对国家政治生活和社会发展的不良影响和后果,所以,分析、探索和寻求抑制官僚制膨胀的有效途径是非常重要而富有意义的。本文述及了韦伯关于对官僚制进行制约与控制的理论设想,并指出,通过民主机制的制约、提高官僚机构的民主素质和管理水平、下放权力和解除规制以及设立专门机构等是消除官僚制过度扩张的主要途径。当然,现代官僚制与民主政治之间力量均势关系的打破与现代国家和社会发展的客观需求直接相关,同时也是和官僚制自身的组织强势以及民主力量的弱势特征分不开的。官僚制适合管理大型社会组织的特性,使它在现代社会获得了广泛接受和普遍化发展的趋势,所以,官僚制,特别是政府官僚制掌握了越来越多的权力和社会资源,因此也拥有了越来越大的力量。与此相对比,民主的力量却由于大众力量的分散性和权力的代议性质而处于相对弱势的状态。也正因为如此,官僚制的强势力量才需要平抑,而民主的力量才需要维护和加强。在现代国家,官僚制行政权力扩张的后果之一是国家民主机构的“官僚制化”趋势。对于这种趋势的出现,笔者认为,在官僚制普遍发展的背景下民主机构的官僚制化是不可避免的,而且也有一定的客观必要性与合理性。但是,需要指出的是,民主机构的官僚制化必须有一定的“限度”。如果民主机构因过度地官僚制化而转变成一种事实上的“官僚体制”,那么,历史上那种官僚制一统天下的局面又会重新出现,民主政治将不复存在,而专制政治则会在现代社会重新上演。因此,无论在官僚制行政权力的扩张问题上,还是在民主机构的官僚制化问题上,都要有一个“度”的把握。某一时期符合客观需要的和适度的偏向,不仅是必须的而且是有益的。然而,过度的和极端的偏向则必然导致国家权力结构的失衡,并可能由此导致严重和危险的后果。尽管从较长的一个时期来看,现代官僚制仍然是现代国家政府管理过程中不可替代的工具组织和管理模式,但是,随着现代社会的不断进步和发展,现代民主政治力量的不断增强和民主体制的日益完善,以及对官僚制自身缺陷和不足的不断克服,必然会导致未来国家政府的官僚制模式发生重大的变化。本文在论述现代官僚制理论模式与现实政治实践的差距的基础上指出,在政治实践中人们对官僚制种种弊端的批判和时代进步与社会发展的新要求形成一种持续的压力,不断推动现代官僚制的改革和完善,特别是20世纪中后期以来持续而深入的官僚制改革运动,最终将导致一种适应新的时代要求的“新官僚制”或“后官僚制”模式的出现。如果说19世纪时期现代官僚制刚刚建立起来的时候,现代国家政体内民主的力量还比较薄弱的话,那么,随着社会的不断进步和发展,民主的力量也在逐步的加强。因为,从整个现代国家发展来看,政治生活的日趋民主化和人性化是一个总的趋势。因此,现代官僚制的自身发展和超越也必然会体现出这样一种趋向,而走向一种民主官僚制的发展模式。本文的主旨在于指出,在官僚制与现代民主政治之间,民主之于官僚制的重要性和必要性。换言之,离开民主政治机制的制约和控制的官僚制只能导致政治独裁和专制,所以,一个国家必定不能只注重发展和加强国家政府机构的行政权力而忽视民主机构的建设和对人民自由和权利的保护。相反,如果不切实际地随意削弱政府官僚机构应有的权威,那么,官僚机构对民主机构权力的制约和对民众力量的规范和管理的力量就很弱小。一个虚弱政府统治之下的国家往往又会导致一种“立法专制”或“多数的暴政”。在这种情况下,以“民主”和“多数”的名义侵犯少数人的权利和利益的现象就不可避免。因此,讨论、分析和研究官僚制与现代民主政治关系的理论价值就在于,它使我们明白,尽管官僚制是现代国家政治体制中日益拥有庞大规模、强大权力和广泛资源的权力主体,其自主性和独立性也因此而更加明显,但是,我们时刻也不能忘记谁才是现代国家的真正主宰,什么才是现代民主国家的政治目标和理想追求。只有这样,我们才能在官僚制与民主政治之间的权力和力量的关系上保持清醒的头脑,才能不被官僚制牵着鼻子走入政治的迷途。
[Abstract]:Throughout the history of human social and political development, the bureaucracy is almost a national political rule and a social governance system for any type of state. From the ancient monarchy to the democratic political state of the modern society, from the slavery state, the feudal state to the capitalistic and socialist countries, there is nothing to be done. A political state is able to maintain its rule without a type of bureaucracy. For a long time, bureaucracy, especially the bureaucracy before nineteenth Century, is mainly a political means of a state rule. In other words, bureaucracy is a maintenance of the interests of a few rulers (monarchs or aristocrats) and maintains its unity. However, with the gradual establishment and development of modern democratic countries, no matter what form of political dictatorship has been rejected by people, democracy has become the inevitable trend of historical development and the irreversible trend of the times. Therefore, under the background of democracy, the modern bureaucracy and the people are in the context of democracy. The relationship between the main politics has been increasingly concerned and studied.
This article starts from clarifying the concept of "bureaucracy", "bureaucracy" and "bureaucracy" and related problems. This provides a clear conceptual basis for the latter discussion, and also finds a relationship between the bureaucracy and the theme of democracy. The contribution and role of social development is understood by people, but it is better to be impressed by the bad influence of its bureaucratic maladies. Therefore, this article first analyzes the concepts of bureaucracy, bureaucracy and bureaucracy, and analyses the differences and connections between them objectively and neutrality, and to the officials. After identifying the basic concepts, the article first discusses the ancient bureaucratic system under the monarchy and modern bureaucracy under the modern democratic politics, the historical track and the institutional characteristics of them, and so on. Through this analysis, the author intends to show that the absence or lack of framework constraints of the democratic system is the root of the ancient bureaucratic system that causes the monarchy to infringe on the lives, property and freedom of the people. However, it does not exist without the restriction and control of the bureaucratic operation under the modern civil politics. Is the problem and the problem? Obviously, the answer is negative. Although the combination of modern bureaucracy and democratic politics has opened up a new chapter in the history of bureaucracy, the design of modern bureaucratic tool rationalism has also brought questions such as bureaucracy, which violates its duties and functions. Therefore, how to overcome the malpractice of bureaucracy so as to realize the truth The question of positive democracy has always been concerned, discussed and studied since the birth of modern bureaucracy.
The relationship between Bureaucracy and modern democracy is the theme and center of gravity of this article. So the fourth, fifth and six chapters of the article focus on this core. The relationship between Bureaucracy and modern democracy is located in a kind of relationship that is not only coordinated but also mutually opposite. The coordination table shows the institutional advantages between the two systems. In the two party, the article emphasizes and highlights the balance of power or power between the modern bureaucracy and the democratic politics, which is the most important political cause of the political stability and sustainable development and prosper prosperity of the modern state, in the relationship between the two systems. Otherwise, if the powers and forces of the state are biased towards any side of bureaucracy or democracy, it is possible to lead to the emergence of a dangerous political system. History has proved how the existence of totalitarian or extreme democracies will bring disaster to the development of the state and society. Therefore, our conclusion is that The "balance" of power or power between the two "sub systems" of modern bureaucracy and democratic political system under the mode of modern state politics. The excessive expansion of power and power of any party is the beginning of the people's life, property, freedom and rights being infringed and injured, and there is a tendency towards a dangerous administration. The potential of the system of governance, however, is the fact that modern state political practice provides us with the fact that the power and power of the modern state bureaucracy have an increasingly expanding trend, while the power and power of the democratic institutions are declining relatively. This expansion has and is causing the adverse effects and consequences of the state's political life and social development. Therefore, it is very important and meaningful to analyze, explore and seek the effective way to restrain the expansion of bureaucracy. This article describes Webb's theoretical assumptions about the restriction and control of bureaucracy, and points out that, through the restriction of the democratic mechanism, the democratic quality and management level of the bureaucracy, the decentralization of power and the deregulation, and the setting up of the bureaucracy are also pointed out. Establishing specialized agencies is the main way to eliminate the excessive expansion of bureaucracy.
Of course, the breaking of the power balance between the modern bureaucracy and the democratic politics is directly related to the objective needs of the modern state and the development of the society. It is also inseparable from the strong organizational strength of the bureaucracy and the weak characteristics of the democratic forces. The bureaucracy is suitable for the management of the characteristics of the large social organization and makes it available in the modern society. The trend of widely accepted and universal development is that bureaucracy, especially the bureaucracy of the government, has gained more and more power and social resources, and therefore has a growing power. In this way, the strong power of bureaucracy needs to be suppressed, and the power of democracy needs to be maintained and strengthened. In modern countries, one of the consequences of the expansion of bureaucratic administrative power is the "bureaucracy" trend of national democratic institutions. For this trend, the author believes that the bureaucracy of democratic institutions in the context of the general development of bureaucratic system. It is inevitable and has some objective necessity and rationality. However, it is necessary to point out that the bureaucracy of the democratic institutions must have a certain "limit". If the democratic institutions are transformed into a factual "bureaucratic system" because of excessive bureaucracy, the bureaucratic system of history is all over the world. It will reappear again, the democratic politics will not exist, and the autocratic politics will be restaged in the modern society. Therefore, there is a "degree" for the expansion of the bureaucratic administrative power and the bureaucracy of the democratic institutions. It is also beneficial. However, excessive and extreme bias will inevitably lead to the imbalance of state power structure and may result in serious and dangerous consequences.
Although from a long period of time, modern bureaucracy is still an irreplaceable tool organization and management model in the management process of the modern state government. However, with the continuous progress and development of modern society, the continuous enhancement of the modern democratic political power and the improvement of the daily benefit of the democratic system, as well as the defects and shortcomings of the bureaucracy itself. On the basis of discussing the gap between the theoretical model of the modern bureaucracy and the practical political practice, this paper points out that in the political practice, the criticism of the various drawbacks of the bureaucracy, the progress of the times and the new demands of the social development are formed in the political practice. Pressure, constantly promoting the reform and improvement of modern bureaucracy, especially the continuous and deep bureaucratic reform movement since the mid and late twentieth Century, will eventually lead to the emergence of a "new bureaucracy" or "post bureaucracy" model adapted to the requirements of the new era. If the modern bureaucracy has just been established in the nineteenth Century period, it will now be found. As the power of democracy in the state regime is still relatively weak, the strength of democracy is gradually strengthened with the continuous progress and development of the society. Because, from the development of the whole modern country, the increasingly democratic and humanized political life is a general trend. This trend is reflected in a development mode of democratic bureaucracy.
The main purpose of this article is to point out the importance and necessity of the bureaucracy between the bureaucracy and the modern democracy. In other words, the bureaucracy, which is restricted and controlled by the democratic political mechanism, can only lead to political dictatorship and autocracy. Therefore, a country must not only pay attention to the development and strengthening of the administrative power of the state government institutions. The construction of the democratic institutions and the protection of the freedom and rights of the people are ignored. On the contrary, if the authority of the government bureaucracy is weakened arbitrarily and arbitrarily, the power of the bureaucracy to the power of the democratic institutions and the power to regulate and manage the power of the masses is very weak. It will lead to a "legislative despotism" or a "majority tyranny". In this case, it is inevitable that the rights and interests of the minority are violated in the name of "democracy" and "majority". Therefore, the theoretical value of the discussion, analysis and study of the relationship between Bureaucracy and modern democracy lies in the fact that it makes us understand, despite bureaucracy, the bureaucracy. It is the main body of power in the modern state political system, which has a huge scale, powerful power and extensive resources, and its autonomy and independence are also more obvious. However, we can not forget who is the real master of the modern country and what is the political goal and ideal pursuit of the modern democracy. Only in this way can we keep a clear head in the relationship between power and power between Bureaucracy and democracy, so that we can not be led astray by bureaucracy.

【学位授予单位】：厦门大学
【学位级别】：博士
【学位授予年份】：2007
【分类号】：D035;D521

【引证文献】