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美国联邦官僚制研究
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摘要
本篇论文的研究对象是美国的联邦官僚制,笔者将之限定于美国联邦行政系统,美国学者称之为联邦政府的功能系统。本文将美国联邦官僚系统置于美国的整个政治系统中加以探讨,研究和分析美国联邦官僚系统与总统、国会以及社会利益集团之间的关系,探讨美国政治文化对其联邦官僚制所产生的影响,在此基础上尝试建构美国联邦官僚制的理论模型。
     在美国分权制衡的政治体制中,联邦官僚系统与总统和国会之间形成一种“一仆二主”的状况,使联邦官僚系统须同时对总统和国会负责。尽管如此,基于联邦官僚系统自身组织结构的多样性、分散性和多层级性、以及在功能上的专业性特征等,使联邦官僚系统在一定程度上保持着某种相对独立性,从而使美国总统和国会都无法完全控制它。美国的多元主义政治文化使其联邦官僚制极具开放性和渗透性。一方面,联邦官僚系统中职业官僚系统的常任制,使之得以与国会委员会和社会利益集团结成“铁三角”,在政策过程中协调一致,去抵制总统的控制;另一方面,美国社会的开放性使其社会利益集团得以游说和渗入政府行政系统,参与政府行政系统的决策和政策执行过程,在一定程度强化了联邦官僚系统与国会和总统相抗衡的实力。
     本篇论文运用历史制度主义的理论方法,考察美国联邦官僚制的历史演变和发展脉络,以更加深刻地理解当今美国联邦官僚制的特点。同时运用结构功能主义的理论方法去剖析美国联邦官僚系统的组织结构及其功能,分析美国联邦官僚系统的权力关系,由此揭示美国联邦官僚制的内在特质和类型。
     导论部分解析了本选题的来源。美国著名政治学家和比较公共行政学家费勒尔·海迪(Ferrel Heady)在其《比较公共行政》一书中对美国联邦官僚制的定位,引发了笔者对美国联邦官僚制研究的兴趣。笔者在国内外学者对美国联邦官僚制研究的基础上,明确本文的研究视角和切入点,采用政治生态方法对美国联邦官僚制问题加以研究。
     在第一章中,笔者对官僚和官僚制的概念加以界定,厘清本文研究的范畴,阐述本项研究中所采用的理论方法。在第二章中,笔者追溯了美国联邦官僚制发展的脉络,将之归纳为“绅士政府”时期、“政党分肥制”时期、“功绩制”时期和“1978年文官制改革后”时期四个阶段,分析了美国的多元主义政治文化背景,解析多元主义政治文化的内涵以及美国的多元主义政治文化,为美国联邦官僚制权力关系的分析加以铺垫。第三章是关于美国联邦官僚制组织结构及其功能的分析。剖析了美国联邦官僚制的构成,包括联邦内阁级各部、独立机构和政府公司;并将美国联邦官僚区分为政治官僚和职业官僚两大类型。在此基础上,分析美国联邦官僚系统的功能,将之归纳为行政管理、政策建议、利益表达与利益综合、交流和政治稳定六大功能。
     第四章、第五章和第六章是关于美国联邦官僚制权力关系的论述。第四章分析联邦官僚系统与总统间的权力关系,解析总统对联邦官僚系统的控制、美国“分权制衡”体制对总统联邦官僚控制权的限制、以及联邦官僚系统的自主性及其由此而形成的对美国总统控制权的限制。第五章分析联邦官僚系统与国会的权力关系,解析国会对联邦官僚系统的控制权、控制方式及其实际效果,分析联邦官僚系统所享有的“委任立法权”及其参与立法的诸种因素。第六章分析联邦官僚系统与利益集团之间的关系,解析利益集团影响联邦官僚系统的方式,从联邦官僚系统的角度分析利益集团渗透于政府行政过程的原因及所产生的影响。
     基于以上分析,笔者将美国的联邦官僚制归于“分权-多元”类型,突出地体现为分散、开放、多元的特征。如今,美国的联邦官僚制显现出官僚政治化和联邦官僚系统自主性加强的趋势。表现为联邦官僚系统对政治决策参与性的加大和影响力的加强,突出地反映为官僚个人行为政治化倾向有所加强、以及联邦高级文官系统与政治系统的联系日益紧密。随着时间的迁移,如今美国联邦官僚系统的开放性、渗透性和代表性进一步加强,联邦官僚系统在国家政治系统中的地位进一步提升,也因而被称为除立法、行政和司法权之外的“第四权”。
     关于美国联邦官僚制的研究在美国如同汗牛充栋,材料很多,但在中国国内,还仅仅是开始,并不充分,希望本文的研究能够对中国的美国官僚制研究有所推动,同时对中国自身的政府官僚体制研究有所裨益。
The research object of this paper is the federal bureaucratic system of the UnitedStates, and defines it as federal administrative system which called as the functionsystem of federal government by American scholars. The Study of FederalBureaucracy which discusses in the entire political system of United States in thispaper focuses on the relationship between the Federal Bureaucracy and President,Congress, as well as social interest groups, and then discusses the impact of U.S.political culture on the Federal Bureaucracy. On the basis of the above-mentionedresearch, the author tries to construct the theoretical model of U.S. FederalBureaucracy at last.
     In the separation of power of political system of United States, the FederalBureaucracy, President and Congress form a "One Servant Owning Two Masters"situation, which makes the Federal Bureaucracy respond to both the President andCongress. Nevertheless, Congress and the President cannot fully control the federalbureaucracy system because of itself organization structure of the diversity,dispersivity and multi-level feature, as well as the function of the professionalcharacteristics which makes the federal bureaucracy system to keep a relativeindependence in a certain extent. American pluralistic political culture makes thefederal bureaucracy system highly open and permeability. On the one hand, thepermanent system of career bureaucrats in the Federal Bureaucracy make it form an"iron triangle" with congressional committees and social interest groups, so that theycan coordination in the policy process to resist the president's control; On the otherhand, because of the openness of American society, the social interest groups couldhave the chance to lobby and infiltrate the Federal Bureaucracy, participate in thepolicy decision-making and implementation process, that strengthen the capability ofFederal Bureaucracy to confront the pressure from Congress and President.
     In order to profoundly understanding the characteristics of contemporary FederalBureaucracy, the paper uses the historical institutionalism to exam the history and evolution of U.S. Federal Bureaucracy. At the same time, this paper uses thestructural functionalism to explore the structures and functions of U.S. FederalBureaucracy, then analysis the power relationships of the federal bureaucracy system,thus reveal the inherent characteristics and the type of Federal Bureaucracy.
     The introduction of this thesis explains the reason why we choose this topic.Ferrel Heady, the well-known political and comparative public administrationscientist of American, who defined the type of U.S. Federal Bureaucracy in PublicAdministration: a Comparative Perspective, sparked the interest of the author to studythis topic. Based on the study of domestic and foreign scholars, the author clears theperspective and the starting point of this paper, and uses political ecology approach tostudy the issue of U.S. Federal Bureaucracy.
     In the first chapter, the author defines the concept of bureaucrat and bureaucracy,clarifies the scope of this paper, and then elaborates the theory and methods used inthis paper. In the second chapter, the author traces the history and evolution of U.S.Federal Bureaucracy, then divides it as four phases:“Gentleman Government”,“Spoils System”,“Merit System” and “The Reform of the Civil Service System After1978”, analyzes the political cultural background of American pluralism, explains themeaning of pluralism and the pluralism political culture of the United States, and topave the way for the analysis of power relationship of the U.S. Federal Bureaucracy.The third chapter introduces the structures and functions of U.S. Federal Bureaucracy.This section analyzes the composition of U.S. Federal Bureaucracy, including thefederal cabinet-level ministries, independent agencies and government corporations;divides the federal bureaucrats into two types: political bureaucrats and careerbureaucrats. On this basis, the paper analyzes the function of U.S. FederalBureaucracy, summarized as administration, policy recommendations, expression andcomprehensive of interests, exchanges and political stability.
     Chapter4, Chapters5and Chapters6discusses the power relationships of U.S.Federal Bureaucracy. The fourth chapter discusses the power relationships betweenU.S. Federal Bureaucracy and the President, analyzes the political control overFederal Bureaucracy by Presidents, the restrictions of the presidential power over theFederal Bureaucracy by “Check and Balance” system of American, and the autonomy of Federal Bureaucracy which restricts the power of President to control the FederalBureaucracy. The fifth chapter discusses the power relationship between FederalBureaucracy and Congress, analyzes the power of Congress to control FederalBureaucracy, the type and the effect of congressional political control, then discussesthe “delegated legislation” power of Federal Bureaucracy as well as its participationin the legislation. Chapter6discusses the relationship between Federal Bureaucracyand interest groups, analyzes the types of impact of interest groups over FederalBureaucracy, and explains the causes and impact of interest groups in the process ofadministration from the point of view of Federal Bureaucracy.
     Based on above analysis, the author defines U.S. Federal Bureaucracy as a“decentralization-pluralistic” model, which prominently reflects the characteristicsof decentralize, openness, and diversity. Nowadays, U.S. Federal Bureaucracy showsa trend of politicization and the increase of autonomy. This trend expressed asincreased participation and influence of political decision-making of FederalBureaucracy, prominently expressed as politicization of bureaucrats’ private behavior,and the close relationship between senior civil service and political system. Over time,the openness, permeability, and representative of the U.S. Federal Bureaucracy isfurther strengthened, and the status of Federal Bureaucracy is also enhanced, so thatthey called the “fourth power” in addition to legislative, executive and judicial power.
     Research on U.S. Federal Bureaucracy in the United States is voluminous, butit’s just a not full preliminary study in China. The author hopes that this paper willpromote the study of U.S. Federal Bureaucracy, as well as benefit to our governmentbureaucracy research.
引文
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    ④Richard F., Jr.Fenno, Home Style:House Members and Their Districts, Boston: Little, Brown.1978; Morris P.Fiorina, Congress: Keystone of the Washington Establishment, New Haven: Yale University Press,1989.
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    ⑥Frank Baumgartner and Jones Leech, Basic Interests, Princeton, NJ: Princeton University Press,1998, p.81.
    ①Cornelius M. Kerwin, Rulemaking: How Government Agencies Write Law and Make Policy,2nded.,
    Washington,D. C.: CQ Press,1999.
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    ④总务管理局的委员会秘书处(the Committee Management Secretariat of the General ServiceAdministration)存有关于咨询委员会的网上数据库,参见http://www.fido.gov/facadatebase,2010-8-24.
    ⑤Joel Aberbach and Bert Rockman, In the Wed of Politics: Three Decades of the U.S. Federal Executive,Washington, D. C.: Brookings Institution Press,2000.
    ⑥C. Edward Lindblom, Politics and Markets, New York: Basic Books,1977, p.5.
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    ①Owen E. Hughes, Public Management and Administration: An Introduction, p.63.
    ②Jay M. Shafritz, E. W. Russell, Christopher Borick, Introducing Public Administration, p.319.
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    ①Gary L. Wamsley, Robert N. Bacher, Charles T. Goodsell, Philip S. Kronenberg, John A. Rohr, Camilla M.Stivers, Orion F. White, Dr. James F. Wolf, Refunding Public Administration, Newbury Park, California: SagePublications,1990, chap.1.
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    ②具体的十项治理原则参见:Donald F. Kettl, The Transformation of Governance: Public Administration forTwenty-First Century, pp.168-171.
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    ①马骏、刘亚平主编:《美国进步时代的政府改革及其对中国的启示》,上海:上海人民出版社,2010年,第1-7页。
    ②宋世明:《美国行政改革研究》,“内容提要”第1-2页。
    ③鲁彦平:“美国行政改革的价值取向及其启示”,《行政与法》,2004年第4期,第28-29页。
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    ②刘立华、张智胜:“论美国行政改革市场化取向”,《行政论坛》,2002年第6期,第77-78页。
    ③王世雄:“克林顿治下美国联邦政府改革述评”,《广东行政学院学报》,2003年第5期,第91-96页。
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    ①Judy Pearsall, The New Oxford Dictionary of English, Shanghai: Shanghai Foreign Language EducationPress,2001, p.243.
    ②乔尔·阿伯巴奇等:《两种人:官僚与政客》,陶远华等译,北京:求实出版社,1990年,“译者前言”,第1页。
    ③戴维·米勒、韦农·波格丹诺编:《布莱克维尔政治学百科全书》,邓正来等译,北京:中国政法大学出版社,2002年,第78页。
    ①戴维·米勒、韦农·波格丹诺编:《布莱克维尔政治学百科全书》,第79页。
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    ③Judy Pearsall, The New Oxford Dictionary of English, Shanghai: Shanghai Foreign Language EducationPress,2001, p.243.
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    ②Eva Etzioni-Halevy, Bureaucracy and Democracy: A Political Dilemma, pp.12-17.
    ③F·J·古德诺:《政治与行政》,王元译,北京:华夏出版社1987年,第11、136-137页。
    ④理查德·J·斯蒂尔曼二世:《公共行政学:概念与案例》,第80~92页。
    ①参见马丁·阿尔布罗:《官僚制》,第79~110页。
    ①安德鲁·海伍德:《政治学核心概念》,吴勇译,天津:天津人民出版社,2008年,第238页。
    ②博森,矢泽修次郎:《官僚制统治》,吴春波编译,北京:民族出版社,1988年,第2页。
    ③西尾胜:《行政学》,毛桂荣等译,北京:中国人民大学出版社,2006年,第141页。
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    ①Thomas E. Patterson, The American Democracy,7th., New York: Mcgraw-Hill Company,2005, p.415.
    ②Richard Stillman Ⅱ, The American Bureaucracy: the Core of Modern Government, p.3.
    ③B. Guy Peters, Institutional Theory in Political Science: The "New Institutionalism", New York: Pinter,1999,pp.6-11.
    ①Sven Steinmo, Kathleen Thelen, Frank Longstreth, Structuring Politics: Historical Institutionalism inComparative Analysis, New York: Cambridge University Press,1992.
    ②Hall and Taylor,“Political Science and the Three New Institutionalism,” p.938.
    ③Ellen M. Immergut,“The Theoretical Core of the New Insitutionalism,” Politics and Society, Vol.26, No.1,March1998, pp.5-34.
    ①Peter hall and Rosemary C. R. Taylor,“Political Science and the Three New Insitutionalsims”, PoliticalStudies,1996, Vol.44,936-957.
    ②Koelble Thomas A., Democracy and institutions: the life work of Arend Lijphart, Ann Arbor, Mich.:University of Michigan Press, c2000, p.237.
    ③Ellen M. Immergut,“The Theoretical Core of the New Institutionalism,”Politics&Society, Vol.26No.1,March (1998), pp.16-22.
    ④Kathleen Thelen,“Historical Institutionalism and Comparative Politics,” Annual Review of PoliticalScience, Vol.2(1999), p.391.
    ①James Mahoney,“Path Dependence in Historical Sociology,” Theory and Society, Vol.29, No.4,2000,pp.508-509.
    ②Thelen,“Historical Institutionalism and Comparative Politics,” pp.392-396.
    ③Hall and Taylor,“Political Science and the Three New Institutionalism,” p.940.
    ④Paul Pierson,“The Path to European Integration: A Historical Institutionalist Analysis,” Comparative PoliticalStudies, Vol.29,1996, pp.123-163.
    ①Krasner Stephen,“Approaches to the State: Alternative Conceptions and Historical Dynamics,” ComparativePolitics, Vol.16,1984, pp.223-246.
    ①Hall and Taylor,“Political Science and the Three New Institutionalism,”p.937.
    ①Stephen D.Kranser,“Approaches to the State: Alternative Conceptions and Historical Dynamics,” ComparativePolitics, pp.240-242.
    ②何俊志:《结构、历史与行为——历史制度主义对政治科学的重构》,上海:复旦大学出版社2004年,第285-297页。
    ①霍华德·威亚尔达:《新兴国家的政治发展:第三世界还存在吗?》,刘青、牛可译,北京:北京大学出版社,2005年,第57页。
    ①加布里埃尔·阿尔蒙德,小G·宾厄姆·鲍威尔:《比较政治学:体系、过程和政策》,曹沛霖等译,北京:东方出版社,2007年。
    ①加布里埃尔·阿尔蒙德,小G·宾厄姆·鲍威尔:《比较政治学:体系、过程和政策》,第284-293页。
    ②U.S. Office of Personnel Management, Personnel Research Highlights: Special Report on the Survey of federalEmployees, Washington, D.C.: USOPM,1993, p.3.
    ③Al Gore, From Red Tape to Results: Creating a Government That Works Better&Costs Less, p.74.
    ①加布里埃尔·阿尔蒙德,小G·宾厄姆·鲍威尔:《比较政治学:体系、过程和政策》,第291页。
    ①加布里埃尔·阿尔蒙德,小G·宾厄姆·鲍威尔:《比较政治学:体系、过程和政策》,第291页。
    ②安德鲁·海伍德:《政治学新论》,第310页。
    ③查尔斯·葛德塞尔:《为官僚制正名——一场公共行政的辩论》,张怡译,上海:复旦大学出版社,2007年,第205-209页。
    ④查尔斯·葛德塞尔:《为官僚制正名——一场公共行政的辩论》,第208页。
    ①安德鲁·海伍德:《政治学新论》,第76页。
    ②戴维·赫尔德:《民主的模式》,燕继荣等译,北京:中央编译出版社,2004年,第256页。
    ①罗伯特·达尔:《论民主》,李柏光、林猛译,北京:商务印书馆,1999年,第98页。
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    ②罗伯特·达尔:《民主及其批评者》,第348页。
    ③罗伯特·达尔:《民主及其批评者》,第349页。
    ①乔尔阿伯巴奇:《两种人:官僚与政客》,第259页。
    ②Norton Long,“Power and Administration,” Public Administration Review, Vol.2,1949, p.250.
    ①Eva Etzioni-Halevy, Bureaucracy and Democracy: A Political Dilemma, p.44.
    ②约翰·金登:《议程、备选方案与公共政策》,丁煌译,北京:中国人民大学出版社,2004年,第186页。
    ①谭融:《公共部门人力资源管理》,天津:天津大学出版社,2006年第2版,第65页。
    ②Paul P. Van Riper, History of the United States Civil Service, Evanston, Illinois: Row, Peterson and Co.,1958,p.11.,转引自石庆环:《20世纪美国文官制度与官僚政治》,长春:东北师范大学出版社,2003年,第
    10页。
    ③David H. Rosebloom, Centenary Issues of The Pendleton Act of1883: The Problematic Legacy of Civil ServiceReform, NY: Marcel Dekker,1982, Preface,p.v.
    ④David A. Schultz, et al, The Politics of Civil Service Reform, New York: Peter Lang Publishing,1998, p.25.
    ①Peter Woll, American Bureaucracy, New York: W. W. Norton&Company, Inc.,1977, pp.35-36.
    ②谭融:《公共部门人力资源管理》,第65页。
    ①转自谭融:《公共部门人力资源管理》,第66页。
    ②Ronald Johnson, et al, The Federal Civil Service System and the Problem of Bureaucracy: The Economics andPolitics of Institutional Change, Chicago: The University of Chicago Press,1994, p.33.
    ①谭融:《权力的分配与权力的角逐——美国分权体制研究》,天津:天津大学出版社,1994年,第82页。
    ①蓝志勇:《行政官僚与现代社会》,广州:中山大学出版社,2003年,第108页。
    ①蓝志勇:《行政官僚与现代社会》,第108页。
    ②2000State of the Union Address, Thursday, January27,2000.引自蓝志勇:《行政官僚与现代社会》,第135~137页。
    ①戴维·奥斯本、特德·盖布勒:《改革政府:企业精神如何改革着公营部门》,上海:上海译文出版社,1996年。第13~14页;第5页。
    ②此为瑞典皇家科学院对布坎南公共选择理论的评价。引自丁煌:《西方行政学说史》,武汉:武汉大学出版社,1999年,第377页。
    ①戴维·奥斯本、特德·盖布勒:《改革政府:企业精神如何改革着公营部门》,“前言”第4~5页。
    ②戴维·奥斯本、特德·盖布勒:《改革政府:企业精神如何改革着公营部门》,“序—美国的改革”,第13~17页。
    ①戴维·奥斯本、特德·盖布勒:《改革政府:企业精神如何改革着公营部门》,“序—美国的改革”,“序—美国的改革”,第23页。
    ②Donald F. Kettl, Reinventing Government: Appraising the National Performance Review, Washington D. C.:The Brookings Institution,1994, p.49.
    ③Christopher H. Foreman, Jr.,“Reinventing Capital Hill”, The Brookings Review (Winter),1995, p.35.
    ①宋世明:《美国行政改革研究》,第377~378页。
    ②《美国1994年国家绩效评论报告》,第72页。引自宋世明:《美国行政改革研究》,第379页。
    ③戴维·奥斯本、特德·盖布勒:《改革政府:企业精神如何改革着公营部门》,第1、11页。
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    ①参见李道揆《美国政府和美国政治》,北京:商务印书馆,1999年,第454-455页。
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    ⑤New York Times reported in its on-line edition (Labaton, April25,2007)
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