国外民事登记制度及其对我国户籍制度改革的启示
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摘要
当前,我国正在逐步推进户籍制度改革,系统研究国外民事登记制度对推进改革具有重要的理论意义和实践价值。本文采用文献集成法、比较研究法、问题导向法、实证分析与规范分析结合法,基于理论探索和实践分析两条思路,对世界各地不同发展时期的民事登记制度进行了系统研究。
全文主要分为三大部分,理论基础部分为第一章,主要闸明选题意义、回顾已有研究、梳理理论意涵并提出问题,实证分析部分为第二至第五章,第三部分为总结与提升。首先,本文系统梳理了国外不同制度类型和不同发展阶段国家的民事登记制度,总结民事登记制度在各国的社会管理功能和基本运作模式,以及在制度转型过程中发生的变化,并对与我国有历史可比性和现实可比性的国家(地区)的民事登记制度进行深入探讨;在此基础上,文章从立法建设与立法主义、身份制、人口登记与统计、迁移与居住许可、社会管理的实现途径等方面对国外民事登记制度与我国户籍制度进行对比分析;最后,从理论和实践两方面提出国外民事登记制度对我国户籍制度及其改革的启示意义。
通过国外民事登记制度的实证研究,得到如下结论:
(一)与国外民事登记制度相比:
我国户籍管理立法建设滞后,户籍身份事项管理采取“属人主义”而区别于国外普遍实行的“属地主义”;国外的现代民事登记管理并不存在身份上的不平等,而当代中国的户籍身份仍具有等级性和世袭性,与种姓制度等现代身份制度有着本质的区别的是当代中国的户籍身份制并不具有阶级对抗性;因经济发展水平不同及制度设计差异,世界各国民事登记内容的繁简程度不同,我国采取以家庭为单位的户籍登记方式,区别于西方国家普遍采取的以人为单位的登记方式,这种登记方式差异的实际效应更体现在人口信息的获取与动态统计上,我国户籍登记的常规人口统计手段已经越来越难以反映真实的人口变动信息;我国公民基本可以实现居住地的自由选择,但尚未实现户籍迁移、法律意义上的迁徙自由,户籍迁移实行事前许可制,与国际惯例不符;就社会管理的实现途径而言,我国户籍制度与国外的差别主要体现在信息化程度较低、管制性较为明显。
(二)从国外民事登记制度看我国户籍制度及其改革:
第一,户籍制度在不同地区和不同历史时期以不同的形式和强度存在着,它既不是计划经济的产物,也非中国所特有。将世界各地的户籍制度置于宏观的历史背景下进行考察,可以发现,户籍制度的功能变迁具有鲜明的时代特点,而当前中国的户籍制度仍具有“封建时代”的属性。因此,对中国户籍制度不能存有太多偏见,而应历史地评价它的功能和功过,制度本身不应成为备受责难的对象,必须避免形成将中国户籍制度过度“特例化”的倾向。
第二,当代中国户籍制度既延承和变通了传统户籍制度的等级性、世袭性,以及社会治安与人口统计合一的功能,又具有相当程度的“苏联元素”。其中,制度基础由家庭关系转变为劳动关系是中国户籍制度对苏联制度的最大借鉴,招生录取、国企招工录用、工作调动、参军这几条户口身份转换途径无一不体现着正式的劳动关系。
第三,户籍制度并不必然导致社会排斥。当代中国户籍排斥与国外种姓排斥、种族排斥、经济排斥、政治排斥存在明显差异,不同类型的社会排斥对各国的城市化进程和经济发展也有着显著不同的影响。
第四,移民的冲击逐渐模糊着身份的制度界线,但这并不代表真正的身份意义的消失,原住民的身份价值是长期存在的,移民的进入并不会降低原住民的身份价值,移民只有试图提高自己的身份才能与原住民平等圣诞、融合,但这是一个长期的过程,甚至需要将希望寄托在下一代人的身上。尤其在中国存在户籍显性约束的条件下,流动人口的城市融合过程会更慢,时间要求也更长。
第五,流动人口的非永久性迁移是工业化和城市化进程中一种普遍、必然的现象,绝非依附于户籍制度、通行证制度之类的具有限制人口迁移功能的制度实体而存在,虽然流动人口的非永久性迁移在我国因户籍制度的存在被进一步强化,但必须客观认识户籍制度改节在促进人口迁移和城市化方面的有限作用。
第六,中国户籍制度改革应该与城市化进程相关联,在快速城市化阶段应该适当保持户籍制度的身份功能,让户籍制度为城市化进程的稳定性服务,但在这个过程中,户籍制度的身份功能一定要慢慢淡化。
第七,在农村基本社会保障尚不健全的条件下,土地是流动人口的基本生活保障和最后防线,户籍制度改革过程中针对农地制度的设计应充分尊重流动人口的利益、意愿和选择,以避免重蹈拉美覆辙。
第八,推进户籍管理立法,逐步完善人口登记与管理体制,向以人为主的动态管理转变,分时期、按步骤建立人口管理信息系统,短期内可尝试人口定点追踪获取区域人口信息。
At present,China is gradually advancing the reform of hukou system,in this context, conducting a systematic research on foreign civil registration system has an important theoretical and practical value of carrying forward the reform of hukou system.For object of studying foreign civil registration system,based on the two thoughts of practical analysis and theoretical study,the thesis carries out a systematic research on foreign civil registration system in different period of development around the world by using the method of literature integration,comparative study,problem-based research,and combining empirical analysis and normative analysis.
The whole study can be divided into three parts:the first part is chapter one,which includes theoretical reviews,mainly pointing out significance of the present study, looking back to previous relevant studies,carding theoretical implications and addressing theory-based questions;the second part,including contents from chapter two to chapter five,is mainly positive analysis;the third part is chapter six and chapter seven,which includes main conclusions of the present study and future expects of elevation.First of all, the foreign civil registration system of countries with different regime types and development stage is sorting out systematically,summing up the social management functions and the basic mode of operation,as well as the new changes in the process of system transition,investigating the civil registration system of countries and regions which have comparability with our history and reality in depth.Then,the paper conducts a comparative analysis of foreign civil registration system and China's hukou system from aspects from legislation building and legislation method,identity system, population registration and statistics,migration and residence permits,realization means of social management.Finally,the paper put forwards the enlightenment of foreign civil registration system to pushing on the reform of China's hukou system from both theoretical and practical aspects.
Through the empirical study on foreign civil system,the main conclusions are as follows:
(一) Compared to foreign civil registration system:
Backwardness of legislation Management,China's household registration management is a matter of "personal principle",different with the widespread use of the "territorial principle" abroad.Foreign civil status registration and management does not exist inequality,and the identity of China's household registration,with hierarchical and hereditary,but the household registration system in contemporary China is not confrontational with the class,such as the caste system and the capacity of the system is essentially the modern distinction.Due to the level of economic development and institutional design differences,the content of all countries in the world of civil registration in different degree,China's adoption of a family household registration,from the western world have taken to the registration of the way man-made units,such registration the actual effect of the difference even more apparent in the population with access to information on vital statistics,China's household registration means registration of conventional demographic has become increasingly difficult to reflect the demographic changes in the real information.Chinese citizens can achieve the basic freedom to choose place of residence,but has not yet achieve the legal sense of the freedom of movement,migration of the implementation of prior residence permit system is inconsistent with foreign practices.On the way to the realization of social management, the difference with foreign countries mainly in the lower level of information and the more obvious control.
(二) Investigating China's hukou system and its reform from foreign civil registration system:
First,the household registration system exists in the different regions and historical periods by different forms and intensity.It is neither a product of the planned economy, nor unique to China.If we make a investigation of the world's household registration system in the context of macro-history,it can be found that the change of functions of household registration system has distinct characteristics of the times,while China's hukou system is also with a "feudal property ".There fore,there must not be so much prejudice against China's hukou system,and it should be evaluated merits and demerits of its functions historically.The system itself should not become the object of strong criticism,and we must avoid the excessive tendency of thinking of China's hukou system as a "special case".
Second,the contemporary China's hukou system extends and adapts the hierarchy and hereditary of the traditional one.as well as the function of unity of social order and demographics,and it also has a considerable degree of "elements of the Soviet Union",in which the change of the institutional basis of the China's hukou system from family relationships to labor relations which are embodied officially in the conversions of household registration and status,such as school enrollment,state-owned enterprises" recruitment,occupation mobility,joining the army,is the largest reference from the Soviet Union.
Third,the hukou system does not necessarily lead to social exclusion.There are significant differences exist between China's hukou exclusion and foreign caste exclusion, racial exclusion,economic exclusion,and political exclusion.Different types of social exclusion also have a significantly different impact on the process of urbanization and economic development.
Fourth,the impact of migration gradually blurs the system boundaries of the identity, but this does not mean that the real significance of the identity has disappeared.As the identity value of the indigenous people has existed for a long term value,the entry of migrants will not reduce it.Migrants can make a dialogue with the indigenous people on an equal footing only by attempting to improve their status.This is a very long process, even needing for the next generation to complete.In particular,the hukou system in China,there is bound under the conditions of dominance,the floating population of urban integration process will be slower,and the time required is longer.
Fifth,the non-permanent migration of floating population is a universal,natural phenomenon in the process of industrialization and urbanization.It exists without the dependence on the household registration system or passport system which is a system entity that has the effect of limiting population movements.Although the non-permanent migration of floating population has been further strengthened due to the presence of the hukou system in China,there must be an objective understanding of the limited role of the hukou system reform in the promotion of population migration and urbanization.
Sixth,China's hukou system reform should be associated with the urbanization process,under the stage of rapid urbanization,the hukou system should be appropriate to maintain the function of identity,in order to facilitate the smooth transition of urbanization.But the identity function of hukou system must be slowly watered down.
Seventh,as the basic social security in rural areas is not in sound conditions, agricultural land becomes the basic livelihood guarantee and the last line of defense for the floating population.In the process of the reform of hukou system,the design of the agricultural land system should be fully respected the interests and wishes and choices of the floating population,in order to avoid the mistakes made in Latin America.
Eighth,it promotes the legislation of the household registration management,and gradually improves the population registration and management system,changes to the people-oriented dynamic management,and respectively establishes the population management information system step by step.In short-term,tries to get regional population information by fix-point track method.
全文主要分为三大部分,理论基础部分为第一章,主要闸明选题意义、回顾已有研究、梳理理论意涵并提出问题,实证分析部分为第二至第五章,第三部分为总结与提升。首先,本文系统梳理了国外不同制度类型和不同发展阶段国家的民事登记制度,总结民事登记制度在各国的社会管理功能和基本运作模式,以及在制度转型过程中发生的变化,并对与我国有历史可比性和现实可比性的国家(地区)的民事登记制度进行深入探讨;在此基础上,文章从立法建设与立法主义、身份制、人口登记与统计、迁移与居住许可、社会管理的实现途径等方面对国外民事登记制度与我国户籍制度进行对比分析;最后,从理论和实践两方面提出国外民事登记制度对我国户籍制度及其改革的启示意义。
通过国外民事登记制度的实证研究,得到如下结论:
(一)与国外民事登记制度相比:
我国户籍管理立法建设滞后,户籍身份事项管理采取“属人主义”而区别于国外普遍实行的“属地主义”;国外的现代民事登记管理并不存在身份上的不平等,而当代中国的户籍身份仍具有等级性和世袭性,与种姓制度等现代身份制度有着本质的区别的是当代中国的户籍身份制并不具有阶级对抗性;因经济发展水平不同及制度设计差异,世界各国民事登记内容的繁简程度不同,我国采取以家庭为单位的户籍登记方式,区别于西方国家普遍采取的以人为单位的登记方式,这种登记方式差异的实际效应更体现在人口信息的获取与动态统计上,我国户籍登记的常规人口统计手段已经越来越难以反映真实的人口变动信息;我国公民基本可以实现居住地的自由选择,但尚未实现户籍迁移、法律意义上的迁徙自由,户籍迁移实行事前许可制,与国际惯例不符;就社会管理的实现途径而言,我国户籍制度与国外的差别主要体现在信息化程度较低、管制性较为明显。
(二)从国外民事登记制度看我国户籍制度及其改革:
第一,户籍制度在不同地区和不同历史时期以不同的形式和强度存在着,它既不是计划经济的产物,也非中国所特有。将世界各地的户籍制度置于宏观的历史背景下进行考察,可以发现,户籍制度的功能变迁具有鲜明的时代特点,而当前中国的户籍制度仍具有“封建时代”的属性。因此,对中国户籍制度不能存有太多偏见,而应历史地评价它的功能和功过,制度本身不应成为备受责难的对象,必须避免形成将中国户籍制度过度“特例化”的倾向。
第二,当代中国户籍制度既延承和变通了传统户籍制度的等级性、世袭性,以及社会治安与人口统计合一的功能,又具有相当程度的“苏联元素”。其中,制度基础由家庭关系转变为劳动关系是中国户籍制度对苏联制度的最大借鉴,招生录取、国企招工录用、工作调动、参军这几条户口身份转换途径无一不体现着正式的劳动关系。
第三,户籍制度并不必然导致社会排斥。当代中国户籍排斥与国外种姓排斥、种族排斥、经济排斥、政治排斥存在明显差异,不同类型的社会排斥对各国的城市化进程和经济发展也有着显著不同的影响。
第四,移民的冲击逐渐模糊着身份的制度界线,但这并不代表真正的身份意义的消失,原住民的身份价值是长期存在的,移民的进入并不会降低原住民的身份价值,移民只有试图提高自己的身份才能与原住民平等圣诞、融合,但这是一个长期的过程,甚至需要将希望寄托在下一代人的身上。尤其在中国存在户籍显性约束的条件下,流动人口的城市融合过程会更慢,时间要求也更长。
第五,流动人口的非永久性迁移是工业化和城市化进程中一种普遍、必然的现象,绝非依附于户籍制度、通行证制度之类的具有限制人口迁移功能的制度实体而存在,虽然流动人口的非永久性迁移在我国因户籍制度的存在被进一步强化,但必须客观认识户籍制度改节在促进人口迁移和城市化方面的有限作用。
第六,中国户籍制度改革应该与城市化进程相关联,在快速城市化阶段应该适当保持户籍制度的身份功能,让户籍制度为城市化进程的稳定性服务,但在这个过程中,户籍制度的身份功能一定要慢慢淡化。
第七,在农村基本社会保障尚不健全的条件下,土地是流动人口的基本生活保障和最后防线,户籍制度改革过程中针对农地制度的设计应充分尊重流动人口的利益、意愿和选择,以避免重蹈拉美覆辙。
第八,推进户籍管理立法,逐步完善人口登记与管理体制,向以人为主的动态管理转变,分时期、按步骤建立人口管理信息系统,短期内可尝试人口定点追踪获取区域人口信息。
At present,China is gradually advancing the reform of hukou system,in this context, conducting a systematic research on foreign civil registration system has an important theoretical and practical value of carrying forward the reform of hukou system.For object of studying foreign civil registration system,based on the two thoughts of practical analysis and theoretical study,the thesis carries out a systematic research on foreign civil registration system in different period of development around the world by using the method of literature integration,comparative study,problem-based research,and combining empirical analysis and normative analysis.
The whole study can be divided into three parts:the first part is chapter one,which includes theoretical reviews,mainly pointing out significance of the present study, looking back to previous relevant studies,carding theoretical implications and addressing theory-based questions;the second part,including contents from chapter two to chapter five,is mainly positive analysis;the third part is chapter six and chapter seven,which includes main conclusions of the present study and future expects of elevation.First of all, the foreign civil registration system of countries with different regime types and development stage is sorting out systematically,summing up the social management functions and the basic mode of operation,as well as the new changes in the process of system transition,investigating the civil registration system of countries and regions which have comparability with our history and reality in depth.Then,the paper conducts a comparative analysis of foreign civil registration system and China's hukou system from aspects from legislation building and legislation method,identity system, population registration and statistics,migration and residence permits,realization means of social management.Finally,the paper put forwards the enlightenment of foreign civil registration system to pushing on the reform of China's hukou system from both theoretical and practical aspects.
Through the empirical study on foreign civil system,the main conclusions are as follows:
(一) Compared to foreign civil registration system:
Backwardness of legislation Management,China's household registration management is a matter of "personal principle",different with the widespread use of the "territorial principle" abroad.Foreign civil status registration and management does not exist inequality,and the identity of China's household registration,with hierarchical and hereditary,but the household registration system in contemporary China is not confrontational with the class,such as the caste system and the capacity of the system is essentially the modern distinction.Due to the level of economic development and institutional design differences,the content of all countries in the world of civil registration in different degree,China's adoption of a family household registration,from the western world have taken to the registration of the way man-made units,such registration the actual effect of the difference even more apparent in the population with access to information on vital statistics,China's household registration means registration of conventional demographic has become increasingly difficult to reflect the demographic changes in the real information.Chinese citizens can achieve the basic freedom to choose place of residence,but has not yet achieve the legal sense of the freedom of movement,migration of the implementation of prior residence permit system is inconsistent with foreign practices.On the way to the realization of social management, the difference with foreign countries mainly in the lower level of information and the more obvious control.
(二) Investigating China's hukou system and its reform from foreign civil registration system:
First,the household registration system exists in the different regions and historical periods by different forms and intensity.It is neither a product of the planned economy, nor unique to China.If we make a investigation of the world's household registration system in the context of macro-history,it can be found that the change of functions of household registration system has distinct characteristics of the times,while China's hukou system is also with a "feudal property ".There fore,there must not be so much prejudice against China's hukou system,and it should be evaluated merits and demerits of its functions historically.The system itself should not become the object of strong criticism,and we must avoid the excessive tendency of thinking of China's hukou system as a "special case".
Second,the contemporary China's hukou system extends and adapts the hierarchy and hereditary of the traditional one.as well as the function of unity of social order and demographics,and it also has a considerable degree of "elements of the Soviet Union",in which the change of the institutional basis of the China's hukou system from family relationships to labor relations which are embodied officially in the conversions of household registration and status,such as school enrollment,state-owned enterprises" recruitment,occupation mobility,joining the army,is the largest reference from the Soviet Union.
Third,the hukou system does not necessarily lead to social exclusion.There are significant differences exist between China's hukou exclusion and foreign caste exclusion, racial exclusion,economic exclusion,and political exclusion.Different types of social exclusion also have a significantly different impact on the process of urbanization and economic development.
Fourth,the impact of migration gradually blurs the system boundaries of the identity, but this does not mean that the real significance of the identity has disappeared.As the identity value of the indigenous people has existed for a long term value,the entry of migrants will not reduce it.Migrants can make a dialogue with the indigenous people on an equal footing only by attempting to improve their status.This is a very long process, even needing for the next generation to complete.In particular,the hukou system in China,there is bound under the conditions of dominance,the floating population of urban integration process will be slower,and the time required is longer.
Fifth,the non-permanent migration of floating population is a universal,natural phenomenon in the process of industrialization and urbanization.It exists without the dependence on the household registration system or passport system which is a system entity that has the effect of limiting population movements.Although the non-permanent migration of floating population has been further strengthened due to the presence of the hukou system in China,there must be an objective understanding of the limited role of the hukou system reform in the promotion of population migration and urbanization.
Sixth,China's hukou system reform should be associated with the urbanization process,under the stage of rapid urbanization,the hukou system should be appropriate to maintain the function of identity,in order to facilitate the smooth transition of urbanization.But the identity function of hukou system must be slowly watered down.
Seventh,as the basic social security in rural areas is not in sound conditions, agricultural land becomes the basic livelihood guarantee and the last line of defense for the floating population.In the process of the reform of hukou system,the design of the agricultural land system should be fully respected the interests and wishes and choices of the floating population,in order to avoid the mistakes made in Latin America.
Eighth,it promotes the legislation of the household registration management,and gradually improves the population registration and management system,changes to the people-oriented dynamic management,and respectively establishes the population management information system step by step.In short-term,tries to get regional population information by fix-point track method.
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