比较历史视野下的大国治理问题研究：以耦合治理结构与治理绩效的关系为线索

发布时间：2018-06-02 12:10

本文选题：大国治理 + 双轮驱动　；参考：《复旦大学》2012年博士论文

【摘要】：从古至今,大国治理问题不仅是学界、政界甚至一般民众倍感兴趣的问题,而且是一个具有重要理论价值和现实意义的研究课题。改革开放以来的中国是一个不断崛起的大国,这种崛起受到国内外复杂多变的因素的影响。本文认为,中国要真正实现大国崛起和民族复兴,快速的经济发展和良好的国际环境等因素固然很重要,但是最根本的还在于国内的治理结构是否合理和完善。那么,一个大国具有何种治理结构才能实现并长期维系良好的治理绩效呢?本文认为,从大国自身特征和治理内在需求的角度出发,大国的有效治理应该建立在国家与社会“双轮驱动”的基础上,即大国的治理结构应该是由两套具有不同性质、目的和行动逻辑的治理体系所耦合而成的,我们将其称之为“耦合治理结构”。这种治理结构的耦合性有强弱之分,它主要体现在以国家(或中央政府与精英)和社会(或地方政府与民众)为主体的两套治理体系之间相互认同、嵌入和渗透的程度。因此本文提出如下基本假设：大国的耦合治理结构同它的治理绩效之间存在着密不可分的关系,强耦合性的治理结构是大国实现良好治理绩效的重要基础和条件；反之,弱耦合性的治理结构则不利于良好治理绩效的实现,甚至会导致治理危机的不断累积和政治体系的最终崩溃。上述命题和假设要想得到证明,就必须建立在对大国治理结构的构成和特征深入全面把握的基础上。因此,笔者通过选取古代世界最具代表性的两个大国一—中华帝国和罗马帝国——作为研究案例,以耦合治理结构与治理绩效的关系为线索,尝试去证明上述命题和假设,这种证明的过程实际上就是去解释和分析“双轮驱动”对于大国有效治理的关键性意义何在。就中华帝国而言,它是古代世界中极少数实现了长期有效治理的大国,而罗马帝国在治理绩效上就要差很多。为什么两国在治理绩效上会存在重大差异呢?本文认为,中华帝国的长期有效治理很大程度上是由于皇权-官僚主导的国家治理体系与家族、宗族和村落等构成的社会治理体系之间实现了强有效的耦合,即是一种强耦合性的治理结构；而罗马帝国的治理不力和失败很大程度上源自于皇帝和军队主导的国家治理体系与由行省和自治城市等构成的地方治理体系之间的弱耦合性,即是一种弱耦合性的治理结构。这就是说,大国的治理结构的耦合性强弱程度会对它的治理绩效产生显著的影响,这种影响集中体现为大国在治理的合法性与有效性以及对环境的适应性等方面存在着显著的差异性。这意味着大国的耦合治理结构与治理绩效之间确实存在着明显的正相关性。总之,一个大国要实现并维系长期的有效治理,就需要将其治理建立在国家与社会双重治理体系强耦合的基础上,通过国家与社会的“双轮驱动”为大国治理与成长提供强大的动力资源和制度保障。在这种情况下,大国治理所面临的各种基本问题——如何在国家控制与社会自治、中央集权与地方分权、一体化与多元化之间实现动态平衡——就会得到比较好的解决。这无疑是大国实现有效治理的重要经验。本文最后对当前中国的国家治理问题进行了探讨,认为一方面应该对中华帝国等大国的治理经验与历史遗产进行选择性开发和创造性转化,另一方面应该通过积极的政治体制改革,重建政党与国家和社会之间的关系,为中国社会的成长开拓新的空间,从而建构起一种国家与社会双重治理体系之间强耦合的新型治理结构。建构这种结构就意味着中国的国家治理应该建立在“双轮驱动”这种有力而稳固的基础上,这是中国实现和平崛起和长治久安最为现实可行的路径。
[Abstract]:From the ancient to the present, the problem of great power governance is not only a problem of interest in the academic circles, the political circles and even the general public, but also a research subject with important theoretical value and practical significance. China has been a rising power since the reform and opening up. This rise is influenced by the complex and changeable factors at home and abroad. It is of great importance to truly realize the rise of a big country and a national rejuvenation, rapid economic development and a good international environment. But the most fundamental is whether the domestic governance structure is reasonable and perfect. Then, what is the governance structure of a big country to achieve and maintain good governance performance? The effective governance of a big country should be based on the "double wheel drive" of the state and the society, that is, the governance structure of a big country should be coupled by two sets of governance systems with different nature, purpose and action logic, which we call it "coupling governance structure". The coupling of species governance structure has a strong and weak point. It is mainly embodied in the degree of mutual recognition, Embeddedness and penetration between the two sets of governance systems which are the main body of the state (or the central government and the elite) and the society (or the local government and the public). Therefore, this paper puts forward the following basic assumptions: the coupling governance structure of the big country and its governance performance. There is an inseparable relationship. The strong coupling governance structure is the important basis and condition for the great power to achieve good governance performance. On the contrary, the weak coupling governance structure is not conducive to the realization of good governance performance, and even the accumulation of governance crisis and the final collapse of the political system.
In order to prove the above proposition and hypothesis, it must be based on the thorough and comprehensive grasp of the structure and characteristics of the governance structure of the great powers. Therefore, the author chooses the two most representative powers of the ancient world, the Chinese Empire and the Rome empire as a case study, to coupling the relationship between governance structure and governance performance. For clues, try to prove the above propositions and hypotheses. The process of this proof is actually to explain and analyze the key significance of the "double wheel drive" to the effective governance of the great powers. As for the Chinese Empire, it is a very small country in the ancient world to achieve long-term effective governance, and the Rome empire is poor in governance performance. Many. Why are there significant differences in the governance performance of the two countries? The long-term effective governance of the Chinese empire is largely due to the strong and effective coupling between the imperial bureaucratic governing system and the social governance system, such as the family, the clan and the village, which is a strong coupling governance. The weak governance and failure of the Rome empire are largely derived from the weak coupling between the national governance system dominated by the emperor and the army and the local governance system composed of provinces and autonomous cities, that is, a weak coupling governance structure. That is to say, the degree of coupling strength of the governance structure of the big country will be the same. It has a significant impact on its governance performance, which is mainly reflected in the significant difference between the legitimacy and effectiveness of the great powers and the adaptability to the environment. This means that there is a clear positive correlation between the coupling governance structure and the governance performance of a big country. To maintain long-term effective governance, it is necessary to establish its governance on the basis of the strong coupling of the dual governance system between the state and the society. Through the "double wheel drive" of the state and the society, it will provide powerful power resources and institutional guarantee for the governance and growth of the great powers. The dynamic balance between state control and social autonomy, centralization and decentralization, integration and pluralism will get a better solution. This is undoubtedly an important experience for the great powers to achieve effective governance.
At the end of this paper, the problem of state governance in China is discussed. On the one hand, it is believed that the governance experience and historical heritage of the great powers such as the Chinese Empire should be selectively developed and creatively transformed. On the other hand, the relationship between the political party and the state and the society should be rebuilt by the active political system reform, and the result of the Chinese society. The construction of a new structure of strong coupling between the dual governance system of the state and the society, which means that the national governance of China should be built on the strong and stable foundation of the "double wheel drive", which is the most realistic and feasible way for China to achieve peaceful rise and long-term stability. Route.
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：D0

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