【作者】 朱凤义；

【导师】 张文显；

【作者基本信息】 吉林大学 ， 法学理论， 2012， 博士

【摘要】 法律实现不仅是转型时期中国法学研究的重要理论问题，同时也是社会主义法治建设和社会秩序建构的重要实践问题。法律凭借其所负载的正义、公平、秩序等价值和功能，成为转型中国消解不确定性和构建社会秩序的最佳选择。然而，随着社会转型走向深入，法律难以实现的问题却越来越明显，极大地限制了法律功能的发挥。转型中国法律实现的困境既有法律实现问题的共性，又有其自身的个性。并且，个性是转型中国法律实现的问题的主导因素。与一般国家的法律实现问题不同，中国的法律实现问题更具有普遍性、深刻性的特征。这种普遍性不仅表现在法律实现的诸多环节均存在着法律难以实现的问题，还表现在具体的法律部门中同样存在着法律难以实现的问题。这种深刻性表现在导致转型时期中国法律难以实现的原因多种多样，不仅有法律制度自身的原因，也有法律实现的社会环境的原因，法律参与者的原因，更有深层次的体制原因。因此，研究转型中国的法律实现问题就必须采用整体性的研究策略。也就是说，对法律实现问题的探索，不能仅仅从某一层面、某一环节、某一部门等单一因素的视角进行分析，必须摒弃分段研究策略，而是从整体上揭示和解决这一问题。这一整体性的法律实现问题是与社会秩序建构的合法性问题相关联的，具体表现为法律制度建构与实施的合法性问题。因此，关于法律如何有效实现的考量就不能仅仅从既有的国家视野来探索，而是应该将国家和社会都视为法律实现的有效力量。从这个意义而言，转型时期中国法律实现困境的根源——国家主义法律实现理念及其模式——内生于经由国家所主导的社会转型，同时随着社会转型的深入，消解这一困境的契机和途径也由此而生。因此，问题的关键在于充分认识国家和公民在法律实现中的主体地位、作用以及二者之间的关系，即构建一种良性双向互动的法律实现理念及模式，这是解决转型中国法律实现问题的根本出路。这就需要我们不仅要认真对待国家主义法律实现理念和公民参与法律实现理念的理论上的差别及其对法律实现的可能影响，还要对现实层面上的国家主义对法律实现的消极影响、公民参与对法律实现的积极作用有所认识，从而实现制度层面的法律实现模式从单向度的国家主义法律实现模式向双向良性互动的公民参与法律实现模式的转换。而双向良性互动的公民参与法律实现模式正是现代法治所要求的法律运作模式，这一模式凸现公民在法律实现中的地位和作用，强调私人公民积极运用法律进而实现社会秩序的重要性，试图构建国家与私人公民之间为积极推进法律有效实现的竞争性机制。从根本上说，这是一种积极促进法律得以实现的有效模式。本文秉承提出问题、分析问题、解决问题的研究思路，在行文结构上除结语外，主体部分由六章构成。第一章引论，主要交代问题的缘起、研究问题的限定、研究方法、研究目的和研究思路。第二章的主要内容是研究概念和研究进路的设定。具体而言，首先，在纷繁复杂的研究概念中选取法律实现作为本文研究转型中国法律有效实现问题的核心概念，并从概念定义和比较分析两个角度对“法律实现”加以界定。其次，为了系统考察和分析转型中国法律实现的整体性问题，对本文研究意义上的法律实现的基本途径予以分析和限定，并说明了这一限定的基本理由。再次，针对既有研究中存在的不够重视机制结构对于法律实现影响的倾向，系统地区分了法律实现的法律机制和社会机制，分析了二者的相互关系，并着重强调了法律机制的重要组成部分——实施机制在法律实现中的基础性地位。并认为，运用这一切入点透视转型中国法律实现的症结所在是十分必要的。最后，在对法律实现研究进路的文献梳理基础上，指出既有的研究所存在的不足以及研究视角和方法上的局限性，并进一步指出了既有研究对法律实现的界定以及研究视角的选择未能有效透视转型中国法律实现困境根源的原因。为了更为有效地研究和分析转型中国法律实现困境及其根源，以整体意义上的法律实现体制为切入点，在研究中选择国家与社会的研究框架，并予以具体化。第三章的主要内容是以法律实现体制为切入点，结合国家与社会的研究进路，对法律由谁来实现这一问题进行追问。首先，从法律实证主义和法律经济学两个相对立的理论观点，对“法律由谁实现”进行理论阐述和系统论证。其次，从法律经济学的观点出发，我们从国外和国内两个角度对由私人来实现法律的人类历史实践进行历史性的考察。从历史的角度，论证了由私人实现法律的现实基础。进一步而言，由私人来实现法律在现代社会具有普遍性，这给转型中国法律实现模式的转换提供了现实的表率。最后，对法律实现模式的类型进行了划分，并提出了法律实现模式的选择来源于国家与社会的形成之中。第四章的主要内容是分析和考察社会转型与转型中国法律实现问题的内在勾连，探讨和比较了国家主义法律实现理念与公民参与法律实现理念的差别及其转变的关键所在。具体而言，就是分析社会转型与法律实现困境和出路的关系。首先，论述了中国社会转型的内涵和基本特征，特别是中国社会转型的个殊性特征。其次，充分论证了法律实现的困境内生于国家主导的社会转型之中的原因所在，认为转型中国法律难以实现的根源在于国家主义及其悖论，并且，国家主义无法消解这一问题，只能从国家与社会在法律实现中的良性互动关系来解决。在此基础上论证了公民参与法律实现的现实可行性。最后，在认识和理解国家主义法律实现理念和公民参与法律实现理念基本内涵的基础上，对二者的理念上的差别给予关注，这是从理论上认清国家主义和公民参与法律实现理念本质区别的关键。第五章的主要内容是结合国家主义法律实现理念，对这一理念支配下的国家主义法律实现模式进行了系统反思和批判。首先，从“政府失败”理论的质疑和代议制民主的限度对国家主义法律实现模式的理论限度进行了反思，并认为这是无法消解的内在矛盾。其次，从法律实现的基本途径，即立法、司法、执法、守法环节分析和探讨了国家主义对法律实现的消极影响。再次，结合环境保护法和村民自治法实现中的问题，从部门法的角度具体论证了国家主义对部门法实现的消极影响，从微观的层面透视转型中国法律实现的宏观问题。最后，针对国家主义在法律实现环节和部门法中的不良影响，探讨了在国家主义内部消解这一问题的有限性，即公民参与在国家主义法律实现模式下的有名无实，也就是说，国家主义法律实现模式不可能为社会力量介入法律实现提供支持。第六章的主要内容是以建构公民参与法律实现模式为出发点，第一，探讨了公民参与法律实现模式的正当性和必要性。虽然不同学科从不同角度均为公民参与提供了理论论证，但是，比较而言，法律实现的社会权力之维、法律民主主义以及私人总检察官制度无疑为公民参与提供了最为坚实的正当性基础。与此同时，从国家转型、社会秩序以及公民权益三个方面论证了公民参与的必要性。第二，从制度设计和构建的角度探讨了公民参与法律实现的权利能力和行为能力。第三，着重强调了公民参与对型构法律权威和提升法律民主性的积极功能，并从法律实现的基本途径角度论证了公民参与对法律实现过程的积极影响。第四，对构建公民参与法律实现模式的担忧予以反驳，并认为相对于法律实现的成本和效率而言，公民参与法律实现模式的限度并不在于此。结语部分对全文的思路予以梳理，着重陈述了本文的论证逻辑、基本结论，强调公民参与法律实现模式是转型中国法律有效实现的根本出路。更多还原

【Abstract】 The law realization is not only an important theory problem in Chinese scienceof law studies, but also an importance practical problem of the socialist legalconstruction and social order construction. The thesis’ basical viewpoints are knownas follows: The first, the law realization problem of transform Chineseboth haveboth a common character and its own individuality. And, individuality problem is theleading factor. Secondly, legal mechanism of law mechanism structure is the key thatrestricts the law realization. Thirdly, the major structure , the inner major relation ofthe power structure, the relation between authority and right setting up by lawmechanism via that law realization effect radically the law to realize. The fourth, theanalysis to law realization must get rid of the partitioned style and use holisticapproach. Fifth, the law realization is one overall problem, not only being some layerof face , some one link or some one branch aspect. Owing to that above-mentionedcognition , we think, the relation between country and society in law realizationprocess restricts the way and degree of law realization. The law realizationdifficult----nationalistic law realization logos and mode----lies in transform of societyleaded by nation. And by transformation going into deep, the chance and way thatdispelling this difficulty turns out at the same time. Therefore, the crux of the matterlies in knowing the position of nation and civil, the interactive relationship betweenthe country and the citizen in law realization, and making up a benign bidirectionalinteractive logos and mode. This requires that the theoretical difference betweennationalistic law realization logos and civil involvement logos. We also analyzenegative influence of nationalistic law realization logos and mode, the positive influence of public law realization logos and mode. We should achieve atransformation from monodirectional nationalistic law realization logos and modeto-bidirectional public law realization logos and mode. The modetobidirectionalinteractive between civil and nation is demanded by modern law promotion pattern.The theme of the article is carried out in two parts.The thesis’ train is to abide by bringing forward a problem, analyzing problemand solving the problem. Besides the epilogue, the thesis’ main body is composed ofsix chapters.Firstly, it briefly introduces social context situations which are the basicconstruction conditions of rule of law in contemporary China, that is, the influence ofglobalization, social transition and risk society. It also introduces the general conditionof the theory and practice of rule of law in contemporary China. The key point is topoint out and analyze problems in the practice of rule of law in contemporary China,the root causes for these problems, and their negative influence on the construction ofChina’s rule of law. During this process, the theme is closely centered on, that is, therelationship between social influence and individual psychology. Problems existed inthe construction of rule of law in contemporary China are: insufficient participation ofcitizens, disorder of public administration, absence of judicial authority, the subjectabsence of law education, misunderstandings in law education, among which, theinsufficient participation of citizens is the major problem. This article focuses ondifficulties during the process of forming citizenry society, the defects and inadequacyof the representation in the system of People’s Congress. The major problem incontemporary China is how to implement the people are masters better. The rootcauses for the above problems are: firstly, they are related to the long-termimplementation of centralization model; secondly, bureaucracy is a persistent ailmentin our national administration; the last reason is about the influence of traditional lawculture. Among all these causes, the key is the view of state standard, which meanstaking national interests and national targets as the most important. I call it as the legalpractices of state standard. Thus, it is concluded that, the vital issue during theprocess of acceptance of law in contemporary China is the absence of recipient, whichis the core problem that influence and even determine the formation of individualpositive law attitude.How to solve the problem? The solution clue in the article involves two aspects,one is the transformation of legal practices and the reform of rule of law practice. The transformation of legal practices means transforming the legal practices ofstate standard to negotiable legal practices. Negotiable legal practices do not mean tooverlook the state, let along against the state, but to provide support on the way ofconcept for the benign interaction relationship among the state, society and theindividual. The core of negotiable legal practices is that the administration of the stateand society should be the process of free and equal game among interest subjects. Thestate mainly plays the role of a host, which is to provide a place for the free and equaldiscussion among benefit subjects and enable people to discuss issues that they allconcern about and relating to their interest through a reasonable procedure, with equalright to voice their opinion and obligation to listen to others’opinion carefully. Eachparty should provide arguments for their opinion and the result of negotiation shouldbe authoritative. The negotiable legal practices are the result that, as theoveremphasized sense of state and the inadequacy of social members’participation inthe current theory and practice of rule of law cause many social risks, it is suggestedto change our viewpoint and understand rule of law in another stand, which is to viewthe construction of rule of law in China from the side of social members. Socialmembers are involved in social administration, and the process of regulationestablishment is the process that interest subjects discuss, compromise and reachagreement. The discussion process is favorable to culture qualified citizens. Thecitizenry education is also an urgent problem in China; one is that no strong sense ofparticipation and the other is too strong sense of private. Through the discussion innegotiable legal practices, it is hoped that the connotation of public awareness couldbe improved.The reform of rule of law practice includes the following aspects: improving theestablishment and training mechanism of NPC deputy and deputy’s representativefeature; promoting positively and regulating reasonably the development of citizenrysociety; establishing benign interaction between the state and citizenry society;creating service-type government by improving their ability of enforcing the law andstrengthening citizens’supervision and restriction on the government; achieving thegoal of Justice for the people and improving judicial authority. The reform alsoinvolves focusing on and reinforcing the teaching process in the law education,developing students’activeness and creativeness sufficiently, establishing lawstudents’belief on the rule of law conception. Besides, the law education conception should be changed by putting the emphasis on culturing qualified citizens,strengthening the enlightenment and knowledge dissemination of law government tothe country and farmers, improving law education model in school, improving thequality and level and changing ways and methods of law enforcement and judicialstaff’s working ways and methods. The central aim of these practical reform measuresis to train qualified citizens, to achieve the participation of citizens in the national andsocial administration. Only on this basis can citizens have identification with rule oflaw, respect and trust it, can they establish the belief on rule of law conception, canthe improvement be made in China’s rule of law practice and the optimization ofacceptance of law be realized.更多还原