司法信任的二元结构及其中国涵义
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摘要
司法程序和司法结果对司法信任的影响是建设法治国家背景下一个亟待关注的重要议题。将警察和法官作为信任客体,将司法信任具体化为基于能力的信心和基于道德的信任,通过实证研究发现:一方面,民众虽然认可警察和法官的专业技能,但并不满意他们的职业道德和廉洁性,呈现出"虽有信心、却难信任"的二元结构。另一方面,虽然司法程序和司法结果均显著影响民众对警察和法官的评价,但司法结果是影响信心的关键变量,而司法程序则是影响信任的关键变量。司法信任二元结构微观理论表明,要切实增强民众的司法信任,不仅需要提升警察和法官的专业技能来提高司法案件的处理效率,更需要增强司法程序的公正性,避免不当或非法干预,全面落实司法问责制以及时惩戒、纠正警察和法官的道德失范行为。
The impact of judicial procedures and decisions on judicial trust is an important issue that needs urgent attention in the process of constructing the rule of law in China.This empirical study regards the police and judges as the objects of trust and divides judicial trust into confidence based on competence and trust based on morality,and finds out that,on the one hand,although people accept the professional skill of the police and judges,they are not satisfied with their professional ethics and integrity. This situation could be described as the dual structure of judicial trust,namely "having confidence but not trust". On the other hand,although both judicial procedures and decisions obviously influence the public evaluation of the police and judges,the latter is the key variable affecting confidence,while the former is the key variable affecting trust. The micro-theory of the dual structure of judicial trust indicates that,to enhance public trust in the police and judges,it is necessary not only to improve the competence of the police and judges and raise their case-handling efficiency,but,more importantly,also to enhance the impartiality of judicial procedure,avoid inappropriate or illegal interference,and implement in a comprehensive way the judicial accountability system,so as to punish and correct the moral misconducts of the police and judges in a timely manner.
The impact of judicial procedures and decisions on judicial trust is an important issue that needs urgent attention in the process of constructing the rule of law in China.This empirical study regards the police and judges as the objects of trust and divides judicial trust into confidence based on competence and trust based on morality,and finds out that,on the one hand,although people accept the professional skill of the police and judges,they are not satisfied with their professional ethics and integrity. This situation could be described as the dual structure of judicial trust,namely "having confidence but not trust". On the other hand,although both judicial procedures and decisions obviously influence the public evaluation of the police and judges,the latter is the key variable affecting confidence,while the former is the key variable affecting trust. The micro-theory of the dual structure of judicial trust indicates that,to enhance public trust in the police and judges,it is necessary not only to improve the competence of the police and judges and raise their case-handling efficiency,but,more importantly,also to enhance the impartiality of judicial procedure,avoid inappropriate or illegal interference,and implement in a comprehensive way the judicial accountability system,so as to punish and correct the moral misconducts of the police and judges in a timely manner.
引文
[1]Stephen P.Nicholson and Robert M.Howard,Framing Support for the Supreme Court in the Aftermath of Bush v.Gore,Vol.65,Issue 3,The Journal of Politics,678,2003.
[2]Tom R.Tyler,Why People Obey the Law,New Haven:Yale University Press,1990,p.13.
[3]George W.Dougherty et al.,Race and the Georgia Courts:Implications of the Georgia Public Trust and Confidence Survey for Batson v.Kentucky and Its Progeny,Vol.37,Issue 3,Georgia Law Review,1023,2003.
[4]参见刘能:《当代中国群体性事件:分类框架及其分析潜力》,载肖唐镖主编:《群体性事件研究》,学林出版社2011年版,第3-21页。
[5]相对于法官而言,本文将警察也作为司法信任客体,是一种宽泛理解。
[6]Margaret Levi and Laura Stoker,Political Trust and Trustworthiness,Vol.3,Issue 1,Annual Review of Political Science,480-481,2000.
[7]Bernard Barber,The Logic and Limits of Trust,New Brunswick,NJ:Rutgers University Press,1983,p.111.
[8]George W.Dougherty et al.,Evaluating Performance in State Judicial Institutions:Trust and Confidence in the Georgia Judicial,Vol.38,Issue 3,State and Local Government Review,177,2006.
[9]Gregory A.Cladeira and James Gibson,The Etiology of Public Support for the Supreme Court,Vol.36,Issue 3,American Journal of Political Science,638,1992.
[10]Edward L.Glaeser and Andrei Shleifer,Legal Origins,Vol.117,Issue 4,The Quarterly Journal of Economics,1211,2002.
[11]Susan M.Olson and David A.Huth,Explaining Public Attitudes toward Local Courts,Vol.20,Issue 1,Justice System Journal,45,1998.
[12]James A.Stimson et al.,Dynamic Representation,Vol.89,Issue 3,American Political Science Review,544,1995.
[13]Ludivine Roussey and Bruno Deffains,Trust in Judicial Institutions:An Empirical Approach,Vol.8,Issue 3,Journal of Institutional Economics,363-364,2012.
[14]Hilke W.Grootelaar and Kees van den Bos,How Litigants in Dutch Courtrooms Come to Trust Judges:The Role of Perceived Procedural Justice,Outcomes Favorability and Other Sociolegal Moderators,Vol.52,Issue 1,Law&Society Review,5,2018.
[15]Ezequiel González-Ocantos,Evaluating of Human Rights Trials and Trust in Judicial Institutions:Evidence from Fujimori’s Trial in Peru,Vol.20,Issue 4,The International Journal of Human Rights,460,2016.
[16]参见李峰:《司法信任的影响机制分析——基于上海数据的实证探讨》,《甘肃社会科学》2013年第6期,第140页。
[17]参见郭星华、郑日强:《司法信任的梯度与反梯度》,《江苏社会科学》2016年第5期,第95页。
[18]参见苏新建:《程序正义对司法信任的影响——基于主观程序正义的实证研究》,《环球法律评论》2014年第5期,第21页。
[19]参见朱志玲:《社会矛盾视野下司法信任的影响因素分析——基于九省九市数据的实证研究》,《长白学刊》2017年第4期,第87页。
[20]Cao Liqun and Charles Hou,A Comparison of Confidence in the Police in China and in the United States,Vol.29,Issue2,Journal of Criminal Justice,90,2001.
[21]Wu Yuning and Ivan Sun,Citizen Trust in Police:The Case of China,Vol.12,Issue 2,Police Quarterly,170,2009.
[22]Ivan Y.Sun et al.,Public Assessments of the Police in Rural and Urban China:A Theoretical Extension and Empirical Investigation,Vol.53,Issue 4,British Journal of Criminology,645,2013.
[23]参见李峰:《户籍、同期群及其与警察信任度的影响:基于上海数据的分析》,《社会学评论》2013年第6期,第81页。
[24]Wu Yuning et al.,Public Trust in the Chinese Police:The Impact of Ethnicity,Class and Hukou,Vol.49,Issue 2,Australian and New Zealand Journal of Criminology,180,2016.
[25]Jiang Shanhe et al.,Citizen’s Satisfaction with Police in Guangzhou,China,Vol.35,Issue 4,Policing:An International Journal of Police Strategies&Management,818-819,2012.
[26]Han Ziqiang et al.,Social Trust,Neighborhood Cohesion,and Public Trust in the Police in China,Vol.40,Issue 2,Policing:An International Journal of Police Strategies&Management,380,2017.
[27]参见王永杰、颜莹莹:《阶层认同与警察信任——基于全国性调查数据的分析》,《复旦公共行政评论》2015年第2期,第137页。
[28]参见胡荣:《中国人的政治效能感、政治参与和警察信任》,《社会学研究》2015年第1期,第93页。
[29]Ivan Sun et al.,Social Capital,Political Participation and Trust in the Police in Urban China,Vol.45,Issue 1,Australian and New Zealand Journal of Criminology,103-104,2012.
[30]Tom R.Tyler and Yuen J.Huo,Trust in the Law:Encouraging Public Cooperation with the Police and Courts,New York:Russell Sage Foundation,2002,p.12.
[31]Stacy G.Ulbig,Policies,Procedures,and People:Source of Support for Government?,Vol.83,Issue 3,Social Science Quarterly,790,2002.
[32]Hilke W.Grootelaar and Kees van den Bos,How Litigants in Dutch Courtrooms Come to Trust Judges:The Role of Perceived Procedural Justice,Outcomes Favorability and Other Sociolegal Moderators,Vol.52,Issue 1,Law&Society Review,7-8,2018.
[33]George W.Dougherty et al.,Evaluating Performance in State Judicial Institutions:Trust and Confidence in the Georgia Judicial,Vol.38,Issue 3,State and Local Government Review,180,2006.
[34]Paul Raymond,The Impact of a Televised Trial on Individuals’Information and Attitudes,Vol.75,Issue 4,Judicature,205,1992.
[35]本研究使用数据全部来自中国人民大学中国调查与数据中心主持之《中国综合社会调查(CGSS)》项目。该项目始于2003年,是中国最早的全国性、综合性、连续性的学术调查项目,每1-2年举行一次,CGSS2015为该项目最新一期数据。作者感谢该机构及其人员提供数据协助,本研究内容作者文责自负。
[36]参见[美]加里·T.亨利著:《实用抽样方法》,沈崇麟译,重庆大学出版社2008年版,第52页。
[37]参见风笑天:《社会调查中的无回答与样本替换》,《南京大学学报(哲学·人文科学·社会科学)》2010年第1期,第104页。
[38]由于“中度信任”区间难以根据数据明确界定,同时为了与“廉洁程度”变量操作化保持一致,因此,本文依据均值将信任程度操作化为“高信任”和“低信任”,对“专业技能”变量的操作化遵循同一逻辑。
[39]John A.Haley,The Japanese Judiciary:Maintaining Integrity,Autonomy and the Public Trust,No.05-10-01,Washington University School of Law Faculty Working Paper,7,2005.
[40]参见高学德、翟学伟:《政府信任的城乡比较》,《社会学研究》2013年第2期,第11页。
[41]Noreen Goldman et al.,Measuring Subjective Social Status:A Case Study of Taiwanese,Vol.21,Issue 1,Journal of Cross-Culture Gerontology,81,2006.
[42]参见程金华、吴晓刚:《社会阶层与民事纠纷的解决——转型时期中国的社会分化与法治发展》,《社会学研究》2010年第2期,第174-175页。
[43]参见卢海阳、郑逸芳、黄靖洋:《公共政策满意度与中央政府信任——基于中国16个城市的实证分析》,《中国行政管理》2016年第8期,第96页。
[2]Tom R.Tyler,Why People Obey the Law,New Haven:Yale University Press,1990,p.13.
[3]George W.Dougherty et al.,Race and the Georgia Courts:Implications of the Georgia Public Trust and Confidence Survey for Batson v.Kentucky and Its Progeny,Vol.37,Issue 3,Georgia Law Review,1023,2003.
[4]参见刘能:《当代中国群体性事件:分类框架及其分析潜力》,载肖唐镖主编:《群体性事件研究》,学林出版社2011年版,第3-21页。
[5]相对于法官而言,本文将警察也作为司法信任客体,是一种宽泛理解。
[6]Margaret Levi and Laura Stoker,Political Trust and Trustworthiness,Vol.3,Issue 1,Annual Review of Political Science,480-481,2000.
[7]Bernard Barber,The Logic and Limits of Trust,New Brunswick,NJ:Rutgers University Press,1983,p.111.
[8]George W.Dougherty et al.,Evaluating Performance in State Judicial Institutions:Trust and Confidence in the Georgia Judicial,Vol.38,Issue 3,State and Local Government Review,177,2006.
[9]Gregory A.Cladeira and James Gibson,The Etiology of Public Support for the Supreme Court,Vol.36,Issue 3,American Journal of Political Science,638,1992.
[10]Edward L.Glaeser and Andrei Shleifer,Legal Origins,Vol.117,Issue 4,The Quarterly Journal of Economics,1211,2002.
[11]Susan M.Olson and David A.Huth,Explaining Public Attitudes toward Local Courts,Vol.20,Issue 1,Justice System Journal,45,1998.
[12]James A.Stimson et al.,Dynamic Representation,Vol.89,Issue 3,American Political Science Review,544,1995.
[13]Ludivine Roussey and Bruno Deffains,Trust in Judicial Institutions:An Empirical Approach,Vol.8,Issue 3,Journal of Institutional Economics,363-364,2012.
[14]Hilke W.Grootelaar and Kees van den Bos,How Litigants in Dutch Courtrooms Come to Trust Judges:The Role of Perceived Procedural Justice,Outcomes Favorability and Other Sociolegal Moderators,Vol.52,Issue 1,Law&Society Review,5,2018.
[15]Ezequiel González-Ocantos,Evaluating of Human Rights Trials and Trust in Judicial Institutions:Evidence from Fujimori’s Trial in Peru,Vol.20,Issue 4,The International Journal of Human Rights,460,2016.
[16]参见李峰:《司法信任的影响机制分析——基于上海数据的实证探讨》,《甘肃社会科学》2013年第6期,第140页。
[17]参见郭星华、郑日强:《司法信任的梯度与反梯度》,《江苏社会科学》2016年第5期,第95页。
[18]参见苏新建:《程序正义对司法信任的影响——基于主观程序正义的实证研究》,《环球法律评论》2014年第5期,第21页。
[19]参见朱志玲:《社会矛盾视野下司法信任的影响因素分析——基于九省九市数据的实证研究》,《长白学刊》2017年第4期,第87页。
[20]Cao Liqun and Charles Hou,A Comparison of Confidence in the Police in China and in the United States,Vol.29,Issue2,Journal of Criminal Justice,90,2001.
[21]Wu Yuning and Ivan Sun,Citizen Trust in Police:The Case of China,Vol.12,Issue 2,Police Quarterly,170,2009.
[22]Ivan Y.Sun et al.,Public Assessments of the Police in Rural and Urban China:A Theoretical Extension and Empirical Investigation,Vol.53,Issue 4,British Journal of Criminology,645,2013.
[23]参见李峰:《户籍、同期群及其与警察信任度的影响:基于上海数据的分析》,《社会学评论》2013年第6期,第81页。
[24]Wu Yuning et al.,Public Trust in the Chinese Police:The Impact of Ethnicity,Class and Hukou,Vol.49,Issue 2,Australian and New Zealand Journal of Criminology,180,2016.
[25]Jiang Shanhe et al.,Citizen’s Satisfaction with Police in Guangzhou,China,Vol.35,Issue 4,Policing:An International Journal of Police Strategies&Management,818-819,2012.
[26]Han Ziqiang et al.,Social Trust,Neighborhood Cohesion,and Public Trust in the Police in China,Vol.40,Issue 2,Policing:An International Journal of Police Strategies&Management,380,2017.
[27]参见王永杰、颜莹莹:《阶层认同与警察信任——基于全国性调查数据的分析》,《复旦公共行政评论》2015年第2期,第137页。
[28]参见胡荣:《中国人的政治效能感、政治参与和警察信任》,《社会学研究》2015年第1期,第93页。
[29]Ivan Sun et al.,Social Capital,Political Participation and Trust in the Police in Urban China,Vol.45,Issue 1,Australian and New Zealand Journal of Criminology,103-104,2012.
[30]Tom R.Tyler and Yuen J.Huo,Trust in the Law:Encouraging Public Cooperation with the Police and Courts,New York:Russell Sage Foundation,2002,p.12.
[31]Stacy G.Ulbig,Policies,Procedures,and People:Source of Support for Government?,Vol.83,Issue 3,Social Science Quarterly,790,2002.
[32]Hilke W.Grootelaar and Kees van den Bos,How Litigants in Dutch Courtrooms Come to Trust Judges:The Role of Perceived Procedural Justice,Outcomes Favorability and Other Sociolegal Moderators,Vol.52,Issue 1,Law&Society Review,7-8,2018.
[33]George W.Dougherty et al.,Evaluating Performance in State Judicial Institutions:Trust and Confidence in the Georgia Judicial,Vol.38,Issue 3,State and Local Government Review,180,2006.
[34]Paul Raymond,The Impact of a Televised Trial on Individuals’Information and Attitudes,Vol.75,Issue 4,Judicature,205,1992.
[35]本研究使用数据全部来自中国人民大学中国调查与数据中心主持之《中国综合社会调查(CGSS)》项目。该项目始于2003年,是中国最早的全国性、综合性、连续性的学术调查项目,每1-2年举行一次,CGSS2015为该项目最新一期数据。作者感谢该机构及其人员提供数据协助,本研究内容作者文责自负。
[36]参见[美]加里·T.亨利著:《实用抽样方法》,沈崇麟译,重庆大学出版社2008年版,第52页。
[37]参见风笑天:《社会调查中的无回答与样本替换》,《南京大学学报(哲学·人文科学·社会科学)》2010年第1期,第104页。
[38]由于“中度信任”区间难以根据数据明确界定,同时为了与“廉洁程度”变量操作化保持一致,因此,本文依据均值将信任程度操作化为“高信任”和“低信任”,对“专业技能”变量的操作化遵循同一逻辑。
[39]John A.Haley,The Japanese Judiciary:Maintaining Integrity,Autonomy and the Public Trust,No.05-10-01,Washington University School of Law Faculty Working Paper,7,2005.
[40]参见高学德、翟学伟:《政府信任的城乡比较》,《社会学研究》2013年第2期,第11页。
[41]Noreen Goldman et al.,Measuring Subjective Social Status:A Case Study of Taiwanese,Vol.21,Issue 1,Journal of Cross-Culture Gerontology,81,2006.
[42]参见程金华、吴晓刚:《社会阶层与民事纠纷的解决——转型时期中国的社会分化与法治发展》,《社会学研究》2010年第2期,第174-175页。
[43]参见卢海阳、郑逸芳、黄靖洋:《公共政策满意度与中央政府信任——基于中国16个城市的实证分析》,《中国行政管理》2016年第8期,第96页。