公务员权利救济制度研究

【作者】 燕卫华；

【导师】 马怀德；

【作者基本信息】 中国政法大学 ， 宪法学与行政法学， 2007， 博士

【摘要】 公务员权利救济是公务员法律制度的重要方面。公务员权利救济的现状,是一国公务员法制和法治政府建设状况的真实反映。与公民权利救济比较,公务员权利救济既要体现人权保障和依法行政原则的普遍要求,又受到人事管理活动自身规律的强烈影响,呈现出程度不同的特殊理念和机制。在贯彻普遍性原则和体现特殊性要求的矛盾运动中,各国公务员权利救济走过曲折艰辛历程,积累了丰富历史经验和制度成果。对于尚在起步阶段的我国公务员权利救济制度建构与实践具有重要借鉴意义。从比较法的视野看,法制先进国家公务员法律制度中,公务员权利救济规范与实践反映的规律性特征,表现为非诉救济与诉讼救济相结合、以司法救济为核心要素和最终保障的权利救济机制。公务员权利救济,是充分完整的权利宣告基础上的权利实现方式;需要充分利用非诉救济资源所形成的及时、便捷、低成本的救济方式,也有赖于以司法机关公正审理和最终判断为特征的诉讼救济。这二者各具优势,前后衔接,相互补充,形成健全的公务员权利救济制度。完善我国公务员权利救济制度,必须充分运用公务员非诉救济资源,畅通公务员权利诉讼救济途径,兼顾近期建设和长期目标结合,在理念、组织、机制、程序、技术等方面逐步完善。本论文在全面反思我国公务员权利救济现状的基础上,从比较法的视野,分析当代法制先进国家和地区公务员权利救济制度,把握当代公务员权利救济的理念、机制、组织、方法、程序和技术,对完善我国公务员权利救济制度进行讨论并提出建议。全文分为六章。第一章阐述本论文研究范围和主题。从公务员含义、范围、权利规范体系、权利救济制度等方面,分析公务员权利救济的基本概念,指出公务员的界定和范围受到一国政治制度、经济基础、法律文化的影响,呈现出多样性和复杂性。公务员界定和范围影响着公务员权利救济的制度和形态。公务员权利,是在否定封建人事依附制度的基础上建立起来的,是依法行政原则和人权保障理念在公共人事管理领域的体现。随着现代公务员制度和行政法治国家的发展,公务员权利逐步扩展,类型更加丰富,体系进一步健全,权利实现问题更显得重要。公务员权利救济制度,是针对机关在公共人事管理中侵害公务员权利现象,通过法定的形式、组织和程序,排除侵害行为,恢复法定权利,进行权利救济,落实公务员法定权利的保障性法律制度。第二章阐述公务员权利救济的理论基础和主要价值。公务员法律关系是公务员法律制度的核心和基石,决定着公务员权利体系和权利救济的制度建构。通过分析封建吏制中官吏与君主关系的实践,论述在公务员与机关关系发展历史上,曾经占主导地位的特别权力关系理论,以及对此进行批判和改良的不同理论形态,剖析这些理念支配下的各种公务员权利救济模式,为建构当代公务员法律关系和权利救济制度奠定基础。政府公共人事管理不是“法治国阳光尚未照到的丛林地带”,应当受到现代行政法原则和基本理念的关照。现代行政法的基本原则指引着公务员权利救济的制度建构。公务员权利救济制度具有落实宪政、保障人权、规范权力、优化公共管理和增进公共利益等价值和功能。第三章开展对我国公务员权利救济制度现状的反思。从我国公务员权利规范看,权利法律宣告先天不足,权利规范建构相当薄弱;权利侵害现象发生于公务员管理的诸多环节。从公务员权利救济看,存在着救济制度立法滞后、行政救济公正性不足、仲裁救济没有实践、缺乏司法救济渠道、损害赔偿救济尚未破题等突出问题。分析救济制度缺陷之原因,既有结构性制约因素,又困于落后理论的障碍,还有法律技术不足等问题。从系统环境和结构上看,我国政治发展、经济基础和文化传统都不同程度地制约着公务员权利救济制度的创新。从理论指导上看,我国公务员权利救济实践,尚未脱离“内部行政行为不可诉”的理论窠臼。该理论将行政行为划分为内外部行政行为,目的是将包括公务员管理行为在内的部分行政行为,从一般行政行为中剥离出来,进行特别管理,排除法律保留和司法审查,其理论基础与特别权力理论异曲同工之效,对我国公务员权利救济制度产生了严重的消极影响。从组织和技术上看,公务员权利救济的组织不健全,程序不完善和相关审查、裁判技术都缺乏的成熟经验和规范制度。第四章、第五章分别分析了公务员权利的非诉救济和诉讼救济途径。作为本论文的分析重点,从类型化划分入手,采取比较法的方法,分析当代法制先进国家和地区公务员非讼救济和诉讼救济的组织结构、主要方法、程序和技术,试图把握当代公务员权利救济机制的规律,通过跨国比较、案例分析、理论建构等方式,有重点分析不同权利救济渠道的具体形式及具体制度,建立公务员权利非讼救济和诉讼救济的基本理念、制度构造、组织结构和主要技术。公务员权利非诉救济内涵丰富,外延宽泛,包括诉讼救济途径以外的各种人事管理争议解决程序和途径,具有公务员权利保障、行政自我审查和减轻法院负担等功能。从其涵盖的行政机关善意救济与层级救济、独立机构救济、仲裁救济及其它协商式救济看,各具特点,呈现出救济及时便捷、较低成本、专业审查、管理关系协调等优势,在救济组织、程序和技术上最大限度地实现了公务员权利保障和机关人事管理效益的协调。诉讼救济,是各国公务员权利救济制度的共同选择,从基本理念、主要原则、受理范围、审查标准、审查强度、判决形式上体现着司法权对机关人事管理行为审查和公务员权利保障的介入与限度,既体现着对行政行为进行司法控制的普遍要求,也反映出公务员权利救济和促进公共人事管理的内在特点。第六章阐述重构我国公务员权利救济制度的设想。作为本论文的结论,在分析我国公务员权利救济制度所依存的政治社会生态环境基础上,以比较研究成果为借鉴和参考,厘清我国公务员权利救济制度建构的基本理念,明确需要把握的基本原则,提出了重构我国公务员权利救济制度的设想。综合分析我国干部人事制度的历史环境和现实条件,完善公务员权利救济制度受到一些结构性因素的制约。重构我国公务员权利救济制度,需要厘清公务员法律关系,其关键在于形成完善的公务员权利体系和机关人事管理职权。构建我国公务员权利救济制度,需要完善公务员权利规范体系;充实公务员非讼救济制度,重于增强非诉救济的公正性,为此要增强非诉救济机构的相对独立性,加强各项非诉救济资源的程序建设;开启公务员诉讼救济制度,本着积极稳妥原则设定人事管理行为的行政诉讼救济范围,以公务员权利与机关人事管理代表的公共利益之间的平衡为主要内容,以合法性审查为原则,建立司法机关审查人事管理行为的方式和标准,形成符合人事管理行为特点的行政诉讼救济制度。更多还原

【Abstract】 Rights remedy of civil servants is an important part of the legal system of civil servants. The current situation of rights remedy of civil servants is the true reflection of construction progress of legal system of civil servants and government by law. Comparing with rights remedy of citizens, rights remedy of civil servants incarnates the universal requirements of the principles of human rights protection and administration by law, and is fiercely influenced by disciplines of personnel administration, and presents different levels’special ideals and institutions. In the contradictory movement of implementation of principle of universality and embodiment of requirement of practicality, rights remedy of civil servants in each country goes across hardships and gains ample historical experiences and institutional achievements. It is the important reference for China’s construction and practice of system of rights remedy of civil servants which is at its threshold.In the perspective of comparative law and in legal system of civil servants in legally-developed countries, the regulations and practice of rights remedy of civil servants and the disciplinary characteristics reflected are a systematic remedy organism which is a combination of litigation remedy and non-litigation remedy, and centered on judicial remedy. Rights remedy of civil servants is one way of realization of rights based on fully notice of rights, and a convenient, comparatively fair and low cost remedy which is formed by fully use of resources of non-litigation, and also a remedy by the ultimate judging power of judicial organs. Both litigation remedy and non-litigation remedy have their advantages and connected and complemented to each other, and together form the sound system of rights remedy of civil servants. In order to perfect China’s system of rights remedy of civil servants, we must perfect and fully use the resources of non-litigation, and smooth the ways of litigation, and take care both short-term construction and long-term goals, and gradually perfect in aspects of ideal, organization, institution, procedure and technique.The dissertation is based on completely rethinking of the current situation of rights remedy of civil servants in China and from the perspective of comparative law to analyze the situations in legally-developed countries and grasp the mechanism, means, technique and organization of contemporary system of rights remedy of civil servants and to discuss how to perfect China’s situation. There are six chapters in the dissertation.Chapter 1 tells the scope and theme of the dissertation. It analyzes the basic conceptions of rights remedy of civil servants in aspects of conception of civil servant, scope, system of rights and regulations and system of rights remedy, and points out the definition and scope of civil servants is influenced by political institutions, economic base and legal culture and appears variety and complexity. The definition and scope of civil servants influences the system and configuration of system of rights remedy of civil servants. Rights of civil servants is built on base of veto of feudal accessorial personnel system and the embodiment of principle of administration by law and ideal of human rights protection in management of civil servants. Along with the development of modern civil servants system and administrative country by law, rights of civil servants gradually enlarges and types enriches and system becomes more sound and the issue of realization of rights appear more important. The system of rights remedy of civil servants is a protective legal system which is against administrative organs infringing rights of civil servants in public personnel management through statutory format, organization and procedure to eliminate infringing activities and recover legal rights.Chapter 2 tells theory basis and principal value of rights remedy of civil servants. Legal relations of civil servants are the core and basis of civil servants legal system, which decides the institutional construction of rights and their remedy of civil servants. Through analyzing the practice and ideal of relations between kings and officials in early feudal bureaucracy, the chapter discusses in history of relations between civil servants and administrative organs, the theory of special power relation which had occupied the leading position and various critical and reformative theories and various modes of rights remedy based on these theories to settle the foundation of current legal relation mode and rights remedy of civil servants. Government public personnel management is not“the jungle without the sunlight of government by law”, but should be cared by principles and basic ideals of modern administrative law. The basic principles of modern administrative law guide the institutional construction of system of rights remedy of civil servants. The system of rights remedy of civil servants has the value and functions in aspects of realizing constitutionalism, protection of human rights, regulating power, optimizing public management and promoting public interests. Chapter 3 is the rethinking of the current situation of system of rights remedy of civil servants. From the perspective of regulatory files of rights of civil servants, the legal declaration of rights of civil servants is congenitally deficient. The infringement of the rights of civil servants exists in many aspects of the management of civil servants. From the perspective of rights remedy of civil servants, there are some problems, such as the laggardness of legislation of remedy institutions, the lack of basic fairness of administrative remedy, the arbitration remedy not really implemented and lack of judicial remedy. The reasons of the defects of the system of rights remedy of civil servants in China include: structural restriction elements, obstacle and obfuscation of legal theory and the technicality problem of legal institution itself. From the perspective of structure, political development, economic base and cultural tradition restrict innovation of system of rights remedy of civil servants in different degrees. From the perspective of ideal, the practice of system of rights remedy of civil servants is based on the theory of non-litigation of internal administrative activities. This theory divides administrative activities into internal administrative activities and external administrative activities. It aims to peel off some administrative activities, including activities of management of civil servants, from common administrative activities to particularly manage, except reservation of law and judicial review.Comparing with theory of special power, they are different in approach but equally satisfactory in results. It influences the system of rights remedy of civil servants negatively. From the perspective of organization and technique, the system of rights remedy of civil servants is not sound in organization, not perfect in procedure and lack of experiences and institutions in relevant review and judging technique. Chapter 4 and 5 tell litigation and non-litigation remedy of rights of civil servants. As the analysis pivot of the dissertation, from type division, in means of comparative law, I analyze the organizational structure, main measure, procedure and technique of litigation and non-litigation remedy of rights of civil servants in contemporary legally-developed countries, try to hold the disciplines of contemporary system of rights remedy of civil servants, through means of comparing across different countries, case analyses and theory construction, selectively analyze the concrete form and institution of different channels of rights remedy and construct basic ideal, institutional formation, organizational framework and major technique of litigation and non-litigation remedy of rights of civil servants. Non-litigation remedy of rights of civil servants is rich in both connotation and extension, personnel management dispute settlement procedure and means except various litigations remedy ways, has functions of protection of rights of civil servants, administrative self-review and reducing burden of courts. From the perspective of administrative organs’charitable remedy and layers’remedy and independent department remedy and negotiable remedy, they have different characteristics and advantages respectively, appear characteristics of convenient, low cost, professional review and management relations harmonious in different degrees, and realize the harmonization of protection of rights of civil servants and effectiveness of organs’personnel management in remedy organizations, procedure and technique ultimately. Litigation remedy is common choice in system of rights remedy of civil servants in every country, in the aspects of basic ideal, main principles, scope of acceptance, standard and intensity of review and judging form, appears judicial organs’involvement and limitation of review of administrative organs’personnel management activities and protective remedy of rights of civil servants, reflects not only common demand of judicial review to administrative activities, but also inherent characteristics of remedy of rights of civil servants and promotion of public personnel management.Chapter 6 tells the re-construction of system of rights remedy of civil servants in China. As the conclusion of the dissertation, on the base of discussing social ecological environment and basic principles of construction of system of rights remedy of civil servants in China, in reference of achievements of trade off study, clarifies the main ideals and main principles, initiates the tentative plan of re-construction of system of rights remedy of civil servants in China. I comprehensively analyze historical environment and real condition of China’s personnel system. The perfection of system of rights remedy of civil servants is restricted by some structural elements. In order to re-construct the system of rights remedy of civil servants in China, the legal relations of civil servants must be clarified, and its key is formation of sound system of rights of civil servants and function of administrative organs’personnel management. In order to construct the system of rights remedy of civil servants in China, we must perfect regulatory system of rights of civil servants; substantiate non-litigation remedy system and mainly task on buildup fairness of non-litigation remedy and promotion of independence of non-litigation relief organization and establish and use relief resources of comparatively independent administrative organs and arbitrary organs; strengthen procedural construction of non-litigation relief resources; unseal institution of litigation remedy of civil servants and set the scope of litigation remedy by the principle of activeness and stability and establish means and standards of judicial supervision of personnel management activities by the principle of review of legitimacy and form judicial remedy judging manner which is conform with characteristics of personnel activities; establish system of relief organizations of rights of civil servants accord with China’s situation.更多还原