中国法院改革:职业化与官僚化组织特征比较之研究

Court Reform in China: A Comparative Study of Features between Professional and Bureaucratic Organizations

党的十八届三中全会和四中全会分别审议通过了《中共中央关于全面深化改革若干重大问题的决定》和《中共中央关于全面推进依法治国若干重大问题的决定》。两个《决定》都为提升法官独立作出了努力。如何实现法官独立,更为深层次问题在于如何实现法官的职业化。然而法官行业职业化的研究不能脱离了法院组织的官僚化的背景加以探讨,官僚化倾向对职业化改造和法官独立有着深远影响。为此,文章以职业官僚组织理论为视角,探讨了我国具有职业化特征的法官在官僚化法院里工作的时候,职业化倾向与官僚化倾向在司法决策制定、审判责任承担、职位晋升和权威来源等四方面的差异,揭示了职业化与官僚化这两种组织模式在对职业精神的要求、非正式调控机制的态度、职业共同体的强调和组织结构的设计等基础条件上的不同,最后提出法院分阶段改革的建议。

The Third and Fourth Plenary Sessions of the 18 th Central Committee of the Chinese Communist Party have adopted the Decision of the Central Committee of the Communist Party of China on Some Major Issues Concerning Comprehensively Deepening the Reform and Decision of the Central Committee of the Communist Party of China on Major Issues Pertaining to Comprehensively Promoting the Rule of Law respectively. The intention of these two Decisions is to promote the independence of judges. In order to promote the independence of judges,professionalization efforts should be made. However,professionalization should be discussed against the bureaucratic context of the courts. This is because bureaucratization has far-reaching impacts on the professionalization and independence of judges. In this paper,the professional bureaucracy theory is used to explore the conflicts and relationship between the professionalization and bureaucratization of Chinese professional judges in the bureaucratic courts in four areas： judicial decision making,judicial accountability,promotion and authority. Different underlying conditions for professionalization and bureaucratization are found,including different attitudes towards organizational members,requirements of informal controlling mechanisms,emphasis of self- governance units,and the design of the organizational structure. Finally,the study provides step- by- step reform suggestions.