Lenin’s Exploration of Preventing and Curing Bureaucratism and Formalism

Since the beginning of the New Era, our Party has made the unremitting strengthening of work-style building a key fulcrum for continuing to write “the great essay on upholding and developing socialism with Chinese characteristics,” and a point of entry for comprehensive and strict governance of the Party. It began by formulating and implementing the “Eight-Point Regulations” of the Party Central Committee as the opening move, proceeded by focusing on rectifying the “four work styles” of bureaucratism, formalism, and the like, and put forward and implemented the general requirements for Party building in the New Era. Xi Jinping has keenly perceived the prominent problems existing in Party building and has repeatedly stressed that “formalism and bureaucratism kill people” (1). In the course of leading socialist construction, Lenin actively explored the phenomena of bureaucratism and formalism in the proletarian ruling party and the socialist state power, along with their harms, roots, and methods of prevention and cure. A systematic examination and in-depth study of Lenin’s theoretical conceptions and practical explorations in opposing bureaucratism and formalism can provide important theoretical support and reference for our Party’s effective prevention and cure of bureaucratism and formalism and for enhancing the Party’s leadership capacity and level.

新时代以来，我们党把持之以恒加强作风建设作为续写“坚持和发展中国特色社会主义这篇大文章”的重要支点、作为全面从严治党的切入点。从制定和贯彻“中央八项规定”开局破题，从整治官僚主义、形式主义等“四风”着眼入手，提出和落实新时代党的建设总要求。习近平深刻洞察党的建设方面存在的突出问题，反复强调“形式主义、官僚主义害死人”(1)。列宁在领导社会主义建设的过程中，对无产阶级执政党和社会主义政权中存在的官僚主义、形式主义现象及其危害、根源、防治方法等进行了积极探索。系统考察和深入研究列宁反对官僚主义、形式主义的理论构想和实践探索，可以为我们党有效防治官僚主义和形式主义、提升党的领导能力和水平，提供重要的理论支撑和启示借鉴。

I. Lenin’s Exposure and Critique of the Manifestations and Harms of Bureaucratism and Formalism

一、列宁对官僚主义形式主义的 表现及危害的揭露和批判

Since the birth of class society and the state, bureaucratism has followed closely upon public power and accompanied bureaucratic politics; it is a status mentality and work style gradually formed by state public officials in order to satisfy personal interests. “Bureaucratism is a long-standing, complex historical phenomenon” (2). Formalism is “a metaphysical viewpoint, method, and work style that one-sidedly pursues form while neglecting content” (3). Although bureaucratism and formalism differ in their forms of manifestation and the objects to which they are applied, both belong to stubborn work-style maladies; both are deep-rooted chronic diseases that corrupt the Party’s image in exercising power, shake the Party’s foundation for exercising power, and bury the future of the Party’s cause.

自阶级社会和国家诞生后，官僚主义就紧随公权力产生、与官僚政治相伴，是国家公职人员为了满足个人利益而逐渐形成的地位观念和工作作风。“官僚主义是一种长期存在的、复杂的历史现象。”(2)形式主义是“片面追求形式而忽视内容的形而上学的观点、方法和作风”(3)。官僚主义和形式主义在表现形态、施行对象上虽有区别，但二者同属作风顽疾，均为败坏党的执政形象、动摇党的执政根基、葬送党的事业前途的顽瘴痼疾。

Lenin held that only the Communist Party “is capable of leading all the exploited working masses” (4) and “is capable of leading the working class to profoundly and fundamentally change the old society” (5), but he also recognized that a party in a ruling position and wielding state power easily breeds bureaucratism and formalism. Lenin had a sober understanding of the phenomena of bureaucratism and formalism existing in the Soviet state power and the proletarian ruling party, and of their harms. As bureaucratism and formalism spread and proliferated in the Soviet organs, Lenin carried out a profound analysis and sharp critique of their harms.

列宁认为，只有共产党“才能够领导全体被剥削劳动群众”(4),“才能领导工人阶级去深刻地根本地改变旧社会”(5),但同时他也认识到，处于执政地位、掌握国家权力的政党，容易滋长官僚主义和形式主义。对于苏维埃政权和无产阶级执政党中存在的官僚主义、形式主义现象及其危害，列宁有着清醒的认识。随着官僚主义和形式主义在苏维埃机关中的蔓延泛滥，列宁对其危害进行了深刻分析和尖锐批判。

(1) A Sharp Critique of the Phenomena of Bureaucratism and Formalism in the Soviet State and Party Organs

(一)尖锐批判苏维埃国家和党的机关中的官僚主义形式主义现象

The October Revolution smashed the bureaucratic machine of the Russian bourgeoisie and established the world’s first socialist state. The newborn Soviet state power was once full of vitality, but bureaucratism appeared only half a year later. Lenin perceived this phenomenon in time and pointed out: “There is now a petty-bourgeois tendency to turn Soviet members into ‘parliamentarians’ or into bureaucrats” (6). As phenomena such as abstract empty talk, slow handling of affairs, indiscriminate issuance of documents, abuse of power, bloated institutions, and overstaffing spread across various fields and departments, and especially as various bureaucratist phenomena penetrated the Party’s organs, Lenin subjected bureaucratism to a profound critique: “Bureaucrats are to be found not only in the Soviet organs but also in the Party’s organs” (7). “The greatest defect in all the work of all our economic organs is bureaucratism” (8). He also exposed to the Party and the people the different manifestations of bureaucratism in various aspects and fields, such as toward the masses, being “full of official airs,” having “a tendency to become divorced from the masses, to stand above the masses, and to enjoy privileges” (9); toward the socialist cause, it manifested itself as arrogance and self-importance, placing oneself above the real cause.

十月革命打碎了沙俄资产阶级的官僚机器，建立了世界上第一个社会主义国家。新生的苏维埃政权曾一度生气勃勃，但仅半年之后就出现了官僚主义现象。列宁及时洞悉到这种现象，并指出：“现在有一种使苏维埃成员变为‘议会议员’或变为官僚的小资产阶级趋势。”(6)随着诸如抽象空谈、办事迟缓、滥发文件、滥用职权、机构臃肿、人浮于事等现象在各领域、各部门的泛滥，尤其是随着各种官僚主义现象向党的机关渗透，列宁对官僚主义给予了深刻批判：“官僚不仅在苏维埃机关里有，而且在党的机关里也有。”(7)“我们所有经济机构的一切工作中最大的毛病就是官僚主义。”(8)他还向党和人民揭露了官僚主义在各方面和领域的不同表现，诸如对待人民群众，“官气十足”,“有变为脱离群众、凌驾于群众之上、享有特权的人物的趋势”(9);对待社会主义事业，则表现为妄自尊大，凌驾于真正的事业之上。

Serious bureaucratism inevitably leads to the prevalence of formalism. Lenin profoundly exposed the phenomena of formalism existing in the Soviet state and Party organs and reduced the manifestations of formalism to three major aspects: first, an obsession with holding meetings. People were in a state of endless “always meeting and meeting without cease,” “knowing only how to set up various committees, only how to meet and talk, without doing even the simplest things” (10). Second, the prevalence of red-tape-ism. Documents piled up like mountains in the organs, yet the implementation of decrees was not checked, and managerial personnel engaged in bureaucratist document games. “The detestable bureaucratist habit has plunged us into the situation of indiscriminately issuing documents, discussing decrees, and giving arbitrary instructions, and lively work is drowned in this vast sea of official documents” (11). Third, the serious problem of procrastination. All work was handled according to rigid, red-tape-ridden regulations, resulting in extremely low work efficiency. “Procrastination is especially common in the Moscow organs and the central organs” (12). For this reason, Lenin demanded, “Sing fewer political high-flown phrases, and pay more attention to the most ordinary but lively things of communist construction, things taken from life and tested by life” (13), advocating that Party members and organ staff focus on solving practical problems.

官僚主义严重必然导致形式主义盛行。列宁深刻揭露了苏维埃国家和党的机关中存在的形式主义现象，并把形式主义的表现归结为三大方面：一是热衷于开会。大家处于永无止境地“老是开会和不断开会”的状态，“只知道设立各种委员会，只知道开会、谈话而连简单的事也不做”。(10)二是文牍主义盛行。机关内公文堆积如山，法令的执行情况却没有加以检查，管理人员大搞官僚主义的公文游戏。“可恶的官僚主义积习使我们陷入滥发文件、讨论法令、乱下指示的境地，生动活泼的工作就淹没在这浩如烟海的公文之中了。”(11)三是拖拉作风严重。一切工作都按照刻板的、繁文缛节的规定来办理，造成办事效率低下。“拖拉作风在莫斯科各机关和中央各机关尤其屡见不鲜。”(12)为此，列宁要求，“少唱些政治高调，多注意些极平凡的但是生动的、来自生活并经过生活检验的共产主义建设方面的事情”(13),倡导党员及机关工作人员着眼于解决实际问题。

(2) A Profound Revelation of the Harms of Bureaucratism and Formalism in the Soviet State and Party Organs

(二)深刻揭示苏维埃国家和党的机关中官僚主义形式主义的危害

Lenin figuratively compared bureaucratism and formalism to a kind of “new abscess” and regarded them as the most detestable enemies. With deep anxiety, he repeatedly criticized the various maladies of bureaucratism and formalism and sharply exposed their serious harms: “If anything will destroy us, it is this. For the State Bank, the most dangerous thing is to turn into a bureaucratic organ” (14). In his view, the greatest harm of bureaucratism and formalism was to make the state organs unable to operate normally and flexibly, and to bring the cause of socialist construction to a standstill.

列宁形象地把官僚主义和形式主义比喻为一种“新脓疮”,视其为最可恶的敌人。他充满忧虑地不断针砭官僚主义和形式主义的种种弊病，尖锐揭露官僚主义和形式主义的严重危害：“如果说有什么东西会把我们毁掉的话，那就是这个。对国家银行来说，最危险的莫过于变成官僚机关。”(14)在他看来，官僚主义和形式主义的最大危害，就是使国家机关不能正常地灵活运转，使社会主义建设事业停滞不前。

First, bureaucratism and formalism damage the image of the Party and state organs and affect the building of sound Party-masses relations. The victory of the October Revolution made the masses confident that the proletarian ruling party was the vanguard of the proletariat and that Party members and state public officials were public servants safeguarding the people’s right to be masters of the country. However, the growth of bureaucratism and formalism in the Soviet state organs and Party organs ruthlessly shattered the good image of the proletarian ruling party in the minds of the masses. Lenin pointed out at a meeting in 1919 that we had driven out the old bureaucrats, but they had returned under the name of “controllers.” “Because they dare not call themselves Communists, they put on red collar insignia, hoping to grab a fat post” (15).

第一，官僚主义、形式主义破坏党和国家机关的形象，影响良好党群关系的构建。十月革命的胜利使人民群众确信，无产阶级执政党是无产阶级的先锋队，相信党员和国家公职人员是保障人民当家作主权利的人民公仆。然而，苏维埃国家机关和党的机关中官僚主义、形式主义滋长，无情地打破了无产阶级执政党在人民群众心目中的良好形象。列宁在1919年的一次会议中指出，我们赶走了旧官僚，但是他们又以“控产党人”的名称回来了。“因为不敢说是共产党人，他们戴上红领章，想捞到一个肥缺。”(15)

Second, bureaucratism and formalism damage the interests of the masses and hinder the consolidation and development of proletarian state power. Bureaucrats inevitably use their positions to seek personal interests, turning public property into private property, plundering by force and cunning, and engaging in corruption. They turn from public servants of the people into social masters riding roughshod over the people, seriously infringing on the interests of the masses. Lenin stressed that the bureaucratism prevalent in many chief administrations and central organs often seriously harmed the legitimate interests of the masses and was one of the most important sources of dissatisfaction with the Party. Formalists, in turn, often ignored the needs of the masses, engaged in empty talk about decrees, and were habitually dilatory, making it difficult for the people’s basic rights and interests to be satisfied. In 1918, Lenin criticized the formalism of the People’s Commissariat for Food as seriously hindering the transport of potatoes, and he deeply abhorred such things that harmed the country and the people.

第二，官僚主义、形式主义损害人民群众的利益，阻碍无产阶级政权的巩固和发展。官僚主义者必然会利用职务之便，谋求个人的利益，化公为私，巧取豪夺，贪污腐败。他们从人民的公仆变成骑在人民头上作威作福的社会主人，严重侵害了群众的利益。列宁强调，许多管理总局和中央机关中普遍存在的官僚主义，往往严重地危害人民群众的合法利益，是对党产生不满的最重要的根源之一。形式主义者则往往忽视人民群众的需求，空谈法令，拖延成性，使得人民的基本权益难以得到满足。1918年，列宁就曾批评粮食人民委员部的形式主义严重阻碍马铃薯运送工作，对这种误国误民的事情深恶痛绝。

Third, bureaucratism and formalism affect the smooth progress of all work of the Party and state organs and delay and slow down the cause of socialist construction. Socialist construction requires the mutual coordination of Party organs and state organs to work actively for the restoration and development of the national economy. However, bureaucratism and formalism cause the needs of the cause to yield to the pursuit of personal interests, cause the various organs to become distant from the grassroots, slow down the process of socialist construction, and even hinder the implementation of state policies and guidelines. In 1921, an article published in the newspaper Izvestia of the All-Russian Central Executive Committee reported: “Owing to formalism and procrastination, the Naro-Fominsk textile factory lacked fuel and could not continue production” (16).

第三，官僚主义、形式主义影响党和国家机关各项工作的顺利开展，延误和迟滞社会主义建设事业。社会主义建设需要党的机关和国家机关相互配合，为恢复和发展国民经济而积极工作。但是，官僚主义、形式主义会使事业的需要让位于个人利益追求，使各机关远离基层，导致社会主义建设的进程放缓，甚至阻碍国家方针政策落地执行。1921年，刊登在《全俄中央执行委员会消息报》上的文章反映：“由于形式主义和拖拉作风，致使纳罗福明斯克纺织厂缺乏燃料，不能继续生产。”(16)

Fourth, preventing and combating bureaucratism and formalism bears on the life and death of the Party and the state. Although Lenin's analysis and reflection on preventing and combating bureaucratism and formalism were very profound, after his death the Soviet Party and state organs failed to continue his guiding principles, and the maladies of bureaucratism and formalism were not only not resolved but further spread. During the Stalin period, a privileged stratum gradually emerged; during the Brezhnev period, life tenure for leading cadres took shape; during the Gorbachev period, the "glasnost and democratization" movement provided legalized grounds for the vested interests of corrupt elements. This also caused the Soviet Party and state organs in the late period to be pervaded by privileged thinking, hedonism to prevail, and extravagance to run rampant, and together with formalism, it made the Soviet Communist Party's research and propaganda work on Marxist theory hollow and powerless, rigid and mechanical, and ultimately it lost its ideological leadership. The maladies of bureaucratism and formalism ultimately became an important cause of the Soviet Union's Party collapse and state dissolution.

第四，防治官僚主义、形式主义关系党和国家的生死存亡。尽管列宁关于防治官僚主义、形式主义的分析和思考非常深刻，然而，他逝世后，苏联党和国家机关未能延续其指导方针，官僚主义和形式主义弊病不仅没有得到消解反而进一步蔓延。斯大林时期，特权阶层逐渐显现；勃列日涅夫时期，领导干部的职务终身制形成；戈尔巴乔夫时期，“公开化、民主化”运动为腐败分子的既得利益提供合法化依据。这也致使苏联后期党和国家机关特权思想弥漫，享乐主义盛行，奢靡之风泛滥，再加上形式主义，使得苏联共产党对于马克思主义理论的研究和宣传工作空洞无力、僵化死板，最终失去了意识形态的领导权。官僚主义和形式主义的弊病最终成为苏联亡党亡国的重要原因。

II. Lenin's Profound Analysis of the Origins of Bureaucratism and Formalism

二、列宁对官僚主义形式主义 产生根源的深刻剖析

In the development of human society to this day, there have existed two kinds of bureaucratism of different natures, namely, the bureaucratism of the exploiting classes and the bureaucratism of the non-exploiting classes. In states ruled by the exploiting classes, bureaucrats are "representatives of a power that stands above society" and is "alienated from society" [17]17 V. I. Lenin, "The State and Revolution," Collected Works, vol. 25, p. 399., a group of "a special stratum specializing in administrative affairs and enjoying a privileged position before the people" [18]18 V. I. Lenin, "The State and Revolution," Collected Works, vol. 25, p. 400.. It is precisely this special stratum that enables the huge state machine to keep operating without interruption, just as Lenin said, "whether in a monarchy or in the most democratic bourgeois republic, bureaucratism at all times and in all places links state power with the interests of the landlords and capitalists" [19]19 V. I. Lenin, "The State and Revolution," Collected Works, vol. 25, p. 401.. With the establishment of the dictatorship of the proletariat, what followed was what Lenin called "today's 'communist bureaucratism'" [20]20 V. I. Lenin, "Letter to A. A. Ioffe," Collected Works, vol. 35, p. 539.. This kind of bureaucratism "means subordinating the interests of the cause to the need to climb upward, means pursuing status single-mindedly while neglecting work" [21]21 V. I. Lenin, "The Immediate Tasks of the Soviet Government," Collected Works, vol. 27, p. 245.. Although in essence it differs from the bureaucratism in the state machines of the exploiting classes, it has an extremely corrosive and destructive effect on the Party and the socialist cause. Formalism is bred and spawned by bureaucratism and is one typical manifestation among the many expressions of bureaucratism. Bureaucratism and formalism always follow each other like shadow and form, and are born together. Formalism stimulates and promotes bureaucratism, and bureaucratism to a certain extent shelters formalism. Lenin often mentioned the two together, calling formalism the formalism of bureaucratism. In essence, both belong to subjective idealism that is divorced from reality and from the masses, both are liberalism that abandons principles and Party spirit, and both belong to utilitarianism that craves fame and profit. Lenin deeply recognized that although the Soviet state system was incompatible with bureaucratism, because the Soviet state was born out of the tsarist autocratic system, its level of political, economic, and cultural development was not high, and it inevitably carried traces of the old system. Therefore, from the very beginning the Soviet regime was unable to eliminate the growth of bureaucratism and formalism.

人类社会发展至今，存在两种性质不同的官僚主义，即剥削阶级的官僚主义和非剥削阶级的官僚主义。在剥削阶级统治的国家中，官僚是“凌驾于社会之上”,且“同社会相异化的力量的代表”(17),是一批“专干行政事务并在人民面前处于特权地位的特殊阶层”(18)。正是这个特殊阶层使庞大的国家机器能够运转不辍，正如列宁所言，“不论在君主国或在最民主的资产阶级共和国，官僚主义是随时随地把国家权力同地主和资本家的利益连在一起的”(19)。随着无产阶级专政的建立，随之而来的是被列宁称为“当今的‘共产党员的官僚主义’”(20)。这种官僚主义“就是使事业的利益服从于向上爬的需要，就是一味追求地位而忽视工作”(21)。虽然它在本质上区别于剥削阶级国家机器中的官僚主义，但对党和社会主义事业具有极大的腐蚀性和破坏性。形式主义是由官僚主义孕育催生而来，是官僚主义诸多表现中的一种典型。官僚主义与形式主义总是如影随形、相伴而生。形式主义激发助推官僚主义，官僚主义在一定程度上庇护形式主义。列宁常把二者相提并论，称形式主义为官僚主义的形式主义。二者本质上同属于脱离实际、脱离群众的主观唯心主义，都是放弃原则、放弃党性的自由主义，同属于贪图名利的功利主义。列宁深刻认识到，苏维埃国家制度虽然与官僚主义不相容，但由于苏维埃国家脱胎于沙皇专制制度，其政治、经济、文化的发展水平并不高，不可避免地带有旧制度的痕迹。因此，苏维埃政权从一开始便没能杜绝官僚主义、形式主义的滋长。

(1) The Political Origins of Bureaucratism and Formalism

(一)官僚主义形式主义产生的政治根源

With profound historical dialectics, Lenin perceived the internal connection between the bureaucratism and formalism existing in the Soviet regime and the remnants of old Russian feudal autocracy, holding that the poisonous legacy of tsarist Russia's feudal autocracy was their political origin. "From tsarist Russia we learned the worst things, namely, the bureaucratism and Oblomovism that almost suffocate us..." [22]22 V. I. Lenin, "Report on the Work of the Council of People's Commissars," Collected Works, vol. 33, p. 149. "The people are completely without rights before the officials, and the privileged bureaucrats are completely free from supervision" [23]23 V. I. Lenin, "The Agrarian Programme of Social-Democracy in the First Russian Revolution," Collected Works, vol. 13, p. 245., which was the inevitable product of backward Russia and its autocratic system, and an important reason why the officials of tsarist Russia abused their power and violated people's rights to an astonishing degree.

列宁以深邃的历史辩证法，洞察到苏维埃政权中存在的官僚主义、形式主义与旧俄国封建专制残余之间的内在联系，认为沙皇俄国的封建专制遗毒是其产生的政治根源。“我们从沙皇俄国学到了最坏的东西，也就是简直要把我们窒息死的官僚主义和奥勃洛摩夫习气……”(22)“人民在官吏面前完全无权，特权官僚完全不受监督”(23),这是落后的俄国及其专制制度的必然产物，是沙皇俄国的官吏滥用职权和侵犯人的权利达到了惊人地步的重要原因。

The newborn Soviet regime was precisely nurtured in such a social environment. At that time, Russia, located in the weak link of the world imperialist chain, still retained a strong feudal autocracy, which provided conditions for the newborn Soviet state organs and Party organs to breed bureaucratism and formalism. Lenin believed that "our state organs as a whole are most severely bound and infected by the old spirit" [24]24 V. I. Lenin, "Better Fewer, But Better," Collected Works, vol. 33, p. 487.. He pointed out, "Between the working class and the old bourgeois society there is no Great Wall of China. ... When the old society dies, its corpse cannot be put in a coffin and buried in a grave. It rots and stinks among us and poisons us" [25]25 V. I. Lenin, "Report on the Work of the Council of People's Commissars," Collected Works, vol. 33, p. 150.. Historical materialism tells us that social consciousness has relative independence; although the old state machine was smashed, the ideological superstructure standing upon it still remains in people's minds. Bureaucratism and formalism are the projection of the reactionary style of the reactionary classes toward the people within the state organs of the proletariat.

新生的苏维埃政权恰恰在这样的社会环境下孕育。当时处在世界帝国主义链条薄弱环节的俄国残存着浓厚的封建专制主义，这为新生的苏维埃政权机关和党的机关滋长官僚主义和形式主义提供了条件。列宁认为，“我们的国家机关整个说来受旧精神的束缚和浸染最严重”(24)。他指出，“在工人阶级和资产阶级旧社会之间并没有一道万里长城。……旧社会灭亡的时候，它的尸体是不能装进棺材、埋入坟墓的。它在我们中间腐烂发臭并且毒害我们”(25)。历史唯物主义告诉我们，社会意识具有相对独立性，虽然旧的国家机器被打碎了，但是矗立在其上的上层建筑意识形态依旧停留在人们的头脑中。官僚主义和形式主义就是反动阶级对待人民的反动作风在无产阶级国家机关内的投影。

(2) The Economic Origins of Bureaucratism and Formalism

(二)官僚主义形式主义产生的经济根源

The economic base determines the superstructure, and complex social phenomena can certainly find their corresponding socioeconomic origins. As Marx pointed out: "Men cannot freely choose their productive forces — this is the basis of all their history, because every productive force is an acquired force, the product of previous activity" [26]26 Karl Marx, "Letter to P. V. Annenkov," in Marx and Engels, Selected Works, vol. 4, p. 321.. The new Soviet state power was not in a vacuum; what it inherited was also the product of previous activity. At that time Russia was suffering from the underdevelopment of capitalism; what was spread throughout the country was not developed large-scale machine industry, but scattered and backward small-scale production. This was precisely the economic origin of bureaucratism and formalism in the Soviet state organs.

经济基础决定上层建筑，纷繁复杂的社会现象一定能够找到相应的社会经济根源。正如马克思指出的：“人们不能自由选择自己的生产力——这是他们的全部历史的基础，因为任何生产力都是一种既得的力量，是以往的活动的产物。”(26)新型的苏维埃国家政权并非处于真空之中，它所继承的也是以往活动的产物。彼时的俄国正苦于资本主义的不发达，遍布全国的并非发达的机器大工业，而是分散落后的小生产经济。这正是苏维埃国家机关中官僚主义和形式主义产生的经济根源。

Before the October Revolution, tsarist Russia's economic development was very backward, with total industrial output value far lower than that of the developed capitalist countries such as the United States, Germany, Britain, and France. After the First World War and the armed rebellions and intervention at home and abroad following the October Revolution, Russia's economic burden became even more severe. In 1920, Soviet Russia's total industrial output value was only 15.5% of the pre-war level, and total agricultural output was only half of the pre-war level. [27]27 See V. I. Lenin, "Report on the Substitution of a Tax in Kind for the Surplus-Grain Appropriation System," Collected Works, vol. 32, p. 215. In that year, the land of the landlords was nationalized, and 150 million hectares of land were distributed to the peasants for free use, but in that year "collective peasants accounted for only 5‰ of the total peasant households, and by 1924, the year of Lenin's death, it was still less than 1%. As for the technological transformation of agriculture, by 1928, on the eve of the great development of agricultural collectivization, mechanical power still accounted for only 4%, and draft animals accounted for 96%" [28]28 See V. I. Lenin, "On Cooperation," Collected Works, vol. 33, p. 467.. The superstructure after the October Revolution had to be built on this kind of small-scale production economy. Lenin believed that bureaucratism and formalism were "the superstructure of the disorganization and oppressed state of the small producers" [29]29 V. I. Lenin, "The Tax in Kind," Collected Works, vol. 32, p. 343., and influenced by their cognitive foundation of poverty and lack of enlightenment, what the small producers revered was the "unrestricted government power" [30]30 V. I. Lenin, "The Tax in Kind," Collected Works, vol. 32, p. 344. standing above them. Although after the October Revolution the Soviet peasants and other small producers turned over and became the masters of society, the past mode of production still exerted influence in a short period of time, thereby providing an objective environment and soil for the existence of bureaucratism and formalism. Lenin pointed out: "The more dispersed the peasants are, the more difficult it is to avoid bureaucratism in the central organs" [31]31 V. I. Lenin, "The Tax in Kind," Collected Works, vol. 32, p. 345..

十月革命前的沙皇俄国，经济发展非常落后，工业总产值远低于美、德、英、法等发达资本主义国家。经过第一次世界大战以及十月革命后的国内外武装叛乱和干涉，俄国经济负担更加严重。1920年，苏俄的工业总产值只有战前的15.5%,农业总产量仅为战前的一半。(27)这一年，地主土地收归国有，一亿零五千公顷的土地被分给农民无偿使用，但是当年的“集体农民只占总农户的5‰,直到列宁逝世的1924年，也还不到1%。就农业技术改造而言，到1928年，即农业集体化大发展的前夕，机械动力还只占4%,役畜占96%”(28)。十月革命之后的上层建筑不得不建立在这种小生产经济之上。列宁认为，官僚主义、形式主义是“小生产者涣散性和受压制状态的上层建筑”(29),受其贫困、不开化的认知基础的影响，小生产者所崇尚的是站在他们上面的“不受限制的政府权力”(30)。尽管十月革命后苏维埃的农民等小生产者翻身成为社会的主人，但过去的生产方式短时间内还在发挥影响力，从而为官僚主义和形式主义的存在提供了客观的环境和土壤。列宁指出：“农民愈分散，中央机关的官僚主义也就愈难避免。”(31)

(3) The Cultural Origins of Bureaucratism and Formalism

(三)官僚主义形式主义产生的文化根源

The spread of bureaucratism and formalism was inseparable from Russia’s cultural backwardness and the ignorance of the broad masses of working people caused by their lack of access to education. Lenin had a very profound understanding of the reality of “Russia’s underdeveloped culture” (32), and believed that this cultural backwardness allowed the bureaucratic system to revive. He pointed out: “Bureaucratism and red tape are mainly connected with Russia’s low cultural level, the severe economic destruction caused by the war, and the consequences of poverty.” (33) The emergence of bureaucratism and formalism was closely related to the cultural level of the managerial personnel in Soviet organs at the time and the cultural level of the entire nation. Lenin also explained, from the perspectives of government education funding, schooling, and teachers’ salaries, that Russia was a barbaric country with the most backward education in Europe, where the people’s right to education was severely deprived. He even quoted the speech of the Duma deputy Badaev: “Among the Blacks in America, illiterates account for only 44 percent in total (in Europe illiterates account for 1–2 percent), but in Russia illiterates account for 79 percent!” (34) At that time, the low level of national education brought two difficulties to the management of the Soviet, this new type of regime, and became a cause of bureaucratism and formalism that could not be ignored. On the one hand, because the cultural quality and political consciousness of the masses were not high, the people’s “public servants” who joined the Soviet organs inevitably absorbed the bad habits of the “old managers” in the organs. In Lenin’s view, the staff recommended by the broad masses, whose cultural level was not high enough, to important positions also lacked the necessary management skills, and “had to hurriedly absorb old specialists to participate in work,” thereby causing “bureaucratism to partially revive within the Soviet system.” (35) On the other hand, although the Soviet was an organ of management implemented through the working people, because the cultural level was not high and there were not enough cultured personnel, it was completely impossible to realize the participation of all residents in management; management could only be carried out on their behalf by the advanced elements of the proletariat, which led to a lack of truly effective supervision over the management of Soviet state organs. Unlike bourgeois republics, what hindered the working people from participating in management at this time was not law, but the cultural level of the laboring masses; once government organs and their managerial personnel could not receive effective supervision, bureaucratism and formalism became difficult to avoid.

官僚主义和形式主义的泛滥，同俄国文化落后、广大劳动人民因缺乏受教育机会而造成的愚昧密不可分。列宁对“俄国文化不发达”(32)的现实认识得非常深刻，认为这种文化落后性使官僚制度得以复活。他指出：“官僚主义和拖拉作风主要是同俄国的文化水平低、战争所造成的严重经济破坏和贫困等后果有关的。”(33)官僚主义和形式主义的产生，与当时苏维埃机关管理人员的文化水平以及整个国民的文化水平有着重要关联。列宁还从政府教育经费、学校教育、教师薪金等方面，说明俄国是欧洲教育最落后、人民群众受教育的权利被严重剥夺的野蛮国家。他甚至引用了杜马代表巴达耶夫的发言：“在美国的黑人中间文盲总共也不过占44%(在欧洲文盲只占1%—2%),而在俄国文盲却占79%!”(34)当时低下的国民教育水平给苏维埃这一新型政权的管理带来了两方面的困难，成为官僚主义和形式主义不可忽视的成因。一方面，由于人民群众文化素养和政治思想觉悟不高，加入苏维埃机关的人民“公仆”不可避免沾染上机关中“旧管理者”的不良习气。在列宁看来，被文化水平不够高的广大群众推荐到重要岗位上的工作人员也缺乏必要的管理技能，“不得不匆忙地吸收旧专家参加工作”,从而造成“官僚主义就在苏维埃制度内部部分地复活起来”。(35)另一方面，虽然苏维埃是通过劳动者来实行管理的机关，但由于文化水平不高，有文化的人才不够，根本无法实现全体居民参与管理工作，只能通过无产阶级中的先进分子来代为管理，从而导致苏维埃政权机关的管理缺乏切实有效的监督。区别于资产阶级共和国，此时阻碍劳动者参加管理的不是法律，而是劳动群众的文化水平，政府机关及管理人员一旦得不到有效的监督，官僚主义和形式主义便难以避免。

III. Lenin’s Effective Measures to Prevent and Combat Bureaucratism and Formalism

三、列宁防治官僚主义 形式主义的有效举措

Lenin regarded the bureaucratism and formalism manifested in practical work as a “great shame” (36), and advocated waging a resolute struggle against bureaucratism and formalism. In terms of how to effectively prevent and combat bureaucratism and formalism, he emphasized that one must never believe that “such bad phenomena can be overcome by paper resolutions and criticism without content” (37), and explicitly demanded the adoption of practical measures and forceful actions to struggle against the phenomena of bureaucratism and formalism. At the same time, Lenin profoundly recognized that bureaucratism and formalism would not be excised immediately like a tumor, and that the Soviet state power and the proletarian ruling party had to wage a long and tenacious struggle against bureaucratism and formalism. Lenin took the development of socialist democracy, the improvement of the socialist legal system, the improvement of state organs, and the purification of Party member and cadre ranks as important measures to prevent and combat bureaucratism and formalism, and in practice adopted many effective and concrete measures such as streamlining institutions, selecting and appointing talent, establishing a system of individual work responsibility, and implementing inspection and supervision.

列宁把实际工作中表现出的官僚主义和形式主义作风视为“莫大的耻辱”(36),主张同官僚主义和形式主义作坚决斗争。在如何有效防治官僚主义和形式主义方面，他强调，决不能相信“靠纸上的决议和没有内容的批评就可以克服这种坏现象”(37),明确要求采取与官僚主义、形式主义现象作斗争的实际措施和有力行动。同时，列宁深刻认识到，官僚主义和形式主义不会像瘤一样立刻被割除，苏维埃国家政权和无产阶级执政党要同官僚主义、形式主义作长期顽强的斗争。列宁把发扬社会主义民主、健全社会主义法制、改善政权机关、纯洁党员干部队伍等作为防治官僚主义和形式主义的重要举措，并在实践中采取了精简机构、选拔人才、建立个人工作责任制、实行检查和监督等诸多行之有效的具体措施。

(1) Overcoming Bureaucratism and Formalism by Developing Socialist Democracy

(一)通过发扬社会主义民主克服官僚主义形式主义

In Lenin’s view, developing democracy was the fundamental political measure to overcome bureaucratism and formalism. To effectively struggle against bureaucratism and formalism, it was necessary to truly guarantee the people’s position as masters of the country and to ensure the effective implementation of the people’s democratic rights.

在列宁看来，发扬民主是克服官僚主义和形式主义的根本政治举措。要卓有成效地同官僚主义和形式主义作斗争，必须切实保证人民当家作主的地位，保障人民民主权利的有效实施。

First, it was necessary to maintain close ties with the masses and listen to the voices of the masses.

第一，要密切联系群众，倾听群众的声音。

Lenin was well aware of the extreme importance of winning the absolute trust of the masses. In his view, “without approaching the masses, nothing can be accomplished” (38). “The leaders must not be separated from the masses they lead, and the vanguard must not be separated from the entire army of labor.” (39) Only by maintaining close ties with the masses could the proletarian ruling party and state organs understand the demands of the people, represent the interests of the people, continuously wash away the filth of bureaucratism and formalism, and preserve the advanced nature and purity of the proletariat. For this reason, Lenin attached great importance to the work of receiving letters and visits from the masses, personally drafting the “Draft Regulations on the Management Work of Soviet Organs,” and formulating in detail concrete measures for doing a good job in the work of receiving petitions from the masses. He believed that doing a good job in petition work was not only an important channel for leading organs to understand the situation below, appreciate public opinion, and listen to the voices of the masses, but also provided convenient conditions for the broad masses to expose bureaucratism and formalism and struggle against them.

列宁深知赢得群众绝对信任的极端重要性。在他看来，“不接近群众，就会一事无成”(38)。“领导者不脱离所领导的群众，先锋队不脱离整个劳动大军。”(39)无产阶级执政党和国家机关只有密切联系群众，才能了解人民群众的诉求，才能代表人民群众的利益，才能不断清洗官僚主义和形式主义的污垢，保持无产阶级的先进性和纯洁性。为此，列宁很重视群众来信来访工作，亲自起草了《关于苏维埃机关管理工作的规定草案》,详细制定了搞好群众信访工作的具体措施。他认为，搞好信访工作既是领导机关了解下情、体察民意、倾听群众呼声的重要渠道，也为广大群众揭露官僚主义、形式主义并同其作斗争提供了便利条件。

Second, implement the electoral system to prevent the alienation of power.

第二，实行选举制，防止权力异化。

Lenin drew on the lessons of the Paris Commune, using the electoral system to prevent state organs from becoming masters of society, clarifying that the power of state public servants originated from the masses of the people, and that the masses of the people had the right to remove or recall incompetent state public servants through certain democratic procedures. In addition, public servants were only in the position of ordinary entrusted persons, and their “remuneration did not exceed the ordinary wage of skilled workers” (40). Lenin hoped thereby to prevent public servants from enjoying monetary privileges and to prevent Party members and state public servants from turning from people’s public servants into masters of society.

列宁吸取巴黎公社的经验教训，通过选举制防止国家机关变为社会主人，明确了国家公职人员的权力来源于人民群众，人民群众有权通过一定的民主程序撤换或者罢免不称职的国家公职人员。另外，公职人员只是处于普通的受委托者的地位，其“报酬不超过熟练工人的一般工资”(40)。列宁希望以此防止公职人员享受金钱特权，防止党员和国家公职人员从人民公仆变为社会主人。

Third, improve the supervision mechanism to guarantee the people’s right of supervision.

第三，健全监督机制，保障人民群众的监督权。

While developing socialist democracy, Lenin also emphasized continuously improving the supervision mechanism. He believed that enabling the broad masses of workers and peasants to participate in state management and supervision work was an effective measure to eliminate the bad habits of bureaucratism in Soviet organs. The Ninth All-Russian Conference of the Russian Communist Party (Bolsheviks) decided to establish a Central Control Commission parallel to the Central Committee. Lenin required all public servants to regularly make truthful work reports to the masses of the people, so that the broad masses of workers and peasants could supervise and criticize the work of the Party and state organs. The Soviet state power also established a specialized state supervision organ—the People’s Commissariat of Workers’ and Peasants’ Inspection—requiring central and local Soviet organs to supervise the implementation of various directives and to severely punish bureaucratism, formalism, and red tape. From 1921 to 1922, Lenin personally presided over the adoption of the “Resolution on the Control Commission” and the “Regulations on the Control Commission.” Later, while ill in bed, Lenin dictated “How We Should Reorganize the Workers’ and Peasants’ Inspection” to better improve the state supervision mechanism and ensure the effective exercise of the people’s right of supervision.

在发展社会主义民主的同时，列宁也强调不断完善监督机制。他认为，让广大工农群众参与国家管理和监督管理工作，是清除苏维埃机关中的官僚主义恶习的有效举措。俄共(布)第九次全国代表会议决定成立一个同中央委员会平行的中央监察委员会。列宁要求所有公职人员必须定期向人民群众作实事求是的工作报告，以便广大工农群众监督批评党和国家机关的工作。苏维埃国家政权还成立专门的国家监督机构——监察人民委员部，要求中央和地方苏维埃机关监督各项指示的执行情况，严厉惩处官僚主义、形式主义和拖拉作风。1921年至1922年，列宁亲自主持通过了《关于监察委员会的决议》和《监察委员会条例》。后来，列宁在病床上口授了《怎样改组工农检察院》,以更好地健全国家监督机制，确保人民群众监督权利的有效发挥。

(2) Severely Punishing Bureaucratism and Formalism by Improving the Socialist Legal System

(二)通过健全社会主义法制严惩官僚主义形式主义

Improving the socialist legal system was an important guarantee for developing socialist democracy and an important means of overcoming bureaucratism, formalism, and red tape within Soviet state organs. First, importance was attached to the construction of the socialist legal system. On the night of the victory of the October Revolution in 1917, Lenin hastily drafted the “Decree on Land.” Under his impetus, a batch of new socialist laws was promulgated, including the “Constitution (Fundamental Law) of the Russian Soviet Federative Socialist Republic” (1918) and the “Land Code of the Soviet Union” (1922), and judicial work also became more standardized. He also required that the staff of state organs must abide by laws and discipline. In 1918, the Sixth Extraordinary All-Russian Congress of Soviets adopted a resolution on revolutionary legality, requiring all citizens of the republic, all organs, and all public servants of Soviet power to strictly abide by the laws of the Russian Soviet Federative Socialist Republic and the decisions, regulations, and orders already promulgated or being promulgated by the central authorities. For this purpose, Lenin also specially compiled a popular propaganda brochure and attached a short letter urging strict implementation.

健全社会主义法制是发扬社会主义民主的重要保障，也是克服苏维埃政权机关内官僚主义、形式主义的重要手段。首先，重视社会主义法律体系的构建。1917年十月革命胜利当晚，列宁连夜起草了《土地法令》。在他的推动下，《俄罗斯苏维埃联邦社会主义共和国宪法(根本法)》(1918年)、《苏联土地法典》(1922年)等一批新的社会主义法律出台，司法工作也变得更加规范。他还要求国家机关的工作人员必须遵纪守法。1918年，全俄苏维埃第六次非常代表大会通过了一项关于革命法制的决议，要求共和国全体公民、所有机关和苏维埃政权的全体公职人员，都必须严格遵守俄罗斯苏维埃联邦社会主义共和国的法律、中央政权已颁布的和正在颁布的决定、条例和命令。列宁为此还专门编写了通俗的宣传手册并附上短信督促严格执行。

Second, he used legal weapons to punish bureaucrats and formalists guilty of serious offenses, subjecting them to judicial accountability. Lenin stressed that the trial of typical cases of dereliction of duty such as bureaucratism and foot-dragging should heighten officials’ sense of responsibility, serve as a deterrent, and at the same time draw the attention of workers and peasants to such problems. In 1919, when staff of the Kursk Central Procurement Bureau office delayed the delivery of grain to starving Muscovites, Lenin immediately sent a telegram demanding severe investigation and punishment of those who treated their work in a formalistic and bureaucratic manner. In May of the same year, peasants wrote letters of complaint against local authorities for illegally requisitioning their horses. These letters were eventually passed to a special committee that managed such affairs, but one staff member of that committee replied in writing: “Too busy with work to attend to trivial matters.” (41) Lenin was deeply indignant at this bureaucratism and formalism of negligence, evasion, and delay, and personally wrote to the People’s Commissariat of State Control, requesting that “the bureaucrat who gave such a reply be arrested.” (42)

其次，使用法律武器惩治情节严重的官僚主义者、形式主义者，对其进行司法追究。列宁强调，要通过对官僚主义、拖拉作风等失职行为的典型案件的审理来提高官员的责任心，起到震慑作用，同时引起工农群众对此类问题的关注。1919年，库尔斯克中央采购局办事处人员延误了给饥饿中的莫斯科人送粮食，列宁当即发去电报，要求严厉查办这种以形式主义和官僚主义的态度对待工作的人。同年5月，有农民写信控告地方当局非法征用他们的马匹。这些信辗转交给了管理这类事务的一个专门委员会，而该委员会的一个工作人员却复文说：“工作太忙，无暇顾及琐碎事务。”(41)列宁对这种玩忽职守、推诿拖拉的官僚主义、形式主义行径十分愤慨，亲自写信给国家监察部，请求“把这样答复的官僚抓起来”(42)。

(3) Combating bureaucratism and formalism by improving state organs of political power

(三)通过改善国家政权机关治理官僚主义形式主义

Even under socialist conditions, many Soviet organs still suffered from bloated structures and overstaffing, and Lenin exposed this state of affairs with precise data. In 1922, he compared the findings of surveys of Moscow organs conducted in 1918 and 1922: in 1918, the staff of state and Soviet organs in Moscow totaled 231,000 people; after the streamlining of bloated institutions, by 1922 the number had actually increased to 243,000. (43) He pointed out that inflated institutions not only failed to work for the Soviets and the people but actually hindered the development of the Party and the state. As for how to improve organs of political power, Lenin put forward and adopted the following propositions and measures.

即使在社会主义条件下，仍然有不少苏维埃机关存在机构臃肿、人浮于事的情况，列宁用精确的数据揭露了这一现状。1922年，他对比了1918年与1922年对莫斯科机关的调查数据，结果显示：1918年，莫斯科的国家和苏维埃机关工作人员共23.1万人，精简臃肿的机构以后，到1922年，竟然增加到了24.3万人。(43)他指出，膨胀的机构不仅不能为苏维埃、为人民工作，反而会阻碍党和国家事业的发展。对于如何改善政权机关，列宁提出并采取了如下主张和举措。

The first was to streamline state institutions. Whether the setup of state institutions is scientific and rational directly bears on whether they can operate flexibly and efficiently. Lenin held that oversized institutions easily led staff to shift responsibility onto one another and to be irresponsible, and therefore he took streamlining institutions as the fundamental measure for overcoming bureaucratism and formalism. “There may be only a few dozen people who are brave and willing to work hard, while there are several hundred who idle on the job or half-idle, buried in piles of documents…” (44) Bureaucratism and formalism continuously breed in such government institutions. To this end, Lenin earnestly studied the Soviet institutions and unremittingly pressed forward with institutional streamlining, demanding that “the number of various committees be reduced to the minimum,” and that “surplus officials be driven out without mercy, staffing be cut, and Party members who do not seriously study management be removed.” (45) Lenin himself led by example and took the lead: the general affairs office under his charge, including telephone operators, typists, clerks, messengers, and cleaners, had only 43 people in all, and his secretariat was also relatively compact in composition.

一是精简国家机构。国家机构的设置是否科学合理，直接关系到其能否灵活高效运转。列宁认为，机构庞大容易造成工作人员互相推诿、不负责任，因而将精简机构作为克服官僚主义和形式主义的根本举措。“英勇肯干的人可能只有几十个，而待着怠工或半怠工，钻在公文堆里的人却有几百个……”(44)官僚主义和形式主义在这样的政府机构中不断滋生。为此，列宁认真研究苏维埃的机构并坚持不懈地推进机构精简，要求“把各种委员会的数量精简到最低限度”,要“毫不留情地赶走多余的官员，压缩编制，撤换不认真学习管理工作的共产党员”。(45)列宁本人身体力行、率先垂范，他所领导的总务处涵盖电话员、打字员、收发员、通讯员、清洁员在内，总共才43人，他的秘书处组成也相对精干。

The second was to establish a system of work responsibility. Alongside streamlining institutions, it was also necessary to establish a system of work responsibility, clearly delimit the scope of authority, and explicitly implement a system of individual responsibility and collective leadership. Lenin required leading cadres of all departments to be familiar with the state of work and independently provide the necessary materials on questions they submitted for discussion. On Lenin’s proposal, the Council of People’s Commissars limited the number of people each department could send to report on a given item on the agenda. It required all organs to be absolutely responsible for their work, to solve problems independently or jointly with the relevant departments, and not to pass problems upward. Lenin explicitly stipulated that the system of individual responsibility did not mean excluding the system of collective leadership. Collective leadership was mainly reflected in decision-making, while concrete practical work must be the responsibility of individuals. The system of individual responsibility meant that “every person must clearly understand his own task and be truly responsible for it, even to the point of staking his head on it.” (46) The establishment of the system of work responsibility effectively prevented such phenomena of bureaucratism and formalism as foot-dragging and shifting responsibility.

二是确立工作责任制。在精简机构的同时，还要确立工作责任制，明确划分职权范围，明确实行个人负责制和集体领导制。列宁要求各部门领导必须熟悉工作情况，独立提供自己交付讨论问题的必要材料。人民委员会根据列宁的提议，限制每一主管部门就议程中的某一问题作汇报的人数。要求各个机关对工作要绝对负责，遇到问题要独立或协同有关部门解决，不得将问题上交。列宁明确规定，个人负责制并不意味着排除集体领导制。集体领导主要体现在决策方面，具体实际工作则必须由个人负责。个人负责制使“每一个人都要明确自己的任务，切实负责，直到用脑袋担保”(46)。工作责任制的确立有效避免了办事拖拉、推卸责任等官僚主义和形式主义现象。

The third was to streamline meetings. In response to Party members and public functionaries being in a state of “endless meetings, forming committees, and drawing up plans,” (47) Lenin adopted many measures to streamline meetings and raise efficiency: first, he stipulated that Soviet government organs should hold as few meetings as possible, and made regulations on the frequency and duration of meetings of the Council of People’s Commissars and the Council of Labor and Defense. Second, he treasured meeting time. He himself was never late for meetings, and the meetings he chaired always began on time, with latecomers recorded in the minutes; those who were late again without proper justification would be criticized or given a demerit. Third, he drafted meeting rules stipulating the specific time limits for reporters, speakers, and the voting process at meetings of the Council of People’s Commissars.

三是精简会议。针对党员和公职人员处于“没完没了地开会、成立委员会、制定计划的状态”(47),列宁采取了很多精简会议、提高效率的措施：一是规定苏维埃政府机关尽量少开会，并对人民委员会和劳动国防委员会的会议频率和时长作了规定。二是珍惜开会时间。他本人开会从未迟到过，主持的会议也总是按时开始，并将迟到的人员载入记录，没有正当理由再犯者，会受到批评或记过处分。三是起草会议章程，规定人民委员会会议中报告人、发言人、表决过程的具体时长。

(4) Preventing bureaucratism and formalism by purifying the ranks of Party members and cadres

(四)通过纯洁党员干部队伍防范官僚主义形式主义

Purifying the ranks of Party members and cadres is the key to preventing bureaucratism and formalism. Lenin had relatively deep thinking and exploration on purifying the ranks of Party members and cadres. First, he stressed improving the quality of Party members. The starting point was to strictly control the gate of Party admission. Lenin had a famous saying: “A Party member who is a Party member only in name—we would not take even if given for free.” (48) The Soviet state power adopted the method of mobilizing people to go to the front and to participate in voluntary labor, so as to screen out those who wanted only to gain advantages and were unwilling to shoulder heavy responsibilities. Later, a probationary period for Party admission was established, and stricter conditions for admission were set. Next, a Party purge was carried out. The Soviet state power more than once re-registered Party members and carried out strict Party purges, promptly removing “those who had sneaked into the Party,” “those who put on the airs of committee members,” and “bureaucratized” disloyal and wavering elements. In the Party purge of 1921 alone, 170,000 Party members were expelled, accounting for about one-quarter of the total Party membership at the time. “This decrease in the number of Party members means a great increase in the strength and role of the Party.” (49) The Party purge effectively prevented and combated bureaucratism and formalism and raised the fighting capacity of Party organizations.

纯洁党员干部队伍是防范官僚主义、形式主义的关键。列宁对于纯洁党员干部队伍有着较为深入的思考和探索。第一，注重提高党员的质量。首先是严把入党关。列宁有句名言：“徒有其名的党员，就是白给，我们也不要。”(48)苏维埃国家政权采取动员人们上前线以及参加义务劳动的办法，筛掉一心想捞好处而不愿意承担重任的人。后面又设置入党预备期，制定更为严格的入党条件。其次是实行清党活动。苏维埃国家政权曾不止一次重新登记党员，开展严格的清党活动，及时清除“混进党的”“摆委员架子的”“官僚化的”不忠诚分子和不坚定分子。仅在1921年的清党活动中就开除了17万名党员，占当时党员总数的1/4左右。“党员数量上的这种减少意味着党的力量和作用的大大增加。”(49)清党活动有效防治了官僚主义和形式主义，提高了党组织的战斗力。

Second, he strengthened the building of the ranks of state organs and Party cadres. Lenin repeatedly stressed that no matter how good a resolution or decree was, if there were no capable cadres to carry it out, it was nothing but a scrap of paper. To effectively prevent and combat bureaucratism and formalism, it was necessary to be good at selecting people to inspect work. The measures Lenin put forward included: first, requiring cadres to study science and technology and master professional knowledge. He held that only with scientific literacy could one meet the requirements of managing the economy and politics under the new conditions. Lenin always encouraged those who seriously studied professional knowledge and severely criticized those arrogant and self-important Party members and cadres who did not study seriously. Second, he took the cadre assessment system as an important measure for improving the quality of the cadre ranks. On the one hand, cadres with both moral integrity and professional competence were promoted to important posts through examinations. On the other hand, leading cadres were required to go deep into various organs and provinces to truly understand the work conditions of cadres at the upper, middle, and lower levels, so as to facilitate the inspection and selection of talent. Third, he implemented a reward system. At the important juncture of the transition from war communism to the New Economic Policy, Lenin proposed using a reward system to prevent and combat bureaucratism and formalism, demanding that “as many people as possible who work quickly, raise output, and expand the volume of domestic and foreign trade be rewarded.” (50)

第二，加强国家机关和党的干部队伍建设。列宁再三强调，再好的决议和法令如果没有得力的干部予以贯彻执行，也不过是一纸空文。为了有效防治官僚主义和形式主义，必须善于物色人才去检查工作。列宁提出的相关举措包括：一是要求干部学习科学技术，掌握专业知识。他认为，只有具备科学素养，才能适应新形势下管理经济政治的要求。列宁总是鼓励认真学习专业知识的人，严肃批评那些不认真学习的妄自尊大的党员干部。二是把干部考核制度作为提升干部队伍质量的重要举措。一方面，通过考试把德才兼备的干部提到重要岗位上。另一方面，要求领导干部深入各机关各省份，切实了解上、中、下各级干部的工作状况，便于考察和选拔人才。三是实行奖励制度。在从战时共产主义转向实行新经济政策的重要关头，列宁提出用奖励制度来防治官僚主义和形式主义，要求让“尽可能多的办事迅速、提高了产量和扩大了国内外贸易额的人受到奖励”(50)。

Conclusion

结 语

In leading the construction of the socialist state, Lenin left behind a rich store of valuable experience in unremitting struggle against bureaucratism and formalism, providing important inspiration and reference for the Chinese Communist Party to scientifically understand the manifestations and essence of bureaucratism and formalism in the New Era and to effectively prevent and combat their breeding and harm. To effectively overcome bureaucratism and formalism, our Party, on the basis of fully inheriting and absorbing Lenin’s thought and practice of opposing bureaucratism and formalism, has carried out fruitful exploration and accumulated very rich experience. Especially since entering the New Era, our Party’s exploration of preventing and combating formalism and bureaucratism has also kept pace with the times, upholding and innovatively developing Lenin’s relevant exploration.

在领导社会主义国家建设过程中，列宁留下了丰富的同官僚主义、形式主义不懈斗争的宝贵经验，为中国共产党科学认识新时代官僚主义和形式主义的表现及本质，有效防治官僚主义、形式主义的滋生及其危害，提供了重要的启发和借鉴。为有效克服官僚主义和形式主义，我们党在充分继承吸收列宁反对官僚主义、形式主义的思想及实践的基础上，进行了卓有成效的探索，积累了非常丰富的经验。尤其是进入新时代以来，我们党防治形式主义和官僚主义的探索也与时俱进，坚持并创新发展了列宁的相关探索。

Formalism and bureaucracy are stubborn and recurrent; only through sustained, constant, and meticulous effort, and only through continuous exertion and long-term commitment, can the tough and protracted battle against formalism and bureaucracy be won. It is necessary to deeply draw on the lessons and experiences of combating bureaucracy and formalism, further study the soil in which formalism and bureaucracy breed in the New Era, and explore pathways for addressing new and hidden forms of formalism and bureaucracy, thereby providing a strong institutional guarantee for strengthening the Party’s leadership in further deepening reform comprehensively and advancing Chinese-path modernization.

形式主义和官僚主义具有顽固性、反复性，只有长抓、常抓、细抓，只有持续发力、久久为功，才能打赢反对形式主义和官僚主义的攻坚战持久战。要深刻借鉴防治官僚主义形式主义的经验教训，进一步研究新时代形式主义和官僚主义滋生的土壤，探讨防治新型和隐性形式主义、官僚主义的路径选择，从而为加强党对进一步全面深化改革、推进中国式现代化的领导提供有力制度保障。

(Author bios: Lü Weizhou, Professor at the University of Chinese Academy of Social Sciences and Editor-in-Chief of China Social Sciences Press; Liao Bin, Doctoral student at the School of Marxism, University of Chinese Academy of Social Sciences)

（作者简介：吕薇洲，中国社会科学院大学教授、中国社会科学出版社总编辑; 廖彬，中国社会科学院大学马克思主义学院博士研究生）

Online editor: Zhang Jian

网络编辑：张剑