改革进程：中国共产党政策与法律关系结构的历史转型

【作者】 何啸；

【导师】 卓泽渊；

【作者基本信息】 中共中央党校 ， 法学理论， 2014， 博士

【摘要】 在中国，共产党政策与法律的关系是一个国家治理方式的问题，即在国家治理体系中，党的政策与法律这两种核心的治理规则之间究竟呈现出一种怎样的结构形态。它同时也一直是法理学的核心问题，晚近以来关于“人治与法治”、“法制与法治”、“政策治理还是法律治理”、“良性违宪”等问题的争论背后，都直接或间接地涉及对政策与法律之关系的思考。因此，对该问题的研究，一方面从属于对“用什么方式来治理国家”这一最为紧迫的政治‐法律问题的思考，另一方面也为我们更深入地理解和把握中国法治和中国法学的发展脉络提供了一个更为整全的视角。在中国，研究中国共产党政策与法律关系有重要意义。何谓共产党政策与法律的结构关系？简而言之，中国共产党政策与法律都是中国国家治理体系的核心组成部分，为国家治理结构的形成提供了基础性的、彼此区别而又相互补充的路径选择。因此，只有在对国家治理结构的内涵及其变迁的宏观把握中，我们才能够更准确地勾勒出中国共产党政策与法律的关系；同时也只有通过对政策与法律这两个基本因素各自属性以及对二者如何关联、并存乃至相互转化的微观（相对而言）机制的分析，我们才能更准确地把握国家治理结构形成及调整的内部动力机制。后者正是本文要研究的主要内容。本文将表明，从国家治理结构的内部视角看，政策与法律的关系始终处于一种微妙的平衡状态当中，任何一个因素的变化都会影响到整个结构的形态，从而达致一种新的平衡；倘若政策或法律任何一个因素的地位和作用超出了一定界限，就有可能导致整个国家治理结构的失衡乃至崩溃。而从外部视角来看，政策‐法律关系结构本身又是“历史性”的，与更广阔的社会变迁紧密相联，不同的历史时期、不同的政治条件、不同的经济环境、不同的民情等等因素，都构成了其生发与调适的外部制约因素。本文因此试图从理论和历史两个层面，对政策‐法律关系结构进行梳理。一方面，本文将从法理学的角度，剖析政策与法律各自的基本属性、二者的本质区别与联系，并在此基础上建构一种“应然”的政策‐法律关系结构，作为引导我们进一步思考的“理想类型”。另一方面，本文更重要的工作，是将政策‐法律的关系问题置于中国共产党领导中国人民进行社会主义革命和社会主义建设的历史当中，以政策‐法律关系结构的转型为主线，阐明各种不同结构形态的内在逻辑，探寻影响、制约其建构的外部因素，进而更透彻的展示其生发与演变的机理和动力。秉承上述研究思路，本文将政策‐法律关系结构的演变划分为三个阶段：第一个阶段是共产党成立（具体说是从1927年建立第一块农村革命根据地开始）以来到1978年改革开放的启动，这一阶段的基本模式可以概括为“政策作主导，法律作工具”，其特点主要包括以下几个方面：第一，党的政策是实施社会治理的根据，党通过政策为社会发展设定目标；第二，法律是为政权服务的，是实现党所领导的社会目标的工具；第三，在党、国家、人民三个权力关系中，党是居于领导地位的；第四，党通过政策来实现对社会的治理。第二个阶段为改革开放启动至党的十八大召开，这一阶段的基本模式可以概括为“政策作先导，法律相跟进”，其特点主要包括：第一，作为不同的治理规则，政策和法律开始形成一定的分工，逐步实现一种专业化、理性化的治理；第二，面对改革进程中的各种问题，通过制定政策来解决如何改革的问题，并通过执行政策来实现政策目标；第三，关于如何改革是不确定的，所以需要探索，所以不急着在法律上确定下来，而通过政策的试验正是探索的过程；第四，对与改革探索出的成果，通过法律的形式固定下来，是为法律跟进。政策与法律呈现出时间上的先后顺序。第三个阶段则起自十八大开启的“全面深化改革”。在这一阶段，一种“政策作指导，法律作依据”的关系结构逐步浮现，但仍处于一种“未完成”的状态。不过我们仍然能大致地把握其中的一些核心特征，包括：第一，法律成为改革行为的依据，这是对依法治国的深化，治理国家要依据法律，进行改革也必须依据法律。第二，政策在发展方向上作出指导，退出具体治理的领域。第三，党通过制定政策来引领改革的方向，通过带头贯彻落实法律来实现改革，通过手中掌握的国家政权来治理国家。第四，构建起比较现代化的治理体系，这个治理体系包括（但不仅限于）法律和政策，在治理体系中，二者回到其应有的位置，共同为全面深化改革提供价值、方向和秩序。对上述三个阶段的区分，构成了本文论述的基本线索。本文也将在历史梳理的基础上，更深入地考察不同结构的历史成因、其内在的合理性和固有的局限性。在此基础上，本文将指出，尽管目前还难以勾勒“政策作指导，法律作依据”这一关系结构的终极形态，但在核心特征上，它更契合于本文对政策‐法律关系之“理想类型”的描绘。这一关系结构必将对我们“全面深化改革”事业的未来走向将起到至关重要的作用。更多还原

【Abstract】 In China, the relationship between communist party’s policy and law is an issue of the way of governance, namely in the national governance system, the party’s policies and laws as the two core governance rules presents what a kind of structure form. It also has always been the core issue of jurisprudence, recently behind the debates between "rule of man or the rule of law","rule by law or the rule of law","policy governance or legal governance" and "benign unconstitutional" and so on, either directly or indirectly involved in the thinking of the relationship between policy and law. Therefore, the study of this problem, on the one hand, belongs to the question of "how to govern", the most pressing thinking of political-legal problems; on the other hand, also provides us a deeper understanding and grasp of the development of China’s rule of law and jurisprudence in a more holistic perspective.In China, researching the relationship between law and policy of the communist party has important significance. What is the structure of relationship between communist party’s policy and law? In short, communist party’s policy and law is the core component of Chinese national governance system, provides the foundational, different and complemented choice of the path for the formation of national governance structure. Therefore, only in the macro grasp of the connotation and changes of country’s governance structure, we can more accurately outline of the relationship between the policy of the Chinese communist party and law; at the same time, it is only through the microscopic analysis of the mechanism of the two basic factors of policy and laws how their attributes, correlation, coexistence and their mutual transformation of (relatively) the, we can more accurately grasp the internal power mechanism of the formation and adjustment in the governance structure.The latter is the main content of this paper to study. This paper will show that from the perspective of internal governance structure, policy-law relationship remains the state of a delicate balance, the change of any factor will affect the whole structure of the form, so as to achieve a new balance; If the status and role of any policy or legal factors exceeded the certain limit, it may lead to imbalance of the whole governance structure of country and even collapse. And from an external perspective, policy-law relationship structure itself is historic, and closely links to the broader social change, the different historical peirod，different political conditions,different economic environment, different conditions of the people，and so on, bothconstitutes the external restricting factors of its germinal and adjustment.This paper thus attempts to card the structure of policy-law relationship rfomthe aspects of theory and history. On the one hand，this article from the perspective ofjuirsprudence, analyze the basic attributes of policy and law respectively, both theessential differences and relations，and on this basis to construct a “ought to be”structure of policy-law relationship, as an “ideal type” to guide us for furtherthinking. On the other hand, the more important work of this article, is to put theissue of policy-law relationship in the history of communist party of China leadsChinese people in the socialist revolution and socialist construction, make thetransformation of the structure of policy-law relationship as the main line，to clarifythe internal logic of vairous structural forms, and explore the external factorsaffecting and restricting its construction, and thus more thoroughly show themechanism and motivation of its growth and evolution.Adhering to the above research, this article will divided the evolution of thestructure of policy-law the legal relationship into three stages: the first stage is sincethe founding of the communist party (Specifically rfom the first piece of ruralrevolutionary base areas established in1927) to the start of reform and opening up in1978，the basic model of this stage can be summarized as “policy for leading，law asa tool”，its characteirstic mainly includes the following aspects: First，the party’spolicy is the basis of the implementation of social governance, the party throughpolicy set goals for the social development; Second, the law is in the service of theregime，is a tool for achieving the goals of the society led by the party; Third，in thepower relationships of the party, the country, and the people, the party is the leader;Fourth, the party work through policy to realize the social governance.The second phase starts from the beginning of reform and opening-up to thepartyfs eighteenth big meeting, the basic model of this stage can be summairzed as“policy as the guide, laws follow up”，its characteirstic mainly includes: The first, asdifferent governance rules, policies and laws to begin to form a certain division oflabor, gradually achieve a specialization, rationalization of management; Second, inthe face of the vairous problems in the reform process, by making policies to solvethe problem of how to reform, and by implementing policies to achieve policy objectives; Third, how to reform is uncertain, so we need to explore, so don’t rush in the law, and through the test of policy to explore the process; Fourth, passing a law in the fixed form of the achievements of reform,, is for the "law to follow up". Policy and law presents the order on time.The third stage is from the eighteenth big meeting which opens the comprehensively deepen reform. At this stage, a kind of relationship structure "policy as guidance, law as gist" gradually emerges, but it is still in a state of "unfinished". But we can still roughly grasp some of the core characteristics, including:First, law form the basis for reform act, which is the deepening of the rule of law, govern the country must be according to law, reform also must be according to law. Second, the policy gives the guidance on the development direction; retreat from of the field specific management. Third, the party guides the direction of the reform by policy, by leading the implementation of the law to realize the reform, through the state power to govern the country in his hands. Fourth, build up the modern system of governance, the governance system including (but not limited to) legal and policy, in the governance system, the two returned to its rightful place, provide value, the direction and order to comprehensively deepen reform.The distinguishing of the three stages constitutes the basic clue of this paper. This paper will also be on the basis of history analysis, investigate historical origin, the intrinsic rationality, and the inherent limitations of different structures more in-depth. On this basis, this article will point out, although it is difficult to draw the ultimate form of the structure "policy as guidance, law as gist", but on the core characteristics, it is more fit with the ideal type of the structure of policy-law relationship in this paper. The relational structure will play a crucial role in our work of comprehensively deepen reform in the future.更多还原