Autonomy of Chinese Judges: Dynamics of People’S Courts, the Ccp and the Public in Contemporary Judicial Reform
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AUTONOMY OF CHINESE JUDGES: DYNAMICS OF PEOPLE’S COURTS, THE CCP AND THE PUBLIC IN CONTEMPORARY JUDICIAL REFORM by YUE LIU LL.B., Jilin University, 2003 LL.M., Jilin University, 2006 A DISSERTATION SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY in THE FACULTY OF GRADUATE AND POSTDOCTORAL STUDIES (Law) THE UNIVERSITY OF BRITISH COLUMBIA (Vancouver) November 2016 © Yue Liu, 2016 Abstract This dissertation is the outcome of author’s observations and empirical research on judicial reform in China from the 1980s to 2015. Focusing on judicial decision making process of judges in Chinese courts, it attempts to answer the following questions: How do the Chinese Communist Party (CCP), the public, and the internal administrative power—three factors essential to Chinese judges’ judicial decision making process— influence the adjudication of individual cases in various periods of judicial reform? How do the increasingly professionalized judges respond to these institutionalized challenges? Moreover, how do the dynamics generated from the interactions among courts, the CCP, and the public shape the norms and institutional building of judges and courts, and affect judicial reform policies in China? This dissertation adopts historical analysis, documentary analysis, and qualitative analysis to seek answers to these questions. It finds that, first, direct influence of the CCP and the public to the judicial behaviours of individual judges is less evident than indirect influence through the administrative oversight in courts’ internal bureaucracy. Second, the relationships between courts, the CCP, and the public are more dynamic in fragmented China. The norms of Chinese judges’ autonomy and institutional changes in courts are constantly shaped by the expectations and compromise of powers of the CCP, the public, and courts. Finally, building independent and professional judges in dependent courts without insulation from the external influences is not achievable by current Chinese judicial reform agenda. ii Preface This dissertation is the original, unpublished, independent work of the author, Yue Liu. The interviews conducted for the research of this dissertation have been reviewed and approved by the UBC Behavioural Research Ethics Board (BREB). The project title is Chinese Judicial Reform. The Certificate Approval Number is H14-01068. iii Table of Contents Abstract .............................................................................................................................. ii Preface ............................................................................................................................... iii Table of Contents ............................................................................................................. iv List of Tables .................................................................................................................... ix List of Figures .................................................................................................................... x List of Abbreviations ....................................................................................................... xi Acknowledgements ......................................................................................................... xii Dedication ........................................................................................................................ xv Chapter I Introduction ..................................................................................................... 1 I.1 Historical Context of Chinese Judicial Reform .................................................. 3 I.1.1 Searching for Modern Judiciary (Before 1978) .............................................. 5 I.1.2 Rebuilding of Judiciary (1978-1997) .............................................................. 8 I.1.3 Judicial Reform Led by the SPC (1999-2008) .............................................. 11 I.1.4 Populist Turn (2009-2013) ............................................................................ 14 I.1.5 Tremendous Institutional Innovations (since 2014) ..................................... 16 I.2 Professional Judges: Led by the Party and Responsive to the Public ............ 17 I.2.1 Party Leadership ........................................................................................... 17 I.2.2 Populist Legality ........................................................................................... 19 I.2.3 Judges’ Professionalism ................................................................................ 20 I.3 Review of Literature on Chinese Judiciary and Judicial Reform .................. 21 iv I.3.1 The Party Leadership .................................................................................... 22 I.3.2 Bottom-up Approach .................................................................................... 24 I.3.3 Professionalized Community of Judges ........................................................ 25 I.4 Theoretical Framework ...................................................................................... 28 I.4.1 Models of Judicial Decision Making ............................................................ 28 I.4.2 Theory of Judicial Independence .................................................................. 29 I.4.3 Fragmented Authoritarianism ....................................................................... 32 I.5 Findings ................................................................................................................ 33 I.5.1 Independent Judges in Dependent Courts ..................................................... 34 I.5.2 The Judiciary in Fragmented Authoritarianism ............................................ 37 I.6 Methodologies and Contributions ..................................................................... 39 I.7 Organization of Chapters ................................................................................... 42 Chapter II Political Legal Committee and Courts ....................................................... 44 I.1 Introduction ......................................................................................................... 44 I.2 The Institutional Change of Political Legal Committee .................................. 51 I.2.1 The CCP’s Think Tank ................................................................................. 52 I.2.2 The CCP’s Substantial Power over Legal Affairs ........................................ 54 I.2.3 Power Expansion .......................................................................................... 58 I.3 Analysis of PLC’s Growing Power .................................................................... 60 I.4 Evolving Functions of Political Legal Committee ............................................ 64 I.4.1 Judicial Policy Making ................................................................................. 65 I.4.2 Inter-institutional Coordination .................................................................... 72 I.4.3 Law Implementation Supervision ................................................................. 78 v I.5 Conclusions .......................................................................................................... 85 I.5.1 PLC’s Influence over Courts ........................................................................ 85 I.5.2 The Rule of Policy ........................................................................................ 87 I.5.3 Dynamic between the Party and Courts ........................................................ 89 Chapter III Media and Courts ...................................................................................... 91 I.1 Introduction ......................................................................................................... 91 I.1.1 Puzzle in Reality ........................................................................................... 92 I.1.2 The Public, Media, and Courts ..................................................................... 94 I.1.3 Media in China .............................................................................................. 96 I.1.4 Map of Research ......................................................................................... 101 I.2 International Norms of Courts and Media ..................................................... 104 I.2.1 The Rights Discourse .................................................................................. 104 I.2.2 The Functional Approach ........................................................................... 108 I.3 Chinese Norms of Courts and Media .............................................................. 111 I.3.1 Constitutional Law ...................................................................................... 113 I.3.2 Basic Laws .................................................................................................. 116 I.3.3 Judicial Interpretations and Other Norms ................................................... 117 I.3.4 Summary ..................................................................................................... 122 I.4 Media’s Influence of Judges’ Adjudication in China .................................... 122 I.4.1 Top Ten Litigations–Quantitative Analysis ................................................ 123 I.4.2 Case Studies on Media’s Influence of Courts ............................................