An Analysis of Overseas Research on the Chinese Communist Party’s Anti-Corruption Efforts in the New Era
刘阳科 高晓林:新时代中国共产党反腐败问题海外研究论析
The Chinese Communist Party has waged an unprecedented anti-corruption struggle in the New Era and achieved an overwhelming victory, drawing keen attention and research from overseas academic circles. Some overseas scholars have called on the international academic community to face squarely the Chinese Communist Party’s anti-corruption actions in the New Era, to discuss related issues with a more serious and prudent attitude, and to reflect on and even reconstruct existing research paradigms. Overall, overseas academic circles have engaged in heated discussions on related issues mainly from multiple perspectives, including the motivations, effects, institutions, and development of the Chinese Communist Party’s anti-corruption struggle in the New Era, among which there are many objective and fair views. A systematic review and critical reflection on the research work of overseas scholars can help deepen domestic research. At the same time, it can also provide a broad international perspective for us to continue taking the path of anti-corruption with Chinese characteristics and to shape an international image of integrity and clean governance.
I. The Chinese Communist Party’s Anti-Corruption Actions in the New Era Have Opened a New Stage in China’s Corruption Governance
Many overseas scholars have given positive evaluations of the Chinese Communist Party’s anti-corruption actions in the New Era, believing that, compared with previous anti-corruption efforts, they exhibit distinctly different new features and new forms, represent a key step toward completely eliminating corruption, and have opened a new stage in China’s
First, the anti-corruption actions of the Communist Party of China in the New Era have demonstrated unprecedented resilience. The core manifestation of this anti-corruption resilience lies in its rare breadth and durability. On the one hand, the anti-corruption actions in the New Era adhere to the principles of no forbidden zones, full coverage, and zero tolerance, covering all levels and fields of power operation and involving all public officials exercising public authority. On the other hand, the anti-corruption actions in the New Era exhibit unshakable political will and determination, upholding the basic concept that “anti-corruption is always on the way” and maintaining a high-pressure anti-corruption posture at all times. Andrew Wedeman, Professor of Political Science at Georgia State University, regards it as “the most durable, sustained, and intense crackdown on corruption in the reform era” and also “the latest offensive
Second, the Chinese Communist Party’s anti-corruption actions in the New Era exhibit more pronounced institutionalized characteristics. The strategic focus of anti-corruption in the New Era lies in strengthening institutionalized supervision over the exercise of power, emphasizing “confining power within the cage of institutional regulations,” and striving to compress the institutional space for corruption to occur, eliminating the systemic and structural soil in which corruption breeds and spreads. Xiaoxiao Li of the University of Central Oklahoma emphasizes that after the launch of the large-scale anti-corruption campaign, “people realized that this was not a short-lived anti-corruption movement, but a core task of advancing institutional construction under the leadership of the Chinese Communist Party.” Melanie Manion, Professor of Political Science at Duke University, believes that the most notable feature of the Chinese Communist Party’s anti-corruption struggle in the New Era lies in “the progress of anti-corruption institutionalization and a credible commitment to good governance,” which “has significantly changed the incentive structure of the Chinese Communist Party and the government to reduce corruption opportunities and structural obstacles to anti-corruption.”
Third, the Chinese Communist Party’s anti-corruption actions in the New Era exhibit a governance orientation shifting from campaign-style control to routine prevention. In the New Era, the Chinese Communist Party has adhered to addressing both symptoms and root causes, using high-pressure anti-corruption to eliminate the stock of corruption, thereby creating a favorable social and political environment for realizing institutionalized and law-based anti-corruption. Its strategic essence lies in gradually shifting from campaign-style punishment and crackdown operations toward institutionalized, proceduralized, and law-based routine governance, while simultaneously strengthening preventive reforms such as clean governance institution building and legal system construction alongside large-scale corruption punishment. Some overseas scholars believe that “as the storm subsides, anti-corruption enforcement will become more routinized, standardized, and institutionalized,” and that “China’s process of controlling corruption may gradually shift from a mechanism based on discipline inspection commissions to a mechanism centered on law.” Carlos D. Ramirez, Professor at George Mason University, emphasizes that “the process of controlling corruption will be exceptionally long,” and that “as China’s modernization process continues to accelerate, the Chinese Communist Party may be in a better position to implement reforms for preventing and controlling corruption.” Manion goes further, stating: “If an anti-corruption campaign is defined as ‘a brief period of intensive enforcement,’ then the latest anti-corruption action is not a campaign at all, but China’s new normal.”
II. Motivational Perspective: The “Multi-Layered Driving Force System” of the Chinese Communist Party’s Anti-Corruption Actions in the New Era
Why has the Chinese Communist Party launched such a large-scale anti-corruption campaign? This is the core question discussed in overseas academic research on China’s anti-corruption issues. Most overseas scholars believe that although this campaign is undoubtedly directed at internal corruption problems, solving the corruption problem is not the sole motivation; behind it lies a more complex “multi-layered driving force system.”
(1) Eliminating Corruption Threats and Consolidating the Foundation of Governance
Some overseas scholars believe that the corruption problem is the greatest threat to the Chinese Communist Party’s long-term governance. Although sustained anti-corruption efforts have brought corruption under effective control, its momentum of breeding and spreading has not been fundamentally curbed; in some areas, it has instead intensified. Andrew G. Walder, Professor at Stanford University, believes that today, “corruption within the bureaucracy has become so severe and corrosive that it has become the greatest threat to stable governance,” and that Chinese Communist Party leaders “clearly feel that corruption is approaching crisis levels, endangering political stability and the Party’s survival.” Therefore, addressing and eliminating this threat is the main motivation for the Chinese Communist Party to launch anti-corruption actions. Xiaojun Li, Associate Professor at the University of British Columbia, measured the degree of local corruption in China and concluded that “corruption is threatening China’s social and political stability. This prompted the Chinese Communist Party to launch a nationwide anti-corruption campaign after the 18th National Congress.” [1]1 The 18th National Congress of the CPC, held in 2012, marked the beginning of the Xi Jinping era and the launch of the large-scale anti-corruption campaign. In addition, some empirical studies have reached similar conclusions, arguing that “the main motivation for anti-corruption is to increase the public’s political support.”
(2) Rectifying Moral Norms and Reshaping Social and Political Culture
Some overseas studies further focus on the cultural motivations and educational significance of the Chinese Communist Party’s anti-corruption actions in the New Era, embedding political culture as a deep-seated driving force and explanatory variable into a new research framework. Macabe Keliher, Associate Professor at Southern Methodist University, and others believe that the main challenge the Chinese Communist Party faces on the anti-corruption issue is: “reconstructing the legitimate and compliant elements in the political order, so that law-abiding concepts and behaviors are rewarded, while simultaneously redefining certain customary corrupt, bribery, and favor-granting behaviors as illegal acts.” The anti-corruption actions in the New Era are intended to reshape the political morality of bureaucrats and the shared concepts of political operation, indicating that “the leadership is striving to change China’s political culture.” Kerry Brown, Director of the Lau China Institute at King’s College London, views this anti-corruption campaign as an important path to reshape the identity and moral norms of Chinese Communist Party members, arguing that its purpose is “to ensure that the Party’s political vision and organizational functions return to the strategic core position, and to make Party members clearly aware of this,” and therefore “this is an anti-corruption campaign to fight for the Party’s soul.”
(3) Breaking Down Reform Barriers and Advancing Substantive Reforms
Some overseas scholars also believe that the motivation and purpose of the Chinese Communist Party’s anti-corruption campaign in the New Era lie in breaking through the barriers of vested interests and advancing a substantive agenda of political and economic reform. Guilhem Fabre, professor at Paul Valéry University Montpellier 3, emphasizes: “Behind the high-pressure anti-corruption drive, the real aim is to shake up vested interest groups, abolish their harmful policies, and establish a society based on fairness and justice.” Other scholars argue that the goal of the anti-corruption campaign in the New Era is to resolve the deep-seated problem of collusion between power and wealth, to break the interference of vested interest groups in the reform process, and thereby “to advance more substantive and sensitive economic reforms” and “to reform the existing growth and development model.”
III. Effects Perspective: An Assessment of the Impact of the Chinese Communist Party’s Anti-Corruption Campaign in the New Era
The Chinese Communist Party’s anti-corruption campaign in the New Era has not only advanced China’s corruption governance process but has also had a broad impact on political, economic, and social development, and has generated a powerful spillover effect, profoundly altering international anti-corruption rules and patterns. Overseas academia often assesses its complex impact from the perspective of policy effects.
(A) The Political Effects of the Chinese Communist Party’s Anti-Corruption Campaign in the New Era
Regarding the issues of social trust and political identity, most overseas studies find that the large-scale anti-corruption campaign has indeed enhanced public trust in and support for the government, thereby further consolidating the Party’s social foundation for governance. Yan Sun, professor at the City University of New York, and others argue: “The effectiveness of high-level anti-corruption and the public’s expectations of top-down anti-corruption have, at least in the short term, significantly strengthened the Party’s ruling position and foundation through the anti-corruption movement.” However, other studies find the situation to be more complex. Some scholars argue that from the perspective of enhancing political trust and consolidating the ruling foundation, “policies such as anti-corruption, poverty reduction, and environmental restoration, which appear to be appreciated by the public, should be continued and expanded,” with anti-corruption policy being only one of its complex influencing factors. Similarly, Narisong Huhe of the University of Strathclyde and others argue: “The anti-corruption campaign has indeed had a positive impact on social trust at both the central and local levels, but compared with other long-term influencing factors such as the modernization process, rising education levels, and increasing diversification, the impact of anti-corruption remains relatively limited.” Additionally, some studies find that the complex impact of the anti-corruption campaign on social trust can exhibit certain diachronic changes: “Corruption investigations have, to some extent, suppressed respondents’ support for higher-level authorities,” but “this does not rule out the possibility that sustained corruption investigations could increase public political support in the long term.” Regarding the issues of the bureaucratic system and official behavior, some overseas scholars focus on the impact of the anti-corruption campaign on bureaucratic control and the shift in official behavior under high-pressure anti-corruption from actively seeking merit to passively avoiding blame. They argue that the anti-corruption campaign has significantly “enhanced the Chinese Communist Party’s political capacity to use political rules and Party discipline to regulate Party members and cadres,” but it may also produce certain negative effects, dampening the initiative of Party members and cadres, and even “leading to a certain degree of paralysis in the functional organs of the Party and state, making officials’ inaction, lazy governance, and slack governance more common.” Of course, this observation has certain limitations and is insufficient to fully reflect the structural transformation of cadre behavior. Other overseas scholars hold the opposite view, arguing that high-pressure anti-corruption has actually prompted positive changes in official behavior: “There is no evidence that leading cadres abandon decision-making for fear of being implicated in anti-corruption. On the contrary, if they cannot ensure the normal functioning of government and promote economic growth, they will face the risk of being removed from their posts.”
Regarding the issue of elite mobility, some overseas scholars focus on analyzing the complex impact of the sustained advancement of the anti-corruption campaign on elite mobility. First, concerning the mobility of elites outside the system. Some scholars argue that the large-scale anti-corruption campaign has increased the uncertainty of officials’ career development while also reducing career benefits and expectations, thereby leading to a decline in the flow of talent into the system and a reduction in the supply of political elites. Some studies find that high-pressure anti-corruption, through the two mechanisms of “expected economic returns” and “career development prospects,” “forces capable young elites to abandon joining the civil service,” producing a negative impact on the “supply of cadres.” Second, concerning the mobility of elites within the system. Some scholars argue that under the sustained high-pressure anti-corruption situation, the selection and appointment of cadres exhibit a clear tendency toward elitism and anti-clientelism, making the flow of talent within the system more consistent with the meritocratic standard of “having both moral integrity and professional competence, and appointing people on their merits.” Some studies show that the anti-corruption campaign in the New Era exhibits a significant anti-clientelist tendency in cadre selection and appointment, thereby constructing analytical frameworks such as “connections penalty.”
(B) The Economic Effects of the Chinese Communist Party’s Anti-Corruption Campaign in the New Era
At the macro level, many overseas scholars observe that in the short term, large-scale high-pressure anti-corruption will have a certain degree of impact on socioeconomic development, and may even impact certain industries. However, in the long run, thoroughly eliminating corruption can create a favorable growth environment for economic transformation and high-quality development. Cheng Li of the University of Hong Kong and others also emphasize: “Any decline in consumption due to reduced corruption will not cause irreparable damage to the economy; on the contrary, it will be helpful.” “Importantly, in the long run, successful anti-corruption consolidates the political foundation, the economy will be boosted, thereby enabling deeper economic reforms, which will enhance the resilience of China’s economy.” At the micro level, a large number of studies provide empirical evidence of the positive impact of anti-corruption policies on market entities. For example, the anti-corruption campaign can promote R&D investment, financing, and innovation (e.g., the number of valid patents) of listed companies; improve corporate financial reporting quality (FRQ); accelerate the actual output efficiency of R&D investment in politically connected firms; buffer the positive correlation between corporate business entertainment expenditures (BEE) and stock price crash risk; enhance the efficiency of capital and labor allocation, thereby improving corporate performance; and so on. However, in other studies, these impacts appear more complex, and may even produce certain negative effects. Some studies find that in the process of anti-corruption, “in terms of fiscal subsidies to private enterprises, the value of political connections has actually increased. Although the debt cost of state-owned enterprises has declined, the influence of political connections persists.” In addition, “there is a positive micro-level correlation between anti-corruption and the performance of both state-owned and non-state-owned enterprises,” indicating that state-owned enterprises benefit more from the anti-corruption campaign than non-state-owned enterprises. Furthermore, some studies find that anti-corruption has had a significant negative impact on the “hotel accommodation and catering industry” and the “luxury goods industry.”
(C) The International Effects of the Chinese Communist Party’s Anti-Corruption Campaign in the New Era
Since the 18th National Congress of the CPC, the Communist Party of China has continuously intensified efforts to govern cross-border corruption, focused on building an integrated mechanism for fugitive repatriation and asset recovery, accelerated the process of constructing foreign-related laws and regulations on anti-corruption, deeply participated in the reform of the international anti-corruption governance system, and steadily raised the level of institutionalization and law-based governance in international anti-corruption cooperation, thereby providing Chinese experience and wisdom for advancing corruption governance and exerting a broad influence on the structure and rules of international corruption governance. Overseas academic circles have keen
IV. The Institutional Perspective: The Institutionalization Progress of the Chinese Communist Party's Anti-Corruption Campaign in the New Era
In the New Era, progress in the institutionalization of corruption governance has provided new avenues for overseas scholars to explain the historic achievements of the Chinese Communist Party's anti-corruption campaign. Overall, overseas scholars have focused primarily on the following three major institutional reforms.
(i) Reform of the Party's Discipline Inspection System
In existing overseas research, the lack of an independent and authoritative anti-corruption agency was seen as a major factor constraining China's anti-corruption efforts. However, since the 18th National Congress of the CPC, the reform of the Party's discipline inspection system and its results have shifted this perception. Some overseas scholars have observed that the Chinese Communist Party has strengthened Party leadership over the discipline inspection commissions through measures such as "constructing a vertical management system centered on the Central Commission for Discipline Inspection" and "strengthening central inspection tours," effectively curbing the breeding and spread of corruption. Kjeld Erik Brødsgaard, a professor at the Copenhagen Business School in Denmark, believes that the "most direct impact" of the anti-corruption campaign in the New Era "has been to strengthen the power of the discipline inspection commissions," which "plays a crucial role in ensuring that the Party and its members possess the capacity and moral quality to lead the country." Ling Li, from the Department of East Asian Studies at the University of Vienna in Austria, summarizes three major institutional transformations in the Party's disciplinary system: promoting the politicization of disciplinary institutions, retaining and enriching mobilization resources, and simplifying the procedures for investigating and gathering evidence in cases, which "has significantly expanded the corruption investigation capacity of the discipline inspection commissions."
(ii) Reform of the National Supervision System
Regarding the reform of the national supervision system, discussions in overseas academic circles have mainly focused on its impact on the Party's anti-corruption capacity and its mechanisms of action. Some scholars believe that this reform helps eliminate structural contradictions and institutional conflicts within the existing anti-corruption system, advancing the institutionalization process of China's corruption governance. Christopher Carothers, a researcher
(3) Reform of the Inspection System
Since the 18th National Congress of the CPC, as the institutionalization and standardization of inspection work and its status and function in anti-corruption efforts have steadily increased, overseas academic circles have shown strong interest in it. Most scholars hold a positive view of the reform of the inspection system, noting the positive interaction between the inspection system and the existing anti-corruption institutional system. They believe it helps remedy structural defects in the existing institutional process and identify its main function as strengthening political supervision over Party members and cadres through a top-down exercise of authority, thereby reinforcing the Party’s anti-corruption capacity. Xuezhi Guo, a professor at Guilford College in the United States, argues that the reform of the inspection system “has played a major role in strengthening the vertical leadership system of the discipline inspection commissions and remedying the inherent defect of discipline inspection commissions at the same level supervising Party committees at the same level.” Yukyung Yeo, a professor at Kyung Hee University in South Korea, finds that central inspection work has remedied deficiencies in the existing discipline inspection system in terms of the scope of supervision, the leadership system, and investigative methods. Other scholars regard it as “a non-institutional mechanism used by the Chinese Communist Party to solve the problem of power delegation and seek compliance with provincial policies,” arguing that “in a short period of time, the central inspection teams have become a sharp weapon for smashing corruption networks and have the potential to achieve a major transformation toward a ‘clean’ government within the political system.” Still other scholars observe that the inspection system not only performs an efficient corruption governance function but also gives rise to more important state governance functions: “Although the original intention of inspections was to curb corruption, in recent years inspections have been used to broadly advance certain governance goals,” which resolves the paradox of “how the Party can simultaneously achieve power concentration and efficient governance in the New Era.”
V. Developmental Perspective: Research on Countermeasures for the CPC’s Anti-Corruption Actions in the New Era
Looking to the future, overseas academic circles have put forward some suggestions for the CPC to further improve its anti-corruption work. Although some of the countermeasure analyses provided by overseas scholars, based on different positions and perspectives, are sometimes inconsistent with or even contrary to China’s particularities, there are still some constructive opinions that are practical and pertinent and should be critically absorbed according to specific circumstances.
(1) The Path of Institutionalization and Rule of Law
Although some overseas scholars, when discussing the effectiveness of “campaign-style anti-corruption,” acknowledge that concentrated rectification is necessary and efficient under specific conditions, they are more concerned with “fundamental solutions” at the institutional and legal levels. They advocate that anti-corruption should gradually move from punitive actions to institutional regulation, emphasizing that the rule of law will necessarily help improve China’s corruption
Some overseas scholars also believe that China’s future
(3) The Cultural and Moral Path
To eliminate corruption at its root, some overseas scholars believe that wisdom should be drawn from fine traditional Chinese culture and sound government ethics, that lofty social and political moral norms should be established, that officialdom ethics and political culture should be reshaped, and that the civilizing and self-disciplinary effects of clean governance culture should be fully utilized. Tony C. Lee, a postdoctoral researcher at Humboldt University of Berlin, proposed: “A more effective approach is to choose a bottom-up method, creating a new social norm to oppose the social environment fostered by ‘guanxi’ [n3], reducing the public’s tolerance for corruption, taking pride in integrity and feeling shame at corruption.” Some overseas scholars also believe that meritocratic politics is an important way to solve the corruption problem, and that attention should be paid to the restraining effect of Confucian moral education on corruption, “placing greater emphasis on moral education for public officials, including the teaching of Confucian values in Party schools.” Other scholars have recognized that the root
VI. A Critical Reflection on Overseas Academic Research on the Chinese Communist Party’s Anti-Corruption Efforts in the New Era
Although the Party’s anti-corruption actions in the New Era have come to be taken seriously by a growing number of overseas scholars, beginning to break through and even reconstruct some established overseas explanatory paradigms and reshaping the Party’s image of integrity in overseas academic circles, there are still several issues in some overseas studies that merit discussion and response.
First, a functionalist interpretation of corruption governance. Some overseas scholars attribute a certain degree of functionalism or pragmatism to the Chinese Communist Party’s anti-corruption actions, while paying less attention to the value concern of “people-centeredness” and the political essence of integrity and honesty implicit in them. The Chinese Communist Party has always emphasized that power is entrusted by the people and must be exercised for the people: “The power in one’s own hands and the post one holds are bestowed by the Party and the people, to be used for the work of the Party and the people, and only to seek benefit for the people.” Corruption fundamentally contradicts the Party’s nature and purpose; the Party is resolutely opposed to corrupt phenomena. In fact, “people-centeredness” makes the Party’s anti-corruption work more resilient and thorough: “No other political party or country in the world today can punish corruption on such a large scale, with such intensity, and with such persistence as we can.”
Second, the academic standpoint of Western-centrism. The academic standpoint of Western-centrism in overseas research has long been criticized by academic circles both at home and abroad. It profoundly influences some scholars’ observations and explanations of China’s corruption and
原文
新时代中国共产党开展史无前例的反腐败斗争并取得压倒性胜利,海外学界对此给予热切关注和研究。有海外学者呼吁国际学界正视中国共产党在新时代的反腐败行动,以更加严肃审慎的态度讨论相关问题,反思乃至重构既有研究范式。总体来看,海外学界主要从新时代中国共产党反腐败斗争的动因、效应、制度以及发展等多元视角就相关问题展开了热烈讨论,其中不乏诸多客观中肯的观点。对海外学者研究工作的系统梳理与审思有助于深化国内的研究工作。同时,这也能为我们继续走好中国特色反腐败之路、塑造清正廉洁的国际形象提供广阔的国际视野。
一、新时代中国共产党的反腐败行动开启了中国腐败治理的新阶段
众多海外学者对新时代中国共产党的反腐败行动给予积极评价,认为其与以往的反腐败工作相比,呈现出迥然不同的新特征和新形态,是彻底消除腐败问题的关键一步,开启了中国腐败治理的新阶段。海外学者的这种评判主要基于以下三点认识。
第一,新时代中国共产党的反腐败行动展现出前所未有的韧性。这种反腐韧性的核心表征在于其罕见的广泛性和持久性。一方面,新时代的反腐败行动坚持无禁区、全覆盖、零容忍,覆盖权力运行的各层级和各领域,涉及所有行使公权力的公职人员。另一方面,新时代的反腐败行动表现出不可动摇的政治意志和定力,高扬“反腐败永远在路上”的基本理念,始终保持反腐败高压态势。美国佐治亚州立大学政治学教授魏德安(Andrew Wedeman)将其视为“改革时代对腐败问题最持久、最持续、最激烈的打击”,也是“改革开放以来中国长期反腐败斗争中的最新攻势”。瑞典安全与发展政策研究所研究员法图玛塔·迪亚洛(Fatoumata Diallo)强调,新时代的反腐败行动“无论规模还是持续时间都是前所未有的”,“这充分说明反腐败行动的严肃性”。
第二,新时代中国共产党的反腐败行动呈现出更加鲜明的制度化特征。新时代的反腐败战略重心在于强化对权力运行的制度化监督,强调“把权力关进制度的笼子里”,着力压缩腐败发生的制度空间,消除腐败滋生蔓延的体制性和结构性土壤。美国中央俄克拉荷马大学李晓晓(Xiaoxiao Li)强调,发动大规模反腐败行动后,“人们意识到,这并不是一场短暂的反腐败运动,而是在中国共产党的领导下推进制度建设的核心任务”。美国杜克大学政治学教授墨宁(Melanie Manion)认为,新时代中国共产党反腐败斗争最显著的特征在于“反腐败制度化的进步和对善治的可信承诺”,“显著改变了中国共产党和政府的激励结构,以减少腐败机会和反腐败的结构性障碍”。
第三,新时代中国共产党的反腐败行动呈现出从运动式控制到常态化预防的治理取向。新时代,中国共产党坚持标本兼治,以高压反腐清除腐败存量,为实现制度化反腐和法治化反腐创造了优良的社会政治环境。其战略要义在于从运动式的惩治和打击行动逐渐转向制度化、程序化和法治化的常态治理,大规模惩治腐败的同时不断加强廉政制度和法治建设等预防性改革。有海外学者认为,“随着风暴平息,反腐败执法将会变得更加常规化、规范化和制度化”,“中国控制腐败的过程可能会逐步从以纪委为基础的机制转向以法律为核心的机制”。美国乔治梅森大学教授卡洛斯·拉米雷斯(Carlos D. Ramirez)则强调“控制腐败的过程会异常漫长”,“随着中国现代化进程不断加快,中国共产党可能会处于更好的位置来实施预防和控制腐败的改革”。墨宁更进一步提出:“如果一场反腐败运动被定义为‘短暂的密集执法’,那么最新的反腐败行动根本就不是一场运动,而是中国的新常态”。
二、动因视角:新时代中国共产党反腐行动的“多层动力体系”
中国共产党何以发动如此大规模的反腐行动?这是海外学界关于中国反腐败问题研究所讨论的核心问题。多数海外学者认为,尽管这场行动无疑指向的是内部的腐败问题,但解决腐败问题并非唯一动因,其背后隐含着更为复杂的“多层动力体系”
(一)消除腐败威胁,巩固执政基础
部分海外学者认为,腐败问题是中国共产党长期执政的最大威胁。尽管持续的反腐败努力使腐败得到有效控制,但其滋生蔓延势头却并未得到根本遏制,在某些领域反而愈演愈烈。美国斯坦福大学教授魏昂德(Andrew G. Walder)认为,如今,“官僚体系内部的腐败变得如此严重和具有腐蚀性,以至于它成了稳定执政的最大威胁”,中国共产党领导人“清楚地感觉到,腐败正接近危机水平,危及政治稳定和党的生存”。因此,应对和消除这一威胁是中国共产党开展反腐败行动的主要动因。加拿大英属哥伦比亚大学副教授李晓军(Xiaojun Li)对中国地方腐败程度做了测量,得出结论认为:“腐败正威胁中国的社会政治稳定。这促使中国共产党在十八大后发起了一场全国范围的反腐败行动。”另外,也有实证研究得出类似结论,认为“反腐败的主要动机是提高民众的政治支持度”。
(二)整饬道德规范,重塑社会政治文化
部分海外研究进一步关注到新时代中国共产党反腐败行动的文化动因及其教化意义,将政治文化作为一种深层次的驱动力和解释变量嵌入新的研究框架之中。美国南卫理公会大学副教授麦卡贝·凯利赫(Macabe Keliher)等认为,中国共产党在反腐败问题上面临的主要挑战是:“重构政治秩序中的合法合规要素,使守法的观念和行为得到回报,同时将某些习以为常的腐败、贿赂和恩惠行为重新界定为违法行为。”而新时代的反腐败行动是要重塑官僚的政治道德和政治运行的共同理念,这表明“领导层正在努力改变中国的政治文化”。英国伦敦国王学院刘氏中国研究院主任克里·布朗(Kerry Brown)将这场反腐败行动视为重塑中共党员身份和道德规范的重要路径,认为其目的在于“确保党的政治愿景和组织功能重回战略核心地位,并使党员对此有清醒认知”,因此“这是一场为党的灵魂而战”的反腐败行动。
(三)破除改革壁垒,推进实质性改革
还有一些海外学者认为,新时代中国共产党反腐败行动的动因和目的在于冲破既得利益的藩篱,推进实质性的政治经济改革议程。法国蒙彼利埃第三大学(保罗·瓦莱里大学)教授蒲吉兰(Guilhem Fabre)强调:“在高压反腐背后,真正的目的是动摇既得利益集团,废除其有害政策,建立一个以公平正义为基础的社会。”另有学者认为,新时代反腐败行动的目标是解决深层次的权力与财富勾结问题,破除既得利益集团对改革进程的干扰,进而“推进更具实质性和敏感性的经济改革”,“改革现有的增长和发展模式”。
三、效应视角:新时代中国共产党反腐败行动的影响评估
新时代中国共产党的反腐败行动不仅推动了中国的腐败治理进程,而且对政治、经济和社会发展也产生了广泛影响,更形成了强大的外溢效应,深刻改变着国际反腐败规则和格局。海外学界往往从政策效应视角出发,全面评估其复杂影响。
(一)新时代中国共产党反腐败行动的政治效应
关于社会信任和政治认同问题,多数海外研究发现,大规模的反腐败行动的确增强了社会公众对政府的信任和支持,使党执政的社会基础更加巩固。美国纽约市立大学教授孙雁(Yan Sun)等认为:“高层反腐败成效及民众对自上而下反腐败的期望,使党的执政地位和基础藉由反腐败运动至少在短期内得到较大增强。”但是,另有研究发现情况更为复杂。有学者认为,从增强政治信任和巩固执政基础的角度来看,“反腐败、减贫和环境修复等似乎受到公众赞赏的政策应该继续实施并扩大”,而反腐败政策仅是其复杂的影响因素之一。同样,英国斯特拉斯克莱德大学呼和那日松(Narisong Huhe)等认为:“反腐败行动的确对中央和地方的社会信任产生了积极影响,但与现代化进程、受教育程度提高和日益多元化等其他长期影响因素相比,反腐败的影响还是相对有限。”另外,有研究发现,反腐败行动对社会信任的复杂影响会出现某些历时性变化,“腐败调查在一定程度上抑制了受访者对高层的支持”,但“并不排除持续的腐败调查在长期能增加公众政治支持的可能性”。关于官僚体制与官员行为问题,部分海外学者关注的是反腐败行动对官僚体制控制的影响及在高压反腐下官员行为从积极邀功到消极避责的转变。他们认为,反腐败行动显著“增强了中国共产党利用政治规矩和党的纪律来规范党员干部的政治能力”,但也可能产生一定的负面影响,打击党员干部的积极性,甚至“导致党和国家职能机构一定程度上的瘫痪,官员不作为和懒政怠政现象更加普遍”。当然,他们的这种观察具有一定的局限性,不足以全面反映干部行为的结构性转变。另有海外学者持相反意见,认为高压反腐实际上促使官员行为发生了积极变化,“并无证据表明,领导干部因为害怕受到反腐败牵连而放弃决策。相反,他们如果不能确保政府职能的正常运转并促进经济增长,就将面临被免职的风险”。
关于精英流动问题,一些海外学者着重分析了反腐败工作的持续推进对精英流动产生的复杂影响。其一,关于体制外精英的流动。部分学者认为,大规模的反腐败行动增强了官员职业发展的不确定性,同时也降低了职业收益和预期,由此导致人才向体制内流动的减退和政治精英供给的缩减。有研究发现,高压反腐通过“经济回报预期”和“职业发展前景”两种机制“迫使有能力的年轻精英放弃加入公务员行列”,对“干部供给”产生了负面影响。其二,关于体制内精英的流动。有学者认为,在持续的高压反腐形势下,干部的选拔任用工作呈现出明显的精英主义和反庇护主义倾向,这使得体制内人才流动更符合“德才兼备,任人唯贤”的贤能标准。有研究表明,新时代的反腐败行动在干部选任上呈现出显著的反庇护倾向,进而建构起“关系惩罚”(connections penalty)等分析框架。
(二)新时代中国共产党反腐败行动的经济效应
在宏观层面,众多海外学者观察到,在短期内,大范围的高压反腐对社会经济发展会造成一定程度的影响,甚至会对某些行业造成冲击。但从长远看,全面清除腐败则能为经济转型和高质量发展创造有益的增长环境。香港大学教授李成等也强调,“因腐败减少导致的任何消费下降都不会对经济造成不可挽回的损害,反而会有所帮助”,“重要的是,从长远看,成功的反腐败巩固了政治基础,经济将得到提振,从而能够推进更深层次的经济改革,这将增强中国经济的韧性”。而在微观层面,大量研究提供了反腐败政策对市场主体产生积极影响的经验证据。例如,反腐败斗争能促进上市企业的研发投融资及创新(如:有效专利数量)、改善企业的财务报告质量(FRQ)、加快政治联系企业研发投入实际产出效率、缓冲企业商务娱乐支出(BEE)对股价暴跌风险的正相关关系、提升资本和劳动力配置效率进而提高企业绩效,等等。但在另一些研究中,这些影响则表现得更为复杂,甚至会出现某些负面效应。有研究发现,在反腐败过程中,“就对私营企业的财政补贴而言,政治关系的价值反而增加了。而国有企业的债务成本虽有所下降,但政治关系的影响仍然存在”。另外,“反腐败与国有企业和非国有企业的绩效之间存在微观层面的正相关关系”,表明国有企业从反腐败行动中的受益比非国有企业更多。更有研究发现,反腐败对“酒店住宿和餐饮业”和“奢侈品行业”产生了显著的负面影响。
(三)新时代中国共产党反腐败行动的国际效应
党的十八大以来,中国共产党持续加大跨境腐败治理力度,着力一体构建追逃追赃机制,加快反腐败涉外法律法规建设进程,深度参与国际反腐败治理体系变革,不断提升反腐败国际合作的制度化和法治化水平,为推进腐败治理提供了中国经验和智慧,对国际腐败治理格局和规则产生了广泛影响。海外学界敏锐地感知到中国在国际腐败治理领域与日俱增的影响力和塑造力,密切关注和探讨这种变化的复杂影响及其作用机制。德国法兰克福大学伯特伦·朗(Bertram Lang)认为,“中国积极参与反腐败国际合作并非遵循纯粹的工具逻辑来实现国内政策目标,这也反映了中国日益增强的国际信心。”也有学者提出,“从长远来看,中国旨在从‘国际规范接受者’转变为‘国际规范发起者’,进而影响国际反腐秩序”。而且,中国“采取更加全球化的思维方式,在利用反洗钱思维模式(anti-money laundering mindset)推进反腐败跨国合作方面取得了重大突破”。这些研究工作及结论均表明,新时代中国共产党推行的一系列“反腐败新政”不仅对中国的腐败治理产生了深远影响,而且对建构公平合理的国际腐败治理新秩序和新格局也产生了广泛影响。
四、制度视角:新时代中国共产党反腐败行动的制度化进展
新时代,腐败治理制度化方面的进展为海外学界解释中国共产党反腐败的历史性成就提供了新的思路。总体来看,海外学者主要关注以下三大制度改革。
(一)党的纪律检查体制改革
在海外既有研究看来,缺乏独立且权威的反腐败机构是制约中国反腐败工作的重要因素。而党的十八大以来,党的纪律检查体制改革及其成效使上述观念发生了转变。有海外学者观察到中国共产党通过“建构以中纪委为中心的垂直管理体系”“强化中央巡视工作”等举措来强化党对纪委的领导,有效遏制了腐败滋生蔓延。丹麦哥本哈根商学院教授柏思德(Kjeld Erik Brødsgaard)认为,新时代的反腐败行动“最直接的影响就是强化纪委权力”,这“在确保党及其党员具备领导国家的能力和道德素质方面发挥着至关重要的作用”。奥地利维也纳大学东亚研究系李玲(Ling Li)概括了党的纪律体系的三大制度性转变,即推动纪律制度的政治化、留存和充实动员资源,以及简化案件的调查取证程序,这“显著扩大了纪委的腐败调查能力”。
(二)国家监察体制改革
针对国家监察体制改革,海外学界的讨论主要集中于其对党的反腐败能力的影响及其作用机制。部分学者认为,这一改革有助于消除现有反腐败体制中的结构矛盾和制度冲突,推进中国腐败治理的制度化进程。美国宾夕法尼亚大学当代中国研究中心研究员克里斯托弗·卡罗瑟斯(Christopher Carothers)发现,在反腐败行动中建立或加强的反腐败机构、组织和程序已经制度化,尤其是国家监委,“它不仅可以像中纪委一样监督党员的失范行为,还可以监督其他国家公职人员”。更重要的是,“它整合了包括国务院监察部和最高人民检察院在内的多个机构的反腐败职能”。也有学者认为,改革最深远的影响在于两大反腐机构纪委和监委的融合将导致以往以纪委为中心的政治机制失去比较优势,而以监委为核心的法律机制将承担更多的反腐败职责,从而消除以往腐败治理的弊病,进而将反腐败战略重心从腐败调查移至廉政教育。但另一些学者认为,从长远看,“虽然反腐败斗争带来的这种制度化规模在改革时代是前所未有的”,但“国家监委的全面影响仍有待观察”。另外,也有学者对监委实际工作中出现或可能出现的一些职能、程序和法律问题表示担忧。例如,美国耶鲁大学蔡中曾中国中心高级研究员贺诗礼(Jamie P. Horsley)提出,“这会使得监委过分倚重党的纪律部门,最终可能对全面依法治国形成困扰”。
(三)巡视制度改革
党的十八大以来,随着巡视工作的制度化和规范化及其在反腐败工作中的地位和功能日益提升,海外学界对此表现出浓厚兴趣。大多数学者对巡视制度改革持积极看法,关注到巡视制度同现有反腐败制度体系的良性互动,认为其有助于弥补现有制度过程中的结构性弊端,并将其主要功能归结为以自上而下的权威作用方式强化对党员干部的政治监督,强化了党的反腐败能力。美国吉尔福德学院教授郭学智(Xuezhi Guo)认为,巡视制度改革“对于强化纪委的垂直领导体制及弥补同级纪委监督同级党委的内在弊端发挥了重大作用”。韩国庆熙大学教授吕裕京(Yukyung Yeo)发现,中央巡视工作弥补了现有纪律检查体制在监督范围、领导体制和调查手段等方面的缺陷。也有学者将其视为“中国共产党用来解决权力委托问题、寻求省级政策合规性的非制度性机制”,认为“在短时间内,中央巡视组已成为粉碎腐败网络的利器,并有可能在政治体系内实现‘廉洁’政府的重大转变”。还有学者观察到,巡视制度不仅发挥着高效的腐败治理功能,而且还衍生出更重要的国家治理功能,“虽然巡视的初衷是遏制腐败,但近年来巡视被用来广泛地推进一些治理目标”,这解决了一个悖论,即“新时代党如何同时实现权力集中和高效治理”。
五、发展视角:新时代中国共产党反腐败行动的对策研究
展望未来,海外学界对中国共产党进一步提升反腐败工作提出了一些建议。尽管海外学者基于不同的立场和视角所提供的某些对策分析有时并不契合甚至有悖于中国的特殊性,但仍有一些建设性意见是切实中肯的,应依具体情况给予批判性吸收。
(一)制度化与法治化路径
尽管部分海外学者在谈到“运动式反腐”的效用时,承认集中整治在特定条件下是必需且高效的,但他们更为关注制度和法律层面的“治本之策”,主张反腐败应从惩治行动逐步走向制度规制,强调法治必将有助于改善中国的腐败治理。他们认为,解决腐败问题的必然之道在于使国家的反腐败战略立足于明确的规则制定和执行,而非运动式的整改行动或内部纪律机制。例如,魏德安提出反腐败制度创新及其执行的问题,认为未来反腐败工作“必须实施新的制度和规范,现有制度机制则应更有效地落实”。
(二)社会化与大众化路径
还有海外学者认为,未来中国的腐败治理应向社会更加开放,同社会监督力量合作,建立自下而上与自上而下相结合的综合反腐败体系,提升社会参与能力和水平,尤其是注重塑造新闻界和普通民众监督者的主体身份,鼓励社会公民拒绝、揭露和举报腐败行为,营造崇廉向善的社会政治氛围。墨宁强调,“世界上成功的反腐败战略努力让新闻界和普通公民成为制度规范的‘志愿执法者’:揭露、举报和拒绝参与腐败”,因此未来中国的反腐败工作应“伸出援手,与社会上的天然盟友联手”。约翰斯·霍普金斯大学教授洪源远(Yuen Yuen Ang)提出,反腐败需要公民的参与,但“公民有效监督腐败的能力并不是自动的,它以公民责任规范为条件,这些规范是通过实践和专业培养出来的”。
(三)文化与道德化路径
为从根源上消除腐败,有海外学者认为应从中华优秀传统文化和优良政府伦理中汲取智慧,建立高尚的社会和政治道德规范,重塑官场伦理和政治文化,充分发挥廉政文化的化人与自律效用。德国柏林洪堡大学博士后研究员李智琦(Tony C. Lee)提出:“更有效的做法是选择一种自下而上的方法,创造一种新的社会规范以反对由‘关系’促成的社会环境,降低民众对腐败的容忍度,以廉洁为荣,以腐败为耻。”也有海外学者认为,贤能政治是解决腐败问题的重要途径,要关注儒家道德教育对腐败的遏制作用,“更加重视对公职人员的道德教育,包括在党校中传授儒家价值观”。还有学者认识到,中国腐败问题的根由并不在规章制度的缺失,而是“缺乏能够鼓励官员避免腐败的积极行为准则”,“规定官员应该如何行事以及让官员了解道德高尚的标准,比刑事处罚更有助于遏制腐败和鼓励廉洁”。
六、对新时代海外学界中国共产党反腐败研究的批判性审思
尽管新时代党的反腐败行动为越来越多的海外学者所正视,开始突破乃至重构部分海外既定解释范式,重塑了党在海外学界的廉洁形象。但就一些海外研究而言,仍有以下几个问题是值得讨论和回应的。
第一,腐败治理的功能性解读。部分海外学者赋予中国共产党的反腐败行动以某种程度的功能主义或实用主义色彩,而较少关注其背后所隐含的“人民至上”的价值关怀和清正廉洁的政治本色。中国共产党始终强调权为民所赋,权为民所用,“自己手中的权力、所处的岗位,是党和人民赋予的,是为党和人民做事用的,只能用来为民谋利”。腐败同党的性质和宗旨在根本上是相违背的,党同腐败现象是决然对立的。实际上,“人民至上”使党的反腐败工作更具韧性和彻底性,“当今世界没有其他哪个政党、哪个国家能够像我们这样大规模、大力度、坚持不懈惩治腐败”。
第二,西方中心论的学术立场。海外研究中西方中心论的学术立场历来为国内外学界所诟病,它深刻影响着部分学者对中国腐败及其治理问题的观察和解释,尤其是对中国反腐败模式及其前景的讨论。受此影响,一些海外学者以西方的腐败治理经验为基准,而非以中国的具体实践为基准来解释当前中国共产党的反腐败行动。实际上,中国共产党在新时代始终坚持标本兼治、系统治理,一体推进不敢腐、不能腐、不想腐,就是要探索出一条符合中国国情、更加高效、更具彻底性的反腐败道路。事实证明,“我们成功走出一条依靠制度优势、法治优势反腐败之路,书写了人类反腐败斗争历史新篇章”。
第三,理论的问题意识。部分海外学者仍依循既有的理论框架和范式来审视中国共产党的反腐败行动,探寻中国在反腐败问题上的失序与乱象,从而提出理论而非实践层面的“中国悖论”。其论证逻辑就在于,从既有的理论框架出发观察党的反腐败实践,继而寻出其同既定理论的悖离之处,最后在搜寻并裁剪现实的经验证据的基础上对其作理论上的解释。这是一种从理论到实践、再到理论的理论发展过程,而非从实践到理论、再到实践的理论生产过程。这在一定程度上使真正的“中国问题”被掩盖了。唯有坚持实践的问题意识,方能破除西方既有理论的无理规制,进而提出兼备特殊与一般的中国问题。
第四,研究资料和方法的偏蔽。目前来看,部分海外研究在资料与方法的取用上存在的一些缺陷与偏差值得注意。其一,一些研究过分倚重论文、著作、报告、网页资料,乃至带有明显不良倾向的新闻报道和文学作品等二手资料。其二,部分研究受事先的理论预设影响,理论观点占第一位,而经验资料占第二位,后者是为前者服务的,实所谓“资料未定,观点已成”。其三,一些海外研究在数据分析上并非称得上严谨科学。例如,时常被用来测量腐败程度的腐败案件数据存在被碎片化运用的问题。其四,部分研究往往集中于使用实证方法对微小议题展开程式化和同质化的分析,虽有助于深化研究,但无法实现对相关问题的规律性把握。
(作者简介:刘阳科、高晓林:复旦大学马克思主义学院)
网络编辑:同心
Notes
- The 18th National Congress of the CPC, held in 2012, marked the beginning of the Xi Jinping era and the launch of the large-scale anti-corruption campaign. ↩
- “Having both moral integrity and professional competence, and appointing people on their merits” (德才兼备,任人唯贤) is a traditional Chinese expression for the ideal standard of selecting officials, emphasizing both ethical character and ability, and favoring the worthy over the well-connected.