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研究生:段哲哲
論文名稱:中國大陸基層公務員唯才體制的實踐與效果— 基於10個縣區的實證研究
論文名稱(外文):The practice and effect of meritocracy in grassroots-level civil servants — An empirical study based on 10 counties and districts in China
指導教授:蘇偉業蘇偉業引用關係
口試委員:江明修顏良恭曾冠球鄭振清
口試日期:2019-10-07
學位類別:博士
校院名稱:國立政治大學
系所名稱:公共行政學系
學門:社會及行為科學學門
學類:公共行政學類
論文種類:學術論文
論文出版年:2019
畢業學年度:108
語文別:中文
論文頁數:271
中文關鍵詞:基層公務員唯才體制進用制度專業能力專業自主性水平回應性水平回應性
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西方學界對中國大陸發展模式一直存在部分誤解,甚至提出發展制度理論中的“中國悖論”:中國經濟高速發展與中國政府治理品質低下並存。不過,近年來,有西方學者提出了一個新的解釋——中國大陸的唯才體制幹部管理制度是推進經濟發展與人類福利改善重要原因之一。佐證這個解釋的經驗資料是,30多年來,中國大陸政府採用了許多專業的管理理念引入到中國公務員制度漸進式改革,這些改革改變了中國大陸行政系統的結構和運作,從傳統的幹部制轉變為新的公務員制。這些改革為中國成功的經濟和社會發展做出了貢獻。但是中國大陸以外的不少學者對影響中國行政管理實踐的公務員制度的研究重視不夠,而且,受限於中國特殊的國情,西方學者或者境外學者對中國大陸的公務員制度分析定性判斷居多,專門針對公務員主體實證研究缺乏,對中國大陸基層公務員對制度變革效應的主觀感知實證研究比較少見。嚴格實證研究缺乏影響了理論對話。
本研究對中國大陸10個城市區級及鄉鎮層級政府基層公務員問卷調查,獲得一手資料、大樣本、具有一定代表性的調研資料,試圖在三個方面為現有研究做出一定的貢獻:第一,中國基層公務員唯才體制(主要是招聘制度)在中國大陸演進歷程及制度運作流程,可以分為三個階段,劃分的節點有四個:1949年、1993年《國家公務員暫行條例》頒佈、2005年《國家公務員法》頒佈、2018年《國家公務員法》的修訂。這三個時期的制度價值導向及對公務員主觀感知的影響;學者對中國公務員制度變遷與招聘制度的描述內容忽視了中國大陸公務員實際運作的複雜性與多樣性,往往探討的是法律層面所表述的制度結構變革。然而,中國幹部組織人事制度的改革,同其他改革模式基本相同,就是先試驗、後總結和最後推廣的過程。公務員制度經歷了這樣的制度變遷過程,且這種過程中存在“凡進必考”、“競爭上崗”、“公開選拔”等多元化探索,本研究試圖探究不同公務員錄用方式的制度邏輯與運作細節。第二,基於西方學者對傳統公共行政主題,即政治性與專業能力價值(政治與行政)之間的衝突的爭論,並且基本認為中國大陸的公務員制度變革是一個從“高政治化、低能力”向“低政治化、高能力”轉變的過程,那麼事實是否如此?基層公務員的主觀感知能否提供這種經驗證據?本研究在基於大範圍、大規模隨機抽樣的基礎上,提出的三個研究有關專業主義方面假設以及三個回應性方面的假設:1993年與2005年兩次公務員制度完善對公務員唯才體制專業能力感知有正向效應;中國大陸現代公務員制度建立對公務員唯才體制專業自主性感知有正向效應:制度建立時間越長,公務員對唯才體制專業自主性感知越好;腐敗風險比較高時,正式考試增加唯才體制專業能力正向效應;腐敗風險比較低時,正式考試減少唯才體制專業能力正向效應。回應性方面研究假設則討論:公務員回應的影響因素是壓力導向的還是價值觀導向的?意識形態是否會對回應性價值觀有積極影響?政治化錄用方式是否影響基層公務員倫理衝突下的回應性行為選擇?第三,對中國大陸唯才體制的效果進行綜合論述,提出了四種類型唯才體制:行政性唯才體制,臣服性政治唯才體制、民粹性政治唯才體制、代表性唯才體制;結合實證資料分析出當前中國大陸公務員唯才體制的類型。
引言 1
第一章 研究背景與目的 3
一、研究背景 3
(一)研究背景、研究方法與研究對象的創新 3
(二)華人社會本土經驗帶來新視野 3
二、研究目的 4
三、研究價值 4
(一)學術價值 4
(二)應用價值 5
四、研究對象 6
五、總體框架 6
六、重點難點 7
七、主要目標 8
第二章 文獻回顧、研究問題與研究假設 9
一、基本概念 9
(一)唯才體制定義 9
(二)公務員唯才體制實踐 12
(三)公務員唯才體制實施效果 19
(四)基層公務員內涵與外延 26
二、唯才體制制度分析 30
(一)西方國家基層公務員錄用制度:多樣化與向下放權 30
(二)中國大陸基層公務員唯才體制(考錄制度)變遷:原則、制度與運作機制 31
三、中國大陸唯才體制實踐的效果評估與研究假設 41
(一)基層公務員唯才體制效果:專業主義 41
(二)基層公務員唯才體制的效果:回應性 64
(三)中國大陸基層公務員對唯才體制類型的感知 94
第三章 研究路徑、研究方法、資料採集與研究議程 97
一、基本思路 97
二、研究方法 98
三、變數測量 100
(一)公務員的專業主義 100
(二)公務員的回應性 101
(三)唯才體制的類型 102
(四)制度變遷因素 102
(五)腐敗風險感知 102
(六)政治化測量 103
(七)控制變數 103
四、資料來源與資料採集 105
五、研究過程與樣本分佈 107
第四章 中國大陸基層公務員唯才體制變遷的制度邏輯:原則、制度與運作機制 109
一、第一階段:1949-1977年,政治化幹部管理制度 109
(一)原則(價值)導向:從“才德兼備”走向“以德為主” 110
(二)唯才制度:黨的政策為主,委任制為主 112
(三)運作機制:集中管理,統一分配,內部推薦 113
二、第二階段:改革開放1978年-2004年,“凡進必考”原則建立、貫徹與落實 115
(一)原則(價值):“四化幹部”與技術官僚 115
(二)唯才體制的制度內容:逐步建立考任制與委任制分途的錄用方式 116
(三)運作機制:逐步走向“凡進必考”單一錄用模式 121
三、第三階段:2005年-2018年 ,專業化與政治化融合公務員錄用制度 128
(一)原則(價值):專業化與政治化融合,強化政治化原則 128
(二)唯才體制制度:考任制與委任制強化政治化原則 130
(三)唯才體制運作機制:凡進必考與幹部選拔 134
四、小結:建國以來唯才體制錄用制度變遷的特點 143
第五章 研究假設驗證、結果分析與討論 149
一、 制度變遷對公務員“專業能力”感知的影響 149
(一)研究設計:計量模型與變數選取 149
(二)統計分析與實證結果 152
(三)小結與討論 165
二、公務員制度變遷對公務員自主性的影響 167
(一)研究設計 167
(二)實證結果 170
(三)小結 177
三、腐敗因素對唯才體制專業能力的影響 179
(一)研究設計 179
(二)實證結果 181
(三)小結與研究限制 192
四、政治控制、回應價值觀與水平回應性 194
(一)研究方法與研究設計 194
(二)實證結果與討論 196
(三)小節與政策意涵 199
五、官僚政治化對回應性價值觀影響 201
(一)研究設計 201
(二)實證結果 205
(三)小結 214
六、官僚政治化對垂直回應性的影響 216
(一)研究設計 216
(二)實證結果與討論 221
(三)小結 230
第六章 總結與研究限制 233
一、總結:中國大陸唯才體制類型及影響因素 233
(一)中國大陸公務員制度唯才體制的類型 234
(二)官僚專業化對基層公務員專業主義的影響:制度變遷的衝擊 235
(三)官僚政治化對基層公務員回應性的影響:招聘政治化與意識形態的作用 237
二、研究限制與未來方向 239
參考文獻 243
附件 263
附件一:問卷調查題目 263
附件二:中國大陸1949以來主要公務員制度 270
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