【作者】 李卫华；

【导师】 肖金明；

【作者基本信息】 山东大学 ， 法学理论， 2008， 博士

【摘要】 本研究的基本进路是提出问题——分析问题——解决问题。其中导论部分集中阐述问题的由来及其研究思路,第一章至第四章分别从四个方面展开,具体分析问题,第五章则集中阐明研究的结论。首先,提出问题是本项研究导论部分的主要任务。任何一个学术问题的生成都有特定的时代动因、理论冲动和制度依归,本项研究也当然遵循了这种基本的逻辑进路。其一,促使本文将研究焦点定位在行政参与主体问题的主要时代动因,是日益具有广泛性和普遍性的行政参与实践。这种具有民间自发性和社会内生性的参与实践,既给行政机关履行职能提供了发挥自主性、创造性和积极性的空间,也带来了前所未有的挑战和压力。于是,行政机关既积极回应公民参与的需求又惟恐触动自身权威地位的矛盾态度,客观上构成了公民参与运动的障碍,同时也对理论和制度的发展提出了迫切的需求。其二,促使本项选题生成的基本理论冲动是完善行政法主体理论,论证私人的行政法主体地位的正当性和法律意义。无论是我国传统的法律文化还是现代行政法学,都将行政主体作为研究的重心和基点。但是,无论是从公民参与的实践层面理解,还是从法律关系的理论层面理解,行政法关系都不可能仅由行政主体一方形成和支撑,必然存在着对方主体。而作为对方的私人主体有哪些、如何认定、法律地位如何、公众作为对方主体时又如何行使参与权等问题,就成为行政法律关系理论、乃至国家与社会、政府与私人关系理论完善的重要内容。其三,作为本项选题论证目标的制度形态,是行政程序法的参与主体制度,包括主体资格、权利制度和对应义务制度等。这些制度的完善与否,直接影响到私人主体地位的实现和行政参与的有效性。其次,分析问题是本项研究第一至四章的基本任务。第一章行政参与的理论分析,主要研究行政参与的基本内涵、理论渊源和对行政过程的影响。所谓行政参与,是指受行政权力影响的利害关系人参与到行政过程中,通过陈述意见、表达利益诉求以期影响行政决定、维护自己正当权益的活动,由主体、客体、方式、目标等多项要素构成。对于行政参与的理论渊源,可以从哲学、法理和宪政三个视角进行分析。人的主体性,阐明了私人作为行政参与主体的哲学根据;自然正义原则,表明受到行政行为影响的私人在行政过程中获得利益表达和被倾听的机会,是法治的必然追求;人民主权观念,作为近代宪法的基本原则和目标价值,是私人参与行政的最高法律依据。参与对行政过程的影响,也就是参与行政比较管理行政所表现的基本特征,主要有:交互性、衡平性、公共性、法律性等。第二章从参与主体视角分析了行政参与的多元形态。私人对行政过程的参与,既有以个体形式的参与,也有以临时纠集的群体形式的参与,还有以具有较强目的性和自治性的组织形式的参与。以何种形式参与,既取决于行政过程的利害关系人的存在样态,也取决于参与主体希冀维护的利益的属性,有时也与文化、制度等有一定的关系。不同的参与形态,在效果、广泛性等方面,都各有优劣之处。因而,行政法应当保障和规范各种形态的行政参与,确保私人参与的效益最大化。第三章集中分析了不同参与主体的法律地位。各国行政程序法的立法模式和表述方式虽有所不同,但在保障行政参与主体地位的规定方面、区分不同的参与主体等方面仍具有诸多共通之处。根据私人与行政过程利害关系的不同,其在行政法律关系中的主体地位主要有两种表现形式:行政相对人和行政相关人。所谓行政相对人,是指参与行政法律关系、与行政主体的职权职责具有对应的权利和义务、行政主体主观意思表示所指向或拟指向的个人与组织。所谓行政相关人,是指参与到业已发生的行政法律关系中、与行政行为有法律上利害关系、其正当权益在客观上受到行政行为影响的个人与组织。行政相对人与相关人同属于行政参与主体,与行政主体具有对应主体性;但两者在行政过程中的地位又有所区别。第四章主要研究行政参与权的性质、内容和作用机制。行政参与权利是政治权利,从中可以看出行政参与和政治参与的内在关联性;行政参与权利是公法权利,因而其保障和实现都具有不同于私法权利的公法特色;行政参与权是程序性权利,其实现依赖于行政程序法制的健全。依据参与权在行政过程的不同阶段对权利主体的不同意义、对行政主体产生的不同程序义务、以及对行政过程产生的不同推动作用为主线,行政参与权利就包括发起权、知情权、表达权、获平等对待权、防御权等内容。行政权力通过确认、保障、剥夺、限制等方式对私人权利发生影响:私人也要对行政权力发挥作用,以保障自己的合法权益;行政法律制度的目的就在于建立行政权力与公民权利的这种平衡互动机制。具体来讲,行政参与权对行政权力的作用机制可归纳为三个方面:参与与配合、监督与制约、抗辩与申诉。最后,论证解决问题的制度归属是本项研究第五章的主要内容。私人参与行政过程的主体地位,有赖行政法制度的保障。首先,保障私人参与行政过程的主体资格。所有利害关系人都应当获得参与行政的机会;当利害关系人为多数人时,共同代理人制度能够保障参与的效率;当利害关系人为普遍的社会公众时,公益代表人制度能够保障参与的有效性;当利害关系人认为自己的正当权益在行政过程中受到损害时,起诉资格制度能够保障其获得有效的救济。其次,法制应当保障私人参与行政过程的权利,通过权利宣示、规范转化和有效的公力救济保障参与权利的充分实现。最后,建立行政主体对应义务的制度规范。私人对行政过程的参与实质上是一个在法制框架下与行政主体交互作用的过程,其参与主体地位的实现,当然有赖行政主体法律义务的确立和履行。对应于参与主体的参与权利,行政主体应当负有相应的程序义务,主要包括答复义务、公开义务、听证义务、平等对待义务、答辩义务等。这些义务的履行,依赖于行政法制度的明示、相应程序制度的规范以及责任制度的约束。更多还原

【Abstract】 The basic train of thought of this research is "raising the questions, analyzing the questions, and solving the questions". The Introduction part focuses on the origins of the questions and the main research ideas; from Chapter One to Chapter Four it analyzes specific questions from four different aspects; Chapter Five sets forth the conclusion of this thesis.First, the main task of the Introduction part is to raise the questions of this research.Any academic question can not be separated from their specific age contexts, theoretical impulses or institutional aims. This fundamental logical route is also followed in this research. First, the main age causes of focusing on administrative participating subjects in this research are the administrative participation practice which is more and more widespread and general. The participation practice, which is both folk-spontaneous and society-inherent, provides the opportunity for the administrative department to exert autonomy, creativity and initiative in performing its functions as well as brings about unprecedented challenges and pressure. Therefore, on the one hand, the administrative department responds to citizens’ administrative participation need actively; on the other hand, it fears the challenge of its authoritarian status. These conflicting attitudes constitute objective barriers for citizens’ administrative participation, and put forward urgent need for the development of theories and institutions at the same time. Secondly, the fundamental theoretical impulses of choosing this research are to perfect theories on administrative law subjects, and to argue the legitimacy and legal significance of private persons’ administrative law subject status. Administrative subjects are the focus and starting point in both Chinese traditional legal culture and modern administrative law. However, whether from the viewpoint of citizens’ administrative participation practice or from the theoretical point of view of legal relationship, administrative relationships can not be formed or maintained only by the administrative subject and there must be an opposite part. Therefore, questions such as which private subjects can be the opposite parties, how to identify, what their legal statuses are, and how the citizens exert their participation rights, have become the important content of administrative legal relationship theories and theories on the relationship between the state and the society and between the government and private persons. Thirdly, the institutional form as the aim of argumentation in this research is the participating subject system in the administrative procedural law, which includes the institutions of qualifications, rights of subjects and correspondent obligations, etc. The perfection of these systems is directly relevant to the realization of private persons’ subject status and the effectiveness of their administrative participation.Secondly, from Chapter One to Chapter Four the main task is to analyze the questions.Chapter One analyzes the theories of administrative participation with the focus on the fundamental meaning and theoretical origins of administrative participation and the effect of it on administrative processes. Administrative participation means that interested parties who are affected by the administrative power take part in the administrative process with the hope of influencing the administrative decision-making and maintaining their legitimate rights and interests by stating their opinions and their appeals to interests. It is constituted by many elements such as subject, object, method and aim. As to the theoretical origins of administrative participation, it can be analyzed from three perspectives. Human being is the subject, and this is the philosophical foundation for private persons to become administrative participation subjects; natural justice indicates that it is the inevitable pursuit of the rule of law for private persons who are affected by administrative acts to have the opportunity to express their interests and to be listened attentively to; people sovereignty which is the fundamental principle and value goal of modern constitution, is the most important legal basis of private persons’ administrative participation. The impact of administrative participation upon administrative processes is embodied by the fundamental features of participation administration in comparison to management administration: qualities of being interactive, in balance, public, and legal.Chapter two illustrates the plural forms of private persons’ administrative participation processes. Private persons participate in the administrative process in the forms of individuals, temporary groups, or organizations which have stronger objectives and autonomy. The choice of different forms depend on the form of interested parties in the administrative process and the nature of the interests that the participating subjects want to maintain; sometimes, it is relevant to culture and institutions. All of the above forms have both advantages and disadvantages in the effectiveness and extensiveness of administrative participation. Therefore, the administrative law should guarantee the participation of all the interested parties and the interest maximization of administrative participation.Chapter Three elaborates the legal statuses of different participating subjects. Although the legislative modes and ways of expression are different in administrative procedural laws of different countries, there are still many common points in guaranteeing the statuses of administrative participating subjects and in discriminating different kinds of participating subjects. According to private persons’ different interests in the administrative process, there are mainly two types of subject statuses in the administrative legal relationship: private parties and administrative interested persons. Private parties are individuals or organizations that participate in administrative legal relationships, have rights and obligations corresponding to the administrative subject’s powers and duties, and are directed to or are intended to be directed to by the subjective intention of the administrative subject. Administrative interested persons refer to individuals or organizations that take part in an already-established administrative legal relationship, have legal interests in the administrative acts, and whose legitimate rights and interests are affected by the administrative acts. Both of them are administrative participating subjects and are corresponding to the administrative subjects while they have different statuses in the administrative process.Chapter Four expounds the nature, content and functioning mechanism of administrative participation rights. Administrative participation right is a political right, from which we can see the inherent relevance between administrative participation and political participation; administrative participation right is a right in public law, therefore, its guarantee and realization are characteristic of public law, which is different from private law rights; administrative participation right is a procedural right and its realization depends on the perfection of administrative procedural laws. At the different phases of the administrative process, administrative participation right has different meanings to the right subject, leads to different procedural obligations of the administrative subjects, and has different driving effects to the administrative process. Accordingly, administrative participation right can be divided into the right of initiation, the right to know, the right of expression, the right of being equally treated, the right of defense and so on. Administrative power exerts its effect on private rights through ways of affirming, guaranteeing, depriving, restricting and so on; in order to protect their legitimate rights and interests, private parties also exert an influence on the administrative power. The objective of administrative laws is to establish this kind of mechanism in which administrative power and citizen rights are interactive and in balance. To be specific, the functioning mechanism of administrative participation right to administrative power can be concluded into three aspects: participation and cooperation, supervision and restraint, and defense and appeal.At last, Chapter Five clarifies the conclusion of this research.Private persons’ subject status in the administrative process depends on the guarantee of institutions. First, the subject qualifications of private persons in the administrative process should be guaranteed. All interested parties should get the opportunity to participate in the administrative process; the institution of common agent can guarantee the efficiency of participation when the interested parties constitute a majority; the institution of public representatives can guarantee the effectiveness of participation when the interested parties are the common, general people; the institution of litigation qualifications can guarantee effective remedies when interested parties thought that their legitimate rights and interests are damaged in an administrative process. Secondly, the right of private parties to participate into administrative processes should be guaranteed by the law and fully realized through right declaration, norm transformation and effective public remedies. At last, the institutional norms of administrative subjects’ correspondent obligations should be established. Private parties’ participation into administrative processes is essentially an interactive process with the administrative subjects within the legal framework. The realization of their participation right depends on the establishment and performance of legal obligations by the administrative subjects. Corresponding to the participating subjects’ rights, the administrative subject has procedural duties which mainly include the duties of answering, publicity, hearing, equal treatment and defending. The performance of the above duties depends on the express stipulation of the administrative laws, the specification of corresponding procedural systems and the restraint of responsibility institutions.更多还原