【作者】 朱文龙；

【导师】 鲍禄；

【作者基本信息】 对外经济贸易大学 ， 国际法， 2014， 博士

【摘要】 我国正处于社会转型的关键时期，社会治理创新在当下具有重要的意义。社会问题突发、社会矛盾尖锐需要多样化的解决方式，在传统的国家制定法之外，有研究者认为软法是补充硬法进行社会治理的重要手段，并且在欧盟的社会治理中软法发挥了重要的作用、取得了积极的效果，中国可以以欧盟为样本实现社会治理的软法之治。这种观点的真实性和可行性有必要进行深入的探讨和分析。中国和欧盟的语境下所指的社会治理的内涵并不完全一样，中国的社会治理包含社会建设和社会稳定两方面职能，而欧盟的社会治理相当于社会建设，其主要内容在于解决就业和社会排斥问题。作为一种新兴的法律现象，法学界对软法的认识并没有达成共识，不同的研究者都有自己的观点，这大大增加了研究的复杂性。一般来说，将软法看作是一种不具有法律约束力但能够产生实际效力的行为规则的观点得到了较多人的认可和接受。欧盟的社会治理从1952年至今经历了六十多年的发展历程，根据基础条约中对欧盟社会治理权能的规定这大致可以分为三个阶段。通过对这三个发展阶段的具体考察可以看出，欧盟在社会治理方面被授予的权能有限从而限制了它采取硬法进行治理的能力。同时，从90年代末开始，为了应对日益严重的民主赤字和认同危机，欧盟开始强调要转变治理方式。在这两个主要因素的作用下，欧盟的社会治理进入了以软法为主的阶段。欧盟社会治理最主要的软法制度是开放协调机制，它被应用于欧盟社会治理中的欧洲就业战略和欧洲社会融合计划中，并取得了良好的效果。以开放协调机制为代表的软法手段在欧盟的社会治理中发挥了积极的作用。在经济危机的影响下，未来的欧盟社会治理可能会加大欧盟的权力，软法仍然会是重要的治理手段，但是有硬化的可能。中国的社会治理从1949年至今也经历了六十多年的历程，同样也可以被分为三个阶段，但划分的标准主要是治理的主体和治理的手段。在经历了前两个阶段的发展后，当下的社会治理强调以法治的手段进行。通过对中国特色法律体系的规范分析可以发现，现行的法律法规仍然将社会管理看作是一种职能和秩序，反映了长期以来的国家中心的思维模式。社会建设是我国社会治理的主要内容，与社会建设相对应的社会法是社会管理类立法的核心，但是由于长期不受重视，我国的社会法部门还不健全，存在许多的问题和疏漏。立法理念的落后、法律体系的不健全，是我国社会治理中的硬法所面临的主要问题。软法本来应该可以对此进行弥补，但是当代的社会治理强调多元主体的参与，因此所需要的软法也应当是通过公众参与民主协商而形成的软法，这样的软法被称为实质性软法，欧盟中通过开放协调机制形成的软法是实质性软法的典型表现。从理论上来说，实质性软法可以有效弥补我国现行社会治理中硬法的不足和缺陷，提高社会治理的效率。但是在现实中，我国并没有形成实质性软法的机制和条件，不仅缺少类似于开放协调机制的协商民主体制，同时也缺少具有自由精神和公共理性的参与者，而且这种情况在短期内难以改变，实质性软法在短期内也较难出现，我国的社会治理仍然需要不断完善硬法的建设，实现社会治理的法治化。就培育公民意识、促进协商民主而言，社区是一个较为理想的场所，作为现代最基层的群众组织，应当充分发挥社区的作用，实现政府、市场和社区在小范围内的协商谈判，进行协商民主的训练和公民意识的培养，最终能够在更大范围内加以推广和实现。软法在欧盟社会治理中的作用不容忽视，它在中国社会治理中本来也能发挥积极的作用，但是由于条件的欠缺使它暂时只能停留在研究者的呼唤中。在中国当下的发展阶段，一方面需要加强硬法的作用，不断完善社会治理的法治化，另一方面也需要努力为实质性软法的产生创造条件。由于社会问题的封闭性和保守性，中国和欧盟的社会治理之间的差异性要大于共同性，因此从具体制度上来说当下的中国还是应当努力向内发掘中国元素和中国经验，实现社会治理的自我建构和完善。同时中国也可以将欧盟中的开放协调和协商民主等先进理念作为未来加以借鉴和参考的对象，在这个基础上中国的研究者也应注意提炼出具有普适性的中国经验，实现对全球治理的反哺。更多还原

【Abstract】 China is being in the key period of transformation of society, so the innovation ofsocial governance is granted much more importance. The increasing social problemsand intense social disputes need diverse solutions. Besides the statute law, someonetakes the opinion that soft law is also a useful method, and EU has got a lot ofexperience of using soft law in its social model field, so China should follow EU tolearn how to use this tool. The authenticity and accessibility of this idea has to betested. Under the circumstance of China and EU, the meaning of social governanceand social model is different, the previous one has boarder meaning which containssocial construction and keeping social stability, but the latter one just equals to socialpolicy, especially the employment and social exclusion.As a new legal phenomenon, the lawyers haven’t got consensus on the theory of softlaw, different opinions expressed by different researchers. In this thesis, the soft law isjust taken as kind of rules that does not have legal binding force but have actual effect.The former of EU was established from1952and the period of EU social model can becounted from then. These60years can be divided into3different stages according tothe content of the foundation treaties. It can be concluded that EU has only got limitedcapacities related to the social model and then restrict its ability to governance in theform of hard law. And from the1990s in light of democracy red and identity crisis, EUmoved forward reforming its governance. Because of these two factors, soft lawbecame the most important method in EU social model. The typical one is the openmethod of coordination, which works well in the European Employment Strategy andEurope Social Inclusion. Under the influence of economic crisis, EU may get morepower in social model in the future but soft law would still be the important tool which,however, may be harder.Chinese social governance also experience more than60years from1959, and theperiod can also be divided into three stages according to the principal and governancemethods. After the previous two stages, the present social governance stressed that itmust be legitimated. When analyzing the legal system of Chinese character it can befound that there are still some laws and regulations taking social governance as apower or orders, which reflect the thinking of nationalism. Social construction is themain content of social governance, and the social law department is the core of legalsystem of social governance. But because social law has been ignored for a long time, there are still many problems in this field. The old legislation idea and incomplete legalsystem are the main problem of Chinese social governance hard law. Soft law isintended to make up this but the modern social governance stresses more partsparticipation, so the soft law should also meet this requirement. This kind of soft law iscalled substantial soft law, which corresponding to the formal soft law. The substantialsoft law can fix the deficiencies of modern social governance and improve theefficiency of governance in theory but there is no mechanism and conditions to formthe kind of soft law and this situation will not be changed in the short time. TheChinese social governance still has to improve the structure of hard law and realize thelegislation of social governance. The social community is an ideal circumstance toraise citizen sense and improve consultative democracy, the function of communityshould be used for the training of consultative democracy and citizen sense, and spreadthem in boarder sphere.So all in all, the soft law is important in EU social model, but its function in Chinesesocial governance is limited because of the short of resources. The Chinese modernsocial governance still has to rely on the hard law and perfect the legalization of socialgovernance, and also China has to create chances for the development of substantialsoft law.Because of the encapsulation and conservatism, there are much more difference thancommon things, so China has to find resources from its inside. But it also can use EU’sexperience as the future goal and target. Besides that, China should concludeexperience of Chinese character in order to affect the global governance.更多还原