本研究涉及之課題是處理1949至1960年間國民黨黨國體制之建構，國民黨臺灣黨務之發展，國民黨與地方派系的互動，國民黨與在野精英的互動等四個面向。 第一章以一九四○年代後期之臺灣政局為主，實為本研究之前置背景，論及臺灣精英從日本殖民統治時期起，至中華民國政府接收後的政治參與活動，以及國民黨在臺灣地區初期的黨務發展。 第二章處理中國國民黨改造與黨國體制建構。首先處理的是中華民國政府遷台前後的政情，將從臺灣外部與內部的政治情勢，討論美國對台政策的轉變，與政府在臺灣實行地方自治政策之決策過程。後以改造中國國民黨為主題，針對遷台的中國國民黨發展進行背景敘述，指出改造是在黨領袖意志下進行，與在改造後黨權成功歸於黨領袖所有，不再旁落；再探討中國國民黨的地方基礎在1950年代之重組，分從黨基層結構的設計、臺灣省黨部的人事遞遷、省縣市黨部的組織編制、地方黨部的經費預算四層面進行探討；再則探討中國國民黨所實施的社會調查，發現國民黨透過社會調查來瞭解臺灣社會，提高國民黨員的政治意識，並進行政策回饋功能。它對黨國體制的建構確實具有正面助益。 第三章處理的是黨國體制下的臺灣地方政治。首先討論的是1950年代地方自治法制變遷，及地方黨政制度的運作。其次處理中國國民黨動員機制的建構。首先注意的是中國國民黨的黨員結構。儘管本省人黨員在區域黨部中佔多數，總體結構與黨幹部仍以外省人為多。國民黨開始紮根臺灣，便需要各種機構以深入地方社會。國民黨便透過既有團體—農會，並組設新的動員組織—民眾服務站對地方社會進行滲透與動員。第三，地方精英既然透過選舉進入體制，其中特別是所謂「半山」與「阿海」兩種不同經歷的臺灣人所進行的政治角力，臺灣地方派系與選舉的關聯等都是探討主題。而後從中國國民黨所建立的黨內提名制度及其運作，與中國國民黨所主控的輔選機制的形成及運作過程，可檢證並修正既往針對國民黨與地方派系的互動之相關解釋論點。 第四章處理的是朝野互動下的地方政治。先分兩方面觀察在野精英的參政問題：青年黨與民社黨的黨務發展，及無黨籍人士。其次在野人士對於公平競爭的訴求，顯示於反對「一人競選現象」，選舉監察問題兩大主題。在野人士由於無法獲取國民黨進一步回應，決定以組黨從事政治競爭。對在野精英而言，組黨是化解社會分歧、從事政治公平競爭的解決方式；國民黨對組黨運動如何動用國家情治機構、媒體與黨機器解決1950年以來的首次內部危機，也在討論之列。 / This study explores four topics: construction of KMT party-state system, developments of KMT in Taiwan, interactions between KMT and local factions, interactions between KMT and opposition elites from 1949 to 1960. It deals with Taiwan politics during the later phase of 1940s in Chapter 1, including Taiwanese elites’ political participations from Japanese colonial rule to ROC takeover, and premiere stage of KMT developments in Taiwan. It explores reconstruction of KMT and building of party-state system in Chapter 2. Changes of US policy to Taiwan, and decision-making process of Taiwan Province autonomy are main courses in political situations after ROC regime’s retreat in 1949. About KMT reconstruction process, this study first deals with reconstruction under tsung-tsai (supreme leader of KMT), and party decision power only belongs to tsung-tsai. Then it explores designs of party base formation, cadres change of Taiwan Province Party Bureau, organizations and fiscal budgets of party bureaus, and how they exercise to reorganize KMT’s local support during 1950s. Then it focuses on “social investigations” which are implemented by KMT. KMT use them to understand Taiwanese society, raise political consciousness of party members, and policies feedback. At last, “Social investigations” are also positive to building of party-state system. It explores Taiwan’s local politics in party-state system in Chapter 3. First, not only changes of autonomy law system, workings of local party and administration system need to be dealt with. Second, when we focus on KMT mobilization system construction, we should notice some facts that Taiwanese party members becomes main sector in local party organizations, mainlanders are still in majority on party cadres and whole party. They can be stated that KMT begins to taking roots in Taiwan. KMT needs more apparatus to mobilize and penetrate Taiwanese society. Using established Farmer Association, organizing brand new system -- “Public Service Stations” meet such needs. Third, because local elections became ladder participating regime for Taiwanese elites, we should notice that political struggles between “ban-shan” and “a-hai”, and connections between local factions and elections. Not only the building of KMT nomination system, but also campaign task system which was controlled by KMT and how they work need to be explored. During such processes, established frameworks about interactions between KMT and local factions can be reconsidered and exemplified. It explores local politics between KMT and its opposition powers in Chapter 4. First, Political participations of opposition elites can be surveyed in developments of CYP and DSP, and independents. Second, Opposition elites call for fair campaigns by against “non-competitive election”, and supervising campaigns. No further response from KMT, which makes opposition elites calling for organizing opposition party. To them, organizing opposition party is best way to ease social divergence, and to solve KMT’s manipulations in local elections. This study also focuses on how KMT uses intelligence apparatus of state, media and party apparatus to solve its first inner crisis since 1950.

This dissertation examines the process of limited political liberalisation in China by analysing the coexistence between critical journalists and the party-state under the Hu-Wen leadership. In contrast to the scholarship on authoritarianism and Chinese politics, which tends to analyse the perspectives of societal actors and the state separately from one another, this study brings the two together, unveiling the intricacies of their interactions. In the past decade, critical journalists and the party-state maintained a partnership which can be best described by a jazz ensemble metaphor. The players—critical journalists and the party-state—share a common purpose: improving their performance or governance within the existing political system. They overcome the limitations on their collaboration with ad hoc creative adjustments made in response to one another. The party-state acts as a band leader, setting the key by establishing a framework within which creative manoeuvring can take place. The study is based on unique access to politically sensitive material, including 120 in-depth interviews with critical journalists, media and crisis management experts, and government officials. It also includes multilayered textual analysis of the Chinese Communist Party journal, Qiushi, and investigative reports in two outspoken media outlets, Caijing and Nanfang Zhoumo. The data is employed to analyse the boundaries for limited political liberalisation of the media as well as how it manifests itself during major crisis events. More broadly, the dissertation draws the attention of both China and authoritarianism scholars to the significant yet neglected feature of interactive improvisation as a force that can sustain coexistence between critical actors and authoritarian states. It shows that by engaging in actor-driven analysis and illuminating the process of their interactions, we can better grasp the dynamics of authoritarianism in China and beyond. A step is made towards applying the analytical framework distilled in the China case on other authoritarian regimes by including a limited comparison to media–state relations under Gorbachev and under Putin. It shows that the variables of collaboration and improvisation are useful in explaining the different outcomes of political liberalisation reform.

Quelles sont les pratiques de la responsabilité politique et comment permettent-elles de comprendre la nature et les modalités de négociation du pouvoir de l’État au Mozambique ? Ce questionnement s’insère dans les débats des trente dernières années sur les phénomènes d’institutionnalisation démocratique au cours de la troisième vague de démocratisation. Dans ce débat, la responsabilité politique est vue comme l’instrument capable et nécessaire pour changer les régimes autoritaires, c’est-à-dire capable d’en finir avec les « résidus » autoritaires dans les nouvelles démocraties. À partir du dialogue avec la littérature, cette recherche appréhende la mise en place de la responsabilité politique comme un processus qui met en relief la dynamique transformative, comme espace de rencontres et de négociations entre plusieurs arènes et autorités qui composent la maille des régimes politiques. L’idée démocratique au Mozambique a permis et permet de mettre en articulation diverses expériences qui ont été capables de reformuler ou d’accélérer le processus d’institutionnalisation démocratique. Ces expériences doivent être analysées dans leur historicité mais incorporent des éléments de la modernité motivés par la compétition politique entre le pouvoir du Frelimo, la Renamo et aujourd’hui le MDM. La contribution de cette thèse est de penser l’institutionnalisation démocratique comme un processus transformatif et la responsabilité politique comme intrinsèquement soudée aux rapports de pouvoir dominants. Il s’agit de partir des expériences des acteurs dans le processus d’institutionnalisation démocratique au travers des rapports qu’ils établissent entre eux. En d’autres termes, il s’agit de ne pas en rester à une analyse macro-politique, mais de conjuguer tous les niveaux de pouvoir, en les regardant principalement à partir du bas. Cette recherche est fondée sur un travail de terrain dans deux districts, celui de Chibuto (sud) où le Frelimo est largement soutenu et celui de Gondola (centre) dans lequel la Renamo a l’ascendant politique. / What are the concrete practices of political accountability and how do they make it possible to understand the nature and methods of negotiations of power within the State in Mozambique? This study makes a contribution to the debates over the last thirty years over the phenomena of democratic institutionalization during the third wave of democratization. Within this framework, political accountability is seen as the necessary instrument capable of provoking change in authoritarian regimes, by removing the authoritarian “residue” from the newly established democracies. Through a careful reading of the literature, this research has highlighted that the founding of political accountability is a process that reveals transformative dynamics as a place of confluences and negotiations between various political arenas and authorities that make up the structure of political regimes. The idea of democracy in Mozambique has facilitated the linking of various experiences, which have aided in reformulating or accelerating the process of democratic institutionalization. These experiences should be analyzed in their historicity, while also incorporating modern elements motivated by political competition by the balance of power between Frelimo, and Renamo and Democratic Movement of Mozambique (MDM). The contribution of this study is to think of democratic institutionalization as a transformative process and political accountability as being intrinsically sown into the links between the dominant powers, based on the experiences of the actors involved in the process of democratic institutionalization and the connections they establish amongst themselves. In other words, this project is not merely macro-political, but rather combines all the levels of power, most notably from the bottom. This research is founded on fieldwork done in two districts: Chibuto (South) where Frelimo is largely favored and Gondola (Center) where Renamo has gained political support.

Inspired by critiques of controlled elections under “single-party rule,” this dissertation explores the performance, implications and potentials of China’s village elections. It first reviews the most important studies on the progress of China’s grassroots democracy and then analyzes the social-political background of village self-management which to date has been neglected in the academic literature. Based on empirical studies conducted in Sichuan, this dissertation investigates the roles and attitudes of various participatory groups in village elections and in the course of electoral reforms. It also discusses the failure of the existing law to set out fundamental rules for village elections and to effectively guide people’s behavior. Further, this dissertation offers detailed recommendations to improve the existing law in order to guarantee the accessibility, authenticity and competitiveness of village elections. / Graduate / 0398 / 0616 / aloeke@gmail.com

本論文採取歷史文獻分析與理解社會學(verstehende Soziologie)的研究途徑，從「以中國說中國」的方法入手，重視歷史事實作為論證基礎的功能與意義。 對中共「民主集中制」的研究在廣度與深度上都超乎中國大陸內部與外部學者在這方面的論述，系統化地借助中共黨史反映了民主集中制一般不為人所注意的關鍵面向。對民主集中制之作用的分析引導筆者發現，中國大陸總體面出現一個「黨、國家、社會」的三角形，這是在現階段與可預見之未來的人類文明中一個非常態的國家總體結構。筆者進而對照西方權力制衡的理論，反映出在民主集中制下是不可能發展出真正的權力制約與監督的機制的，民主集中制的內涵處處體現「一元化整體性控制意識」，民主與民主集中制之間無論就理論或現實運作都存在不可調和的矛盾。 改革開放以來的中共文化戰略奠基者為鄧小平，他的基本方法是將重心放在寄望以經濟建設的成果支持行為層面的紀律，進而鞏固精神思想層面的意識形態。順此，他主張「不搞爭論」與「堅持四項基本原則」，希望大力發展生產力，強調的是「工具理性」。這些其實都是受民主集中制之「一元化整體性控制意識」的影響。 筆者採用各種型態的資料與具體數據說明「『民主集中制』對文化戰略的影響」與「『民主集中制』對改革開放以來文化戰略與戰略造成的困難與挑戰」，呈現出中共文化戰略的不合理與不合時的性質。從文化戰略的視角可以看到許多中國大陸現今不易從單純的政治、經濟、社會的角度所能觀察到的問題。本論文針對此方面的解決方案與方向提出了一些線索與頭緒。 最後，解釋在第一章提出之胡錦濤表現的反差現象。其次，論證中國大陸的政治體制改革應為不可迴避的必要之務，民主改革未必對中共不利，可能更有利。同時回答第一章中共如何統治的問題。 / Adopting the approaches of historical document analyses and understanding sociology, this dissertation brings the method of explaining China in terms of China into bear and places importance on the function and meaning of historical facts as the departing basis of its discussions. Based on the Chinese Communist Party’s (the CCP hereafter) history, the dissertation systematically presents some key points of the CCP’s democratic centralism, to which attention was not paid. It shows wider and deeper understanding of the CCP’s democratic centralism. The understanding leads the author to notice the “party, state and society” triangle, which reflects the uniqueness of the structure of China as a country in the contemporary world. The CCP’s democratic centralism reflects “consciousness of unitary holistic control” and is in fact incompatible with democracy by its normal definition in respect of theory and practice. The foundation of the CCP’s cultural development since the reform and opening was laid by Deng Xiaoping, whose methodology laid stress on economic development. Deng hoped to accomplish some economic achievements to secure behavioral discipline among people and finally consolidate the party’s ideologies and theories. He therefore advocated “no disputes” and “insistence on four fundamental principles” and did his best to promote development of productivity, namely instrumental rationality. All he did embodied “consciousness of unitary holistic control,” so has the CCP’s cultural strategies done the same. Basing on different types of materials and data, the author analyzed the influences of the CCP’s democratic centralism on its cultural strategies and presented the difficulties and challenges to the strategies caused by the democratic centralism since the reform and opening. In the final chapter, the author explained Hu Jintao’s surprising reaction and answered the question how the CCP has been ruling the country. Both were mentioned in Chapter one.

Les syndicats d’entreprise chinois souffrent d’un manque apparent de pertinence pour les salariés. Dans l’intervalle, les gouvernements et les fédérations de syndicats locaux mènent de plus en plus de réformes syndicales d’entreprise en vue de promouvoir la négociation collective et la démocratie syndicale. Ces deux tendances se produisant simultanément, c’est ainsi que les questions de recherche suivantes viennent à l’esprit: (1) D’une manière générale, la négociation collective et la démocratie syndicale améliorent-elles la pertinence des syndicats pour les salariés? (2) Dans le cas chinois, les réformes de la négociation collective et de la démocratie syndicale menées par les gouvernements et les fédérations de syndicats locaux améliorent-elles la pertinence des syndicats d’entreprise pour les salaries? Afin d’explorer et d’expliquer les variations de l’identification syndicale des employés et de l’identification des employés avec l’employeur, cette thèse développe un nouveau cadre théorique composé de quatre lignes d’analyse. Cette thèse examine d’abord les récits instrumentaux et constructivistes de l’identification syndicale des salariés. La possibilité d’une double identification, d’une identification unilatérale, ou d’une double désidentification ouvre une troisième ligne d’analyse, qui se concentre sur la relation entre l’identification des salariés – la configuration combinant l’identification syndicale des salariés et l’identification des salariés à l’employeur – et le cadre de référence pour les relations de travail. Enfin, en prenant en considération la spécificité du système chinois de relations de travail, cette thèse considère l’intervention du Parti-État en vue d’explorer comment une telle intervention affecte la démocratie syndicale et s’il existe ou non d’autres facteurs en jeu dans la relation entre la démocratie syndicale et l’intervention du Parti-Etat. Afin d’explorer ces quatre lignes d’analyse, cette thèse s’est appuyée sur des études de cas comparatives de six filiales d’entreprises multinationales étrangères dans, ce que nous appelons à des fins d’anonymat, la zone de développement économique et technologique de Binhai. Deux iv séries d’enquête sur le terrain comprenaient des entretiens dans chaque entreprise de l’échantillon avec le responsable syndical, trois à cinq membres du comité syndical, quatre ou cinq délégués syndicaux (le cas échéant), et cinq à sept membres syndicaux. Les principaux résultats empiriques sont résumés comme suit. Premièrement, trois types d’identité des syndicats d’entreprise chinois – le pont critique, le pont constructif, et le pont communicatif – à titre de pont entre les salariés et leur employeur et qui est assumé par un syndicat d’entreprise. Il existe par ailleurs une correspondance entre l’identité syndicale et l’identification des salariés. Deuxièmement, l’identification du syndicat des salariés est associée au caractère instrumental de syndicat et à la démocratie syndicale. La démocratie syndicale affecte non seulement directement l’identification du syndicat des salariés, mais affecte également le caractère instrumental de syndicat et, à son tour, a un impact indirect sur l’identification du syndicat des salariés. Les synergies entre le cadre de référence des relations de travail, la capacité stratégique syndicale, et la vitalité délibérative conduisent à la construction de l’identité syndicale. Troisièmement, le cadre de référence va du pluralisme adversarial à l’unitarisme autocratique, puis à l’unitarisme consultatif, et enfin, à l’unitarisme coordonné. En affectant l’instrumentalité syndicale, le cadre de référence affecte indirectement l’identification syndicale des salariés. Le cadre de référence affecte également l’amélioration des intérêts des salariés par un employeur et à son tour, a un impact indirect sur l’identification des salariés à l’employeur. Enfin, l’intervention du Parti-Etat affecte la démocratie syndicale mais comme modérée par la capacité stratégique. / Chinese enterprise unions suffer the apparent absence of relevance for employees. In the meantime, local governments and federations of trade unions are increasingly conducting enterprise union reforms with a view to promoting collective bargaining and union democracy. With these two trends occurring simultaneously, the following research questions come to mind: (1) Do collective bargaining and union democracy improve the relevance of trade unions for employees? (2) Do the reforms of collective bargaining and union democracy conducted by local governments and federations of trade unions in China improve the relevance of enterprise unions for employees? In order to explore and explain the variations in employee union identification and employee identification with the employer, this thesis develops a novel theoretical framework consisting of four lines of analysis. This thesis first examines the instrumental and constructivist accounts of employee union identification. The possibility of dual identification, unilateral identification, or dual disidentification opens up a third line of analysis, which focuses on the relationship between employee identification – the configuration combining employee union identification and employee identification with the employer – and the frame of reference for labour relations. Finally, in taking the specificity of the Chinese labour relations system into consideration, this thesis considers the intervention of the Party-State with a view to exploring how such intervention affects union democracy and whether or not there are other factors at play in the relationship between union democracy and the intervention of the Party-State. In order to pursue these four lines of analysis, this thesis drew on the comparative case studies of six subsidiaries of foreign multinational enterprises in, what we label for the purpose of anonymity, the Binhai Economic-Technological Development Area. Two rounds of fieldwork involved interviews in each sample enterprise with the union officer, three to five union committee members, four or five union stewards (when applicable), and five to seven union vi members. The major empirical findings are summarized as follows. First, three types of identity of the Chinese enterprise unions discussed – critical bridging, constructive bridging, and communicative bridging – emerge in terms of the role of the bridge between employees and their employer, which is played by an enterprise union. There is a link between trade union identity and employee identification. Second, employee union identification is associated with union instrumentality and union democracy. Union democracy not only directly affects employee union identification but also affects union instrumentality and in turn, has an indirect impact on employee union identification. Synergies between the frame of reference for labour relations, union strategic capacity, and deliberative vitality lead to union identity construction. Third, the frame of reference ranges from adversarial pluralism to autocratic unitarism, then to consultative unitarism, and finally, to coordinated unitarism. By affecting union instrumentality, the frame of reference indirectly affects employee union identification. The frame of reference also affects the improvement of employee interests by an employer and in turn, has an indirect impact on employee identification with the employer. Finally, the intervention of the Party-State affects union democracy but as moderated by strategic capacity.