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中国腐败犯罪的制度原因分析 
2015-4-1
 

来源:法学评论

为什么在当下中国会有那么多官员走上腐败的道路?不仅品性不良的人会腐败,一些品性本来不坏的人也会腐败。我想,这里既有社会环境的原因,更有制度方面的原因。当然,本文所言,纯属书生之见。

    一、制度设计中生成腐败的原因

   严重的社会腐败往往因为社会管理制度中存在漏洞或缺陷。毋庸讳言,中华人民共和国的创建者是军事斗争和暴力革命的专家,虽然有国民党政府垮台的前车之鉴和“苏联老大哥”的间接经验,但是缺少现代国家制度设计的理论与实践,因而未能摆脱中国封建专制制度的不良影响,制度设计中存在一些先天性缺陷,而这些缺陷后来就成为滋生腐败的温床。

    (一)人治为本

   在中国,人治的传统渊远流长,人治的思想根深蒂固。自从盘古开天地,三皇五帝到如今,我们这个社会一直以“人治”为治国之本。从大处说,老百姓希望国家能有“好皇帝”,于是就有清明盛世。从小处说,人们盼望单位能有“好领导”,于是就有幸福生活。抽象地讲,人治的主张似乎没错。社会是人的社会,由“好人”来治理社会顺理成章。历史的经验也能证明,好皇帝率领一群好官确实可以把国家治理得井井有条、国泰民安。然而,现实问题是好皇帝和好官是可遇而不可求的,而且他们也是人,也得遵守生老病死的规律,在超过一定年龄之后就会出现各种人体机能的衰退,甚至老年痴呆。如果将国家安危和人民福祉都建立在这样的基础之上,风险太大。然而,我国的制度设计过于依赖个人,而且往往把制度执行者预设为好人,缺少对权力滥用的防范措施,一旦执行权落入坏人或不好不坏的人之手,制度就会陷入恶性运转,官员腐败也会泛滥。

    (二)民主虚化

    在当今世界,“民主”是一个非常时髦的语词。于是,真懂民主的人与不真懂民主的人,真爱民主的人与不真爱民主的人都会高喊“民主”的口号。然而,在不同人的口中,“民主”的含义可能并不尽同。例如,西方人讲的“民主”是公民按照“多数决”的方式行使政治决定权,因此一定要有反对党和民众普选;而中国人讲的 “民主”是人民当家作主,并不一定非有反对党和民众普选。中华人民共和国在成立之时就明确了人民是国家的主人,但是因为在制度上缺少具体保障,所以“人民当家作主”的基本制度设计就被虚化了。例如,我国《宪法》第二条规定:“中华人民共和国的一切权力属于人民。人民行使国家权力的机关是全国人民代表大会和地方各级人民代表大会。”然而,这里的关键词是“代表”,即谁是人民的代表。毫无疑问,政府官员和公司老板也是人民的成员,但是,如果人民代表大会的多数成员都是官员和老板,那么这样的“由民做主”恐怕就徒有虚名了。又如,中国的各级主要领导人都应该经同级人民代表大会选举产生,但是在投票时只有一名候选人的情况下,这种民主选举也是名实不符的。总之,在我国的制度设计中缺乏让人民当家作主的具体保障,民主就不可避免地被虚化,而没有民主监督的权力就很容易走向腐败。

    (三)权力集中

   我国《宪法》第三条规定:“中华人民共和国的国家机构实行民主集中制的原则。”从理论上讲,这样的总体设计具有合理性,但是在缺少具体制度保障的情况下,“民主”或者如前所述被虚化,或者成为“集中”的附庸。权力过于集中的表现之一就是决策权、执行权、监督权的统一领导和高度重叠。近年来,各级“一把手”腐败的现象颇为引人瞩目,而“一把手”腐败多发的原因之一就是权力太过集中。一些地方或单位的“一把手”在坚持党委统一领导的旗帜下,把人 权、财权、物权都控制在自己手中,特别是人事权。有些“一把手”自视为党的化身,在集体讨论决策重大问题时喜欢“一言堂”,在干部选任问题上一人说了算。 于是,任人唯亲的现象屡见不鲜,“秘书成帮”就是一个佐证。在这种权力过于集中的体制下,买官卖官的现象也会相当普遍。于是,不仅市长县长局长处长之类的官职有人在买卖,就连人大代表、政协委员等荣誉性“官职”也有人在买卖。然而,当官职成为可以用金钱买卖的“商品”时,官场的腐败就会陷入恶性循环,因为行贿上来的官员一定会去受贿甚至索贿。于是,腐败就会像瘟疫一样蔓延,造成一片片重灾区——“窝贪”和“串贪”。

    (四)制衡阙如

    国家权力具有极强的扩张性和侵蚀性,因此在制度设计时必须加以限制和约束。根据世界各国的经验,限约权力的基本路径之一就是对权力进行分立,通过相互制约来达至均衡,防止滥用,譬如法国资产阶级启蒙思想家孟德斯鸠倡导的三权(立法权、行政权、司法权)分立制度和中国民主革命先驱者孙中山提出的五权(行政权、立法权、司法权、监察权、考试权)分立制度。分权制衡原则的基本思想在于:任何权力都要有一定形式的制约;而且相互制约的权力之间应该保持平衡。如果对一项权力没有任何制约机制,那么这项权力就很容易变成专制权力;如果一项权力超出了与之相互制约的其他权力,破坏了权力之间的平衡,那么这项权力就很容易被人滥用。新中国的制度设计者没有采用上述权力制衡模式,而是在人民代表大会作为最高权力机关之下设计了一府(国务院或政府)两院(法院和检察院)的制度。虽然这种设计也具有一定的分权制约意旨,但是在一元化权力结构之下,司法权和检察权很容易成为行政权的附庸。权力之间的制约形同虚设,绝对的权力就会成为滋生腐败的土壤。

   以上讨论的主要是宏观的制度设计中存在的缺陷和漏洞。此外,在一些具体制度的设计中也存在着滋生腐败的空间。

    二、制度运行中生成腐败的原因

    就制度的优劣与功效而言,设计是基础,运行是关键。如果制度的运行具备良好的机制保障,那么设计中存在的某些缺陷和漏洞也可能在一定程度上得到弥补,否则就会被放大。在当下中国,与公共权力相关的制度运行中存在着以下可能导致腐败的因素。

    (一)透明不够

   阳光防腐暗生贪,透明公开保清廉。只要制度的运转能在阳光下进行,只要权力的行使过程能有足够的透明度,某些制度设计的缺陷也能得到弥补。如前所述,权力过于集中——特别是在干部任免问题上的“一把手”垄断——是我国制度设计的一个弊端。假如干部任免等决策过程能够透明公开,任人唯亲和买官卖官的现象也一定会大为减少。然而,我国这些制度的运行过程不够透明,阳光往往被阻挡在黑幕之外,这种暗箱操作就容易滋生腐败。制度运行的透明度还直接关系到社会公众的知情权。在现代法治国家中,民众的知情权必须得到保障。这既是民主的需要,也是反腐败的需要。举例说,在现有的制度设计下,虽然民众不能决定国家的钱怎么花,但是有权知道国家的钱都去那儿啦;虽然民众不能决定由谁出任县长或市长,但是有权知道这些官员是怎么产生的。

    (二)监督不足

   毫无疑问,有效的公众监督是反腐倡廉的重要措施,而公众监督与新闻监督是密不可分的。其实,我国国家制度的设计者也认识到对权力进行监督的重要性,因此在《宪法》中明确规定,国家行政机关、审判机关、检察机关都要接受人民代表大会的监督,而人民代表大会要接受人民的监督。此外,《宪法》第一百 二十九条还明确规定,“人民检察院是国家的法律监督机关”。从制度设计来看,权力运行的上下左右都有监督,似乎是全方位的。然而,这些监督制度在运行中的 效果差强人意。正所谓,上级监督,太远;下级监督,太软;民众监督,太虚;新闻监督,太乱。总之,监督不足恰是制度运行中生成腐败的一个原因。

  (三)有法不依

   法律是制度运行的基础,也是制度运行的保障。要使制度按照预定的目标良性运行,制度的执行者必须严格依法行事。这里所说的法律,不仅指人民代 表大会颁布的法律,也包括政府部门制定的规章和条例。然而,在中国的现实中,有法不依的现象时有所见,影响了制度运行目标的实现。举个最简单的例子,“红 灯停绿灯行”是儿童都知晓的交通规则,但是在城市的道路上,无论是开车人、骑车人还是步行人,闯红灯的现象屡见不鲜。在这样的行为环境影响下,作为制度执行者的官员们敢于“闯红灯”的做法也就不足为奇了。于是,滥用职权,违法行政,徇私枉法、司法不公,就都成为滋生腐败的行为方式。

    (四)执法不严

    当下中国的问题是有法律而无法治;不是法律不够用,而是法律不管用。作为制度的执行者,许多官员还有权大于法和人大于法的思维习惯。内部的政策大于法律,上级的指示大于法律。有些地方的官员在执法时坚持的原则就是:有条子(指示)就按条子办,没条子再按条条(法律)办。另外,选择性执法也是执法不严的一种表象。一些官员在执法时背离“法律面前人人平等”的基本原则,根据执法对象的不同而给予不同的待遇。

   明朝政治家张居正说过,“天下之事,不难于立法,而难于法之必行”。衡量一个国家的“法治化”发展水平,最重要的标准不是立法,不是法律在纸 面上的健全程度,而是法律在现实生活中实施的情况,是法律在人们心目中的地位。法律应该具有至高无上的尊严。执法必严,违法必纠。无论什么人,无论多大的 官,都不能凌驾于法律之上,都不能蔑视法律的尊严。如果一个国家的内部政策和长官命令等在人们心目中的地位高于法律,那么这个国家就还没有实现真正的“法 治”。如果一个国家的官员宁愿选择对法律的“大不敬”也不愿选择对长官的“大不敬”,那么法律制度在这个国家就没有真正建立起来。本来就存在设计缺陷和漏洞的法律制度在运行中就更增加了官员腐败的机率。

   毋庸讳言,当下中国的腐败问题是相当严重的,生成腐败的原因是多元交织的。因此,中国的反腐败必须以顶层设计为本,以百姓共识为力,修补制度中生成腐败的漏洞,改良社会中滋养腐败的土壤。一言以蔽之,中国反腐败,任重而道远。

(本文选摘于何家弘发表于2015年第1期《法学评论》的“中国腐败犯罪的原因分析”。)

转载自:中国证据法网

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hfdh 发表评论: ( 2015-8-5 18:53:30 )
   




















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wulili 发表评论: ( 2015-9-29 10:27:18 )
   

"Three drops, sheepherder, don't pour it. You sprinkle three drops only. You can understand later so long as you remember now. Think of it as upholding custom. The Amyrlin will do with you as she must. If you believe you can avoid it, then you believe you can fly to the moon like Lenn. You can't escape, but maybe you can hold your own for a while, and perhaps you can keep your pride, at least. The Light burn me, I am probably wasting my time, but I've nothing better to do. Hold still." From his pocket the Warder produced a long length of wide, fringed golden cord and tied it around Rand's left arm in a complicated knot. On the knot he fastened a red-enameled pin, an eagle with its wings spread. "I had that made to give you, and now is as good a time as any. That will make them think." There was no doubt about it, now. The Warder was smiling.Rand looked down at the pin worriedly. Caldazar. The Red Eagle of Manetheren. "A thorn to the Dark One's foot," he murmured, "and a bramble to his hand." He looked at the Warder. "Manetheren's long dead and forgotten, Lan. It's just a name in a book, now. There is only the Two Rivers. Whatever else I am, I'm a shepherd and a farmer. That's all.""Well, the sword that could not be broken was shattered in the end, sheepherder, but it fought the Shadow to the last. There is one rule, above all others, for being a man. Whatever comes, face it on your feet. Now, are you ready? The Amyrlin Seat waits."With a cold knot in the pit of his belly, Rand followed the Warder into the hall.Startled, Rand instinctively assumed the walking stance as he had been taught, back straight but every muscle loose, as if he hung from a wire at the top of his head. It was a relaxed, almost arrogant, saunter. Relaxed on the outside; he certainly did not feel it inside. He had no time to wonder what he was doing. They rounded the last corridor in step with each other.The women at the entrance to the women's apartments looked up calmly as they came closer. Some sat behind slanted tables, checking large ledgers and sometimes making an entry. Others were knitting, or working with needle and embroidery hoop. Ladies in silks kept this watch, as well as women in livery. The arched doors stood open, unguarded except for the women. No more was needed. No Shienaran man would enter uninvited, but any Shienaran man stood ready to defend that door if needed, and he would be aghast at the need.Rand's stomach churned, harsh and acid. They'll take one look at our swords and turn us away. Well, that's what I want, isn't it? If they turn us back, maybe I can still get away. If they don't call the guards down on us. He clung to the stance Lan had given him as he would have to a floating branch in a flood; holding it was the only thing that kept him from turning tail and running.One of the Lady Amalisa's attendants, Nisura, a round-faced woman, put aside her embroidery and stood as they came to a stop. Her eyes flickered across their swords, and her mouth tightened, but she did not mention them. All the women stopped what they were doing to watch, silent and intent."Honor to you both," Nisura said, bowing her head slightly. She glanced at Rand, so quickly he was almost not sure he had seen it; it reminded him of what Perrin had said. "The Amyrlin Seat awaits you." She motioned, and two other ladies - not servants; they were being honored - stepped forward for escorts. The women bowed, a hair more than Nisura had, and motioned them through the archway. They both gave Rand a sidelong glance, then did not look at him again.Were they looking for all of us, or just me? Why all of us?Inside, they got the looks Rand expected-two men in the women's apartments where men were rare-and their swords caused more than one raised eyebrow, but none of the women spoke. The two men left knots of conversation in their path, soft murmurs too low for Rand to make out.Lan strode along as if he did not even notice. Rand kept pace behind their escorts and wished he could hear.And then they reached the Amyrlin Seat's chambers, with three Aes Sedai in the hall outside the door. The tall Aes Sedai, Leane, held her golden-flamed staff. Rand did not know the other two, one of the White Ajah and one Yellow by their fringe. He remembered their faces, though, staring at him as he had run through these same halls. Smooth Aes Sedai faces, with knowing eyes. They studied him with arched eyebrows and pursed lips. The women who had brought Lan and Rand curtsied, handing them over to the Aes Sedai. .Leane looked Rand over with a slight smile. Despite the smile, her voice had a snap to it. "What have you brought the Amyrlin Seat today, Lan Gaidin? A young lion? Better you don't let any Greens see this one, or one of them will bond him before he can take a breath. Greens like to bond them young."Rand wondered if it was really possible to sweat inside your skin. He felt as if he was. He wanted to look at Lan, but he remembered this part of the Warder's instructions. "I am Rand al'Thor, son of Tam al'Thor, of the Two Rivers, which once was Manetheren. As I have been summoned by the Amyrlin Seat, Leane Sedai, so do I come. I stand ready." He was surprised that his voice did not shake once.Leane blinked, and her smile faded to a thoughtful look. "This is supposed to be a shepherd, Lan Gaidin? He was not so sure of himself this morning."

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