【作者】 刘奇耀；

【导师】 肖金明；

【作者基本信息】 山东大学 ， 宪法学与行政法学， 2014， 博士

【摘要】 本研究旨在从功能与规范双重视角审视并描述社会治安综合治理(以下简称治安综治或者综治)与法治的内在关联,长期以来,治安综治往往被当作一种司法政策,在有些学者看来它有违背法治之嫌。在现实层面,治安综治确有抵牾法治的诸多表现,由此强化了综治与法治分离甚至对立的认识。那么,在中国的现代化转型过程中,综治制度如何生成,主要发挥哪些功能,呈现何种实践逻辑,尤其是它与法治存在怎样的内在关联,构成了本研究的主要侧重和框架。本研究从实践逻辑出发,描绘“制度是怎样形成的”：在历史文献、规范文本和实证材料的梳理基础上,通过描述、解说、评价来回答延续30多年的治安综治制度的实然性与应然性。区分治安综治的功效与功能问题是理论研究的必要进路。在法学上,功效是以实用主义为面向的效果评价,并非制度逻辑本身所能彰显。于功效视角,治安综治为国家转型和社会变迁提供了效果显著的秩序保障,但也呈现出实用主义路径上的效能递减甚至失效。而作为规范主义进路的功能视角,则强调事物内涵的必然性,即制度内在的功能预期,它开发了理论空间。治安综治的核心理念是源头治理、系统治理、综合治理和依法治理,是中国社会变迁和国家转型过程中国家治理方式的一种体现,既具备中国传统文化因素,也反映着中国共产党执政与现代国家治理的内涵,同时也顺应了西方国家社会治理的理论与实践潮流。在治安综治的制度形成、进展、转型和发展中,与行政管理体制、政法体制密切关联,在维护社会稳定、保障社会公共安全方面发挥了积极作用。治安综治的制度确立是对1980年代“严打”政策的反思与超越,使得刑事政策由国家权力本位向国家社会双本位转变。同时,治安综治在逐渐深化社会治理理念的过程中不断弥补以市场化竞争为核心的法治建构的不足。但从制度规范层面,30多年的治安综治以执政党的组织化调控为主要特点,而政法系统的权力运行制度与压力型问责制度使综治的法治功能未能充分发挥。治安综治的法治逻辑在于,综治与法治是中国法治建设的不同面向。在法治兴起和发展过程中,综治应社会安全需求保障而起,是法治在社会治安上追求善治的体现,但在制度实践中,由于思维和体制惯性,综治在民主、权力、组织和制度等要素整合中是从过低的制度化走向较高制度化的一个过程。当综治的治安善治追求与法治思维、法治方式高度结合起来,它将最终融入现代法治,成为法治运行的重要组成部分和表现形式。本研究在肯定综治制度意义的基础上,提出了治安综治法治化建构的基本思路,以此完善治安综治体系,即根据结构功能主义原理,在重塑经济与社会关系的整体结构中提供内生型秩序保障的社会条件以及将公平正义作为社会有机结构的价值系统与社会共识；在治安综治制度革新中凸出法治元素和法治化方向,实现从维护政治社会稳定为首要目标向以公共安全与社会和谐为核心诉求的社会善治为根本目标的转变、以共治为治理模式,以法治为治理原则,通过执政党依法进行综治决策、政法职能转型和机构重组、治安行政模式转变和行政法转型、强化社会治安自治等重要制度的合宪性调整,实现综治的法治化建构,使得治安综治的制度功能发挥得更加全面、协调和有效。文章分为七部分,除了绪论,第一至三章主要回答“是什么”的问题,描述与解说治安综治到底是一项什么样的制度；第四章主要回答“为什么”的问题,解说和评价治安综治的制度逻辑及其正当性,并实证分析现行制度设计的问题；第五章则是回答“应该是什么”的问题,从规范主义视角阐述了治安综治制度法治化建构的基本思路。绪论部分阐述的是研究缘起,从综治与法治的现象观察出发,提出了研究的问题,旨在探讨社会治安综合治理与法治的内在关联。从目前来看,综治研究总体上是游离于公法之外的,如果将法学作为种自给自足的学科来理解的话,综治在公法研究上易于出现将其从制度上予以否定或者从立法上予以确认的倾向,但问题在于,这种方式并不能真实而深刻地揭示出综治制度的实践逻辑以及与法治的真正关系,因此单纯地运用公法理论和方法无法完成对这一制度实践的解释,还需要借助社会科学中其他学科的理论框架与分析工具来完成。绪论对该命题的既有理论成果作了系统梳理,使研究能够“站在巨人的肩膀上”,并说明了研究方法与思路、可能创新与不足。第一章是“社会治安概念的源起与变迁”。在中国语境中,社会治安具有复杂多义性,其内涵及价值取向的变迁是考察治安综治制度的前提和基础。笔者就社会治安的古代词义、近代转向和新中国的公安概念进行了全面梳理,并对治安及相关概念进行了分类,及其与西方治安观及新治理概念的比较分析。从国家与社会一体化时代走向相互分离的二元时代,清晰区分政治稳定与社会稳定的价值取向,并在稳定、安全、治安和权利等概念相互关联中形成新的认识是本章的核心。第二章是“社会治安综合治理的制度演进”。本章通过对综治制度形成前社会治理制度演进状态的梳理,对比分析30多年的社会治安综合治理制度的形成、进展、转型与发展,描述和解说了“综治制度是怎样形成的”的制度变迁逻辑。本章认为,制度变迁的逻辑并不等于逻辑的制度理性论证,治安综治的逻辑起点必然基于现实社会安全的需要,唯此,综治才能展开其在法治中的善治面向,并看到由过低制度化走向较高制度化的法治过程与状态。第三章是“社会治安综合治理的体制框架”。本章从治安综治的职能体系、组织体系和权责体系三个方面分析了治安综治的体制框架,初步回答了综治职能的特点、综治主体、权限、责任、综治机构性质及与政法委的关系等。组织、权力和制度是综治的重要要素,它们之间的相互配置关系既是综治变迁的制度依附,也是对静态体制进行问题透视的重要视角。第四章是“社会治安综合治理制度的正当性及其实证分析”。本章结合实证分析对综治制度进行了正当性评价,通过实地调研、参考既有调研素材、考察综治事件等实证方法深入分析治安综治的基层现象与权力运行背后的制度结构,分析了综治的社会功效和法治功能及其存在的问题,为综治制度创新和法治化构建提供实践论证和基础。第五章是“社会治安综合治理的法治化建构”。本章阐述了治安综治法治化建构的价值共识、模式特征、基本原则以及重大制度的合宪性调整。本章认为,公平正义是价值共识；“善治、共治与法治”是模式特征；以公共安全和社会和谐为核心诉求、社会自由和社会秩序的平衡和恪守正当法律程序是基本原则；重大制度的合宪性调整主要包括执政党依法进行综治决策、政法职能转型和机构重组、治安行政模式转变和行政法转型、强化社会治安自治等。文章的结语总结并重申了综治的法治逻辑,即综治是法治的善治面向。更多还原

【Abstract】 This study aims to review and describe the internal connection of comprehensive governance of social security and of the rule of law from the perspective of function and normative, on which only very few people have discussed. For a long time, comprehensive governance of public security tends to be regarded as a sort of judicial policy, risking of violating the rule of law in some scholars’point of view, which proved to be true from practice. Thus it has strengthened the cognition of the separation between comprehensive governance and rule of law, or even the contrariety between them. Consequently, in the process of China’s transformation of modernization, the construction, main function, practical logic and especially the internal links of the system of comprehensive governance compose of the main focus and structure of the paper.This study attempts to describe the procedure of the formation of comprehensive governance of social security by literature review. Distinguishing between utility and function plays an important role in research on comprehensive governance of social security. From the perspective of law, utility based on pragmatism and focused on the evaluation of the system, instead of the logic within the system, which proved to be effective but also follow the rule of marginal diminishing. On the contrary, as a normative approach, the perspective of function emphasizes the connotation of the system and explores space for the theory.The core concept of comprehensive governance of social security relies on rule from the root, systematic governance and comprehensive governance, which reflects the change in the governing of the country in the process of transition of our society, featuring in traditional culture, the connotation of the ruling of the communist party and conform to the trend of social governance in western countries. The formation, development and transition of the system, closely associated with administrative management and legal system, which plays a positive role in the maintenance of social stability. Establishment of the system of comprehensive governance of social security is a reflection and transcending of the criminal policy in the1980s, focus on both society and country and constantly perfecting the market oriented system which featuring in competition. However, in the past30years, the political feature of comprehensive governance hinders its role in the rule of law.The rule of law logic of comprehensive governance relies on the fact that the orientation of rule of law and of comprehensive governance is different within China’s construction of rule of law. Comprehensive governance is rooted in the requirement of guarantee social security in the process of rule of law. Due to its backward feature, comprehensive governance is not compatible with law in many prospects such as democracy, power, organization, system and so on. When combining the pursuit of good security with the principle of rule of law, comprehensive governance will finally integrated in rule of law.Based on its positive effects, this study puts forward the basic thought on the construction of comprehensive governance, including the emphasis on the condition of internal requirement of social security within overall structure of rebuilding relationship between economy and society, justice as the social goal, elements of rule of law and good governance, which aims to focusing on both social security and harmony. To perfect the system of comprehensive governance of social security, pursuant to the principle of structural functionalism and the overall structure of the society, it has to be changed in many aspects. The form of governing model must be directed from rule of law. The decision has to be made by the communist party. The elements of constitutionality should be focused and comprehensive governance should be viewed systematically.The article is divided into seven parts, in addition to the introduction; the first three chapters mainly describe what comprehensive governance of social security is. The fourth chapter basically discusses why we need the system, explains its logic legitimacy and construction, and analyzes empirically the present system design. The fifth chapter mainly discusses the direction of comprehensive governance, from the perspective of normative study.The introduction part expounds research purpose. Starting from the observations of comprehensive governance and rule of law, the author puts forward the question and tries to explore the internal connection of comprehensive governance and rule of law. At present, the general research on comprehensive governance t has less relationship with public law. If the law might be construed as a self-sufficient subject, it is apt to reflect the trend that the public law research on the comprehensive governance shall be denied from the aspect of system, while be affirmed from the aspect of legislation. However the practical logic of comprehensive governance and its relationship with rule of law may not be revealed truly and deeply by such construing. Thus merely application methods on public law theory could not fulfill the aims to explain comprehensive governance practically, the theoretical structure and analysis tools from other subjects within social sciences are required at the same time. The introduction part systematically analyzes the present theoretical achievement on the above thought. Literature review, basic thoughts, innovation and shortcomings of the research are also in this part.The first chapter is "Origin and Evolution of the Concept of Social Security". Social security is the ambivalent word, which requires the understanding of the change of its connotation and its value orientation. The author studies the different meanings of social security from the ancient society to nowadays, analyzes related concepts and compares with its meaning in western countries. The new understanding has been formed on the basis of changing era from the integration to the dualization of both country and society; of the clear distinction between political and social stabilization; of the relation among stabilization, safety, public security and right.The second chapter is "System Evolution of Comprehensive governance of Social Security". The chapter analyzes the management of social security before establishment of the system of comprehensive governance, and discusses the formation, development and transformation in the past thirty years, describes and explains the logic of institutional evolution for the formation of comprehensive governance. This chapter deems that the logic of institutional evolution does not equal to institutional and rational argument of logic. The logic origin of comprehensive governance of public safety must rely on the requirement of social safety. Therefore the comprehensive governance may reflect its good governance as well as rule of law process and status from lower to higher institutionalization.The third chapter is "Institutional Framework of Comprehensive governance of Social Security". From the functional, systematic and responsible system of comprehensive governance, the author preliminarily discusses the subject, authority, responsibility, function and the relationship with the committee of politics and law. The significant factors of comprehensive governance rely on institution, power as well as system. The allocation among them does not only the systematic adherence of comprehensive governance changes, but also the important angle from which the stative system could be analyzed.The fourth chapter is "Justification and Empirical Analysis of Comprehensive Governance of Social Security". Combined with empirical analysis, the author acknowledges its justification. Based on investigation, reference, and case study, this part analyzes the phenomenon, system, social and rule of law function as well as problems of comprehensive governance, which provides foundation for innovation of comprehensive governance.The fifth chapter is "Legal Construction of Comprehensive Governance of Social Security", which includes consensus of value on comprehensive governance, characteristics of the model, basic principles and adjustment for constitutionality. This chapter deems that equity and justice are value consensus; good governance, shared governance and rule of law are model character; pursuing public safety and social harmony, balance between social freedom and social orders as well as due process are fundamental principles. Constitutionality adjustment of significant system mainly includes that governing party has the power to make decision on comprehensive governance pursuant to the laws; includes function transformation of politics and law, institutional reorganization, mode transformation of administrative public security; and includes reinforcement of social security autonomy.The conclusion summarizes and reiterates the logic of comprehensive governance which shall be expounded that the comprehensive governance is the good governance of rule of law.更多还原