习近平的法律和秩序战略: 中国共产党对新的合法性来源的追求

《外交事務》,作者:张泰苏(耶魯大學法學教授)

过去三十年来,中国共产党将其政治统治建立在其行政管理的成功之上,特别是在经济管理方面。在1989年天安门广场抗议之后,政府和普通民众之间达成了一个隐性的政治交易:人民将接受威权统治,作为回报,他们将享受更高的生活水平。尽管这可能不是一个真正的 “交易”–从普通民众有实际选择自由的意义上来说–但在随后的几十年里,党国确实将经济表现作为其压倒性的优先事项,并取得了非常好的效果。

到2010年代中期,这一政治基础开始出现裂痕:自21世纪初以来,经济增长明显放缓,经济面临强大的逆风。地方政府的债务变得不可持续,房地产泡沫似乎越来越危险,基础设施投资的回报率继续下降,最令人担忧的是,该国正走向不可逆转的长期人口衰退。作为回应,关于工资、不平等和缺乏向上流动的社会紧张局势不断升级。

2019年底COVID-19大流行病的发生,以及中国 "一切照旧 "的长期暂停–直到2022年11月,大规模抗议活动迫使政府最终放弃其 "零COVID "政策–极大地加速了这些发展。在2021年的一个短暂时刻,中国通过对入境和内部流动的特别控制,设法在很大程度上保持开放,中国经济的表现似乎再次超过了几乎整个世界。然而,到了2022年下半年,由于严重的封锁造成了破坏性的经济损失,任何中国的特殊感都被打破了。官方统计中报告的年度GDP增长放缓到3%,而且实际上可能更低。
同时,长期问题继续恶化:房地产市场和相应的地方政府财政似乎处于崩溃的边缘,出生率急剧下降,导致六十年来人口首次正式减少。2022年,也许是自1978年中国开始认真进行自由化改革以来的第一次,经济成为党国的严重政治负担。尽管大流行病后的反弹可能会推动经济增长在2023年回到5%以上,但现在看来,在可预见的未来,中国的统治者很可能不再能够安全地依靠经济表现作为政治合法性和社会支持的主要来源。相反,他们正越来越多地转向法律,以使其统治合法化。

寻找合法性
即使是专制政权也倾向于选择受欢迎和自愿服从,而不是压迫,中国的人口规模使这种偏好变得更加必要。事实上,早在2013年,该党似乎就认识到,仅靠经济增长已无法提供一个安全的政治平台。过去十年来,习近平主席的许多标志性政策–"一带一路 "倡议、更加自信的外交、“共同繁荣”、反腐、“依法治国”–都可以被合理地理解为创造新的合法性来源的尝试。

这些努力分为三类:第一,有些人试图建立一个真正的社会主义国内政策平台,其中资本主义利益被部分压制,而支持更多的政府投资于福利和再分配计划。这方面的例子包括扶贫计划和 “共同繁荣”,到目前为止,"共同繁荣 "是一个全面的政策保护伞,包括社会福利投资、增税和针对大型私营公司的政府行动。第二,诸如BRI和外交侵略等政策激起了民族主义情绪,以提高政治支持。第三,以反腐败和 "依法治国 "口号为中心的制度改革,旨在更好地将政府的行为描述为合法。所有这三种努力都继续在主要的政治演讲和政策文件中占据突出位置,但有些努力比其他努力更有可能取得成效。

福利改革虽然通常是有益的,但不太可能帮助足够多的人,从而大幅提高政府的合法性。例如,扶贫改善了许多农村居民的经济命运,但那些受益者只占中国人口的一小部分。城市劳动人口现在在数量和政治重要性上都占优势,但他们还没有从 "共同富裕 "的推动中获得任何重大利益。最终,考虑到政府越来越不稳定的财政状况和经济的困境,在可预见的未来,在政治上大幅增加社会福利开支似乎不太可能。

相比之下,调动民族主义情绪更便宜、更容易。近年来,民族主义可以说是中国最重要的政治潮流,它影响着政府行为和公众对它的反应。中国政府现在拥有一个相当大的媒体机构来制作和传播民族主义叙事。然后,这些叙事被主要的社交媒体影响者和大量的民族主义键盘侠所传播,通常是自愿的,有时是通过更多的制度化合作。国内和国际的发展提供了大量的材料。其中包括2020年香港国家安全法的颁布;2018年中国电信公司华为首席财务官孟晚舟在加拿大被拘留,美国试图引渡孟晚舟;零签证政策的初步成功;以及时任美国众议院议长南希-佩洛西2022年对台湾的访问。

中国的统治者不能再安全地依赖经济表现作为政治合法性的主要来源。
然而,在党国与民族主义的关系中存在着关键的脆弱性。某些形式的民族主义–例如目前在印度政治中占主导地位的印度教民族主义–深深扎根于有关身份和宗教的社会信仰中,而当代中国的民族主义则主要是基于国家财富和权力的叙述。它抓住公众的想象力,不是因为它与某种价值体系或文化认同产生共鸣,而是因为它庆祝中国在过去几十年的物质成就,并在此基础上产生自豪感和满足感。因此,它依赖于中国持续的物质成功:经济繁荣、军事力量和外交胜利。

这里存在着政治上的危险。当代中国民族主义的特点使其在国家经济表现良好时能够扩大公众对党国的支持,但在经济陷入困境时却不能作为政治合法性的后备来源。这一弱点在最近几个月很明显:在中国2021年的经济成就之后,新浪微博等社交媒体平台上的气氛在2022年初还很欢快和自信,但几个月的坏消息–上海的封锁,接着是北京和广州的半封锁,所有这些都造成了明显的社会经济困境–就足以让民族主义人物处于防御状态。

公众对政府政策的不满、嘲讽和公然谴责变得司空见惯,最明显的可能是网上的 “奔跑论”,大量的中国中产阶级表达了他们想离开中国去西方的愿望。面对这种普遍的不快,民族主义的说法变得惊人的沉默。事实上,当政府活动没有达到他们自己的绩效预期时,一些人甚至偶尔会批评政府活动。的确,他们抨击了军队对佩洛西访台的 "胆怯 "反应。

中国的民族主义如何包括这种对表现的心理依赖是异常复杂的,但共产党早期对儒家思想和其他具体形式的传统文化的敌视几乎肯定起到了很大的作用。即使近几十年来 "传统文化 "得到了部分恢复–包括习近平本人在内的许多政府官员公开讨论古典思想的各个方面,但以现代民族主义政治的标准来看,中国政治话语与任何类似于 "有机的中国 "社会政治价值观的联系仍然很薄弱。党对将中国民族主义塑造成这种以业绩为导向的形式负有很大的责任–在富足的年代有利于获得更多的社会支持,但当经济形势变得更加艰难时,就很危险了。

合法的专制制度?
习近平和他的副手们现在越来越倚重法律来巩固他们的合法性。西方观众可能仍然会觉得一个专制政权在法律方面的投资很奇怪,但重要的是要明白,法律–相对于 "法治 "而言,它要求对甚至最高级别的政治行为者进行彻底的法律检查–往往会增强中央当局的权力,而不是减少它。中国法律本身并没有对党中央领导的权力施加法律限制。因此,它并不打算实施 “法治”,就像人们通常使用的术语一样。然而,它确实对其他所有人施加了法律限制:普通公众和私营企业,以及绝大多数政府官员和党的干部。

法律可以用来控制或压迫,就像它们可以用来保护个人权利和自由。只要法律是其领导层政治意愿的体现,党就有兴趣系统而严格地执行这些法律,特别是如果它想对其地方代理人进行更牢固的控制。换句话说,即使它对政治自由化没有兴趣,它也有兴趣在技术 "合法性 "方面进行投资。

在过去的八、九年里,社会政治合法性在中国的崛起是无可置疑的。自2014年以来,习近平政权推动了许多制度改革,旨在提高整个党国机构对法律法规的普遍遵守。在习近平的第一个任期内席卷全国的反腐运动也许是这一计划中最明显的组成部分,但同样值得注意的是一系列提高司法机构的专业性、财政安全和政治地位的改革。例如,自2015年以来,中央政府加强了城市和乡镇政府的地方法院的预算独立性。中央政府还授权地方法院对一系列针对地方政府活动的行政诉讼进行裁决。

专业化的执法仍然很不完善–在文化大革命之后,它的起步非常糟糕,但近年来已经取得了重大进展:与十年前相比,现在的法官和律师训练有素,在党国中也更有影响力。地方官员也比以前接受了更多的法律培训,并定期对他们遵守法律的情况进行评估。中国的领导人似乎对统一和专业地执行法律很认真–除了他们自己,对所有人都是如此。

习近平和他的副手们现在越来越倚重法律来巩固他们的合法性。
这种对合法性的强调所带来的好处远远超出了对地方官员的控制或提高社会一致性。他们有可能提供一个完全独立的、不依赖经济表现的政治合法性来源:政府行为越来越合法化,这本身就可以成为社会信任的来源。正如几代社会科学家所观察到的,许多人类社会有一种 "接受法律作为理由 "的倾向,将合法性视为接受国家行为的内在理由。这种接受在道德上可能是合理的,也可能是不合理的,但它是一个反复出现的现象,甚至在非民主的、不自由的社会中,也许尤其如此。

最近的研究越来越表明,这种现象在中国也存在。例如,调查显示,中国城市人口对提高政府政策的法律专业性的制度改革反应积极,即使这些改革限制而不是保护个人权利和自由。中国政府似乎认为合法性可以成为政治合法性的一个主要来源:最近,每当公众对地方政府的行为产生强烈不满时–例如,在2022年的一次重大丑闻中,河南省官员试图通过实施大面积封锁来阻止对当地银行的挤兑,中央政府的反应是再次强调 "依法治国 "的重要性,并承诺对地方官员进行更多法律培训。显然,它是在赌,在言辞和实质上进一步投资于合法性,可以直接加强公众对政府行动的信心。

这种对合法性的承诺所带来的好处可能会也可能不会完全弥补经济表现不佳所带来的损失。但在中国政府迄今为止所尝试的所有替代方案中,这无疑是最有希望的。与民族主义不同,它不依赖于经济表现,可以作为一种有意义的替代。与 "共同富裕 "不同,它不需要在财政危机的时候进行大规模的福利支出。因此,无论政府在未来几年可能会有什么其他尝试,它几乎肯定要保持对合法性的投资。它的政治命运很可能取决于此。

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Xi’s Law-and-Order Strategy

The CCP’s Quest for a Fresh Source of Legitimacy

By Taisu Zhang

February 27, 2023

Serving tea at the 20th National Congress of the Chinese Communist Party, Beijing, October 2022

Thomas Peter / Reuters

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For the past three decades, the Chinese Communist Party has grounded its political rule in the success of its administration—particularly in managing the economy. In the aftermath of the 1989 Tiananmen Square protests, an implicit political bargain was struck between the government and the general population: the people would accept authoritarian rule, and in return, they would enjoy higher living standards. Although this may not have been a true “bargain”—in the sense that the general population had actual freedom of choice—the party-state did indeed make economic performance its overwhelming priority in the decades that followed, with highly favorable results.

By the mid-2010s, cracks had begun to emerge in this political foundation: growth had slowed significantly since the early years of the twenty-first century, and the economy was facing strong headwinds. Local government debt was becoming unsustainable, the real estate bubble appeared increasingly dangerous, the returns on infrastructure investment continued to decline, and, most worrying, the country was headed for irreversible long-term demographic decline. In response, social tensions over wages, inequality, and the lack of upward mobility escalated.

The onset of the COVID-19 pandemic in late 2019 and the prolonged suspension of “business as usual” in China—until November 2022, when massive protests forced the government to finally discard its “zero COVID” policy—dramatically accelerated these developments. For a brief moment in 2021, when China managed to keep itself largely open by means of extraordinary controls on entry and internal movement, the Chinese economy once again seemed to outperform nearly the entire world. By the second half of 2022, however, any sense of Chinese exceptionalism had been shattered as severe lockdowns took a devastating economic toll. Annual GDP growth, as reported in official statistics, slowed to three percent—and in reality was probably even lower.

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Meanwhile, the long-term problems continued to worsen: both the real estate market and, correspondingly, local government finances appeared on the verge of collapse, and plummeting birthrates led to the first official decrease in the population in six decades. In 2022, for perhaps the first time since 1978, when China’s liberalizing reforms began in earnest, the economy became a grave political liability for the party-state. Although a post-pandemic rebound might drive growth back above five percent in 2023, it now seems likely that, for the foreseeable future, China’s rulers can no longer safely rely on economic performance as the primary source of political legitimacy and social support. Instead, they are increasingly turning toward the law to legitimize their rule.

LOOKING FOR LEGITIMACY

Even authoritarian regimes tend to prefer popularity and voluntary compliance over oppression, and the size of the Chinese population makes this preference all the more necessary. In fact, as early as 2013, the party seemed to recognize that economic growth alone could no longer provide a secure political platform. Many of President Xi Jinping’s signature policies over the past decade—the Belt and Road Initiative (BRI), more assertive diplomacy, “common prosperity,” anticorruption, “governing the country according to law”—can be plausibly understood as attempts to create new sources of legitimacy.

These efforts fall into three categories: first, some seek to build a genuinely socialist domestic policy platform, in which capitalist interests are partially suppressed in favor of more government investment in welfare and redistribution programs. Examples include poverty alleviation programs and “common prosperity,” which thus far has been a catchall policy umbrella encompassing social welfare investment, tax increases, and government action against large private companies. Second, policies such as the BRI and diplomatic aggression stoke nationalist sentiments to boost political support. Third, a class of institutional reforms centered on anticorruption and the slogan “governing the country according to law” seeks to better portray the behavior of the government as legal. All three efforts continue to feature prominently in major political speeches and policy documents, but some are more likely to be effective than others.

The welfare reforms, although often beneficial, are unlikely to help enough people to substantially enhance the government’s legitimacy. Poverty alleviation, for example, improved the economic fortunes of many rural residents, but those who benefited make up only a small slice of the Chinese population. The urban working population, now dominant in both numbers and political importance, has yet to reap any major benefits from the “common prosperity” push. Ultimately, given the government’s increasingly precarious finances and the economy’s troubled state, any politically substantial increase in social welfare spending seems unlikely in the foreseeable future.

By contrast, it is cheaper and easier to mobilize nationalist sentiments. Nationalism has become arguably the single most important Chinese political current in recent years, shaping both government behavior and public responses to it. The Chinese government now maintains a considerable media apparatus to produce and disseminate nationalist narratives. These narratives are then circulated, often voluntarily, sometimes through more institutionalized collaboration, by major social media influencers and massive numbers of nationalist keyboard warriors. Domestic and international developments have provided ample material. These include the enactment of Hong Kong’s national security law in 2020; the detention in Canada in 2018 of Meng Wanzhou, the chief financial officer of the Chinese telecommunications firm Huawei, whom the United States sought to extradite; the initial success of the zero-COVID policy; and then U.S. Speaker of the House of Representatives Nancy Pelosi’s visit to Taiwan in 2022.

China’s rulers can no longer safely rely on economic performance as the primary source of political legitimacy.

There are, however, critical vulnerabilities in the party-state’s relationship with nationalism. Whereas some forms of nationalism—the Hindu variety currently ascendant in Indian politics, for example—are deeply rooted in social beliefs about identity and religion, the contemporary version of Chinese nationalism is predominantly grounded in narratives of national wealth and power. It captures the public imagination not because it resonates with some value system or cultural identity but because it celebrates China’s material accomplishments over the past decades and generates feelings of pride and satisfaction on that basis. As such, it relies on the country’s continued material success: economic prosperity, military strength, and diplomatic victories.

Herein lies the political danger. The character of contemporary Chinese nationalism allows it to amplify public support for the party-state when national economic performance is high but does not allow it to function as a backup source of political legitimacy when the economy is struggling. This weakness has been readily apparent in recent months: whereas the mood on social media platforms such as Sina Weibo had, in the wake of China’s 2021 economic successes, been jubilant and confident as recently as early 2022, a couple of months of bad news—the Shanghai lockdown, followed by semilockdowns in Beijing and Guangzhou, all of which caused obvious socioeconomic distress—was all it took to put nationalist figures on the defensive.

Public expressions of unhappiness, mockery, and outright condemnation of government policy became commonplace, perhaps most distinctively in the form of the online “run-ology” discourse, in which large numbers of middle-class Chinese expressed their desire to leave the country for the West. Nationalist accounts became strikingly silent in the face of this widespread unhappiness. In fact, some have even occasionally criticized government activity when it falls short of their own performance expectations. Indeed, they railed against the “timidity” of the military response to Pelosi’s Taiwan visit.

How Chinese nationalism came to include this psychological dependence on performance is exceptionally complicated, but the Communist Party’s early hostility to Confucianism and other concrete forms of traditional culture almost certainly played a large and consequential role. Even after the partial rehabilitation of “traditional culture” in recent decades—which saw numerous government officials, including Xi himself, publicly discuss facets of classical thought in a vaguely approving manner—the connection of Chinese political discourse to anything resembling a set of “organically Chinese” sociopolitical values remains weak by the standards of modern nationalist politics. It is the party that is largely responsible for molding Chinese nationalism into this performance-oriented form—good for additional social support in years of plenty, but dangerous when the economic going gets tougher.

A LEGAL AUTOCRACY?

Xi and his lieutenants are now increasingly leaning on the law to solidify their legitimacy. Western audiences may still find it strange that an authoritarian regime would invest heavily in legality, but it is important to understand that legality—as opposed to the “rule of law,” which requires thorough legal checks on even the highest-level political actors—often enhances the power of central authorities rather than reducing it. Chinese law does not, in its own terms, impose legal restrictions on the power of the central party leadership. It therefore does not purport to impose “the rule of law,” as the term is conventionally used. It does, however, impose legal restrictions on everyone else: the general public and private businesses but also the vast majority of government officials and party cadres.

Laws can be employed to control or oppress, just as they can be used to protect individual rights and freedoms. Insofar as laws are expressions of its leadership’s political will, the party has an interest in enforcing them systemically and rigorously, especially if it wants firmer control over its local agents. In other words, it has an interest in investing in technical “legality,” even if it has none in political liberalization.

The rise of sociopolitical legality in China over the past eight or nine years is unmistakable. Since 2014, the Xi regime has pushed through numerous institutional changes designed to increase general compliance with laws and regulations across the entire party-state apparatus. The anticorruption campaign that swept across the country during Xi’s first term in office was perhaps the most visible component of this program, but just as notable were a series of reforms that enhanced the professionalism, financial security, and political stature of the judiciary. For example, since 2015, the central government has shored up the budgetary independence of local courts in city and township governments. It has also empowered them to adjudicate an expanding array of administrative suits against local government activity.

Professionalized law enforcement remains highly imperfect—it had an abysmal start after the Cultural Revolution—but it has made major strides in recent years: judges and lawyers are now better trained and more influential in the party-state than they were even just a decade ago. Local officials, too, receive more legal training than they used to and are routinely evaluated on their compliance with the law. China’s leaders seem to be serious about enforcing laws uniformly and professionally—against everyone but themselves.

Xi and his lieutenants are now increasingly leaning on the law to solidify their legitimacy.

The benefits of this emphasis on legality extend far beyond controlling local officials or increasing social conformity. They potentially provide an entirely separate source of political legitimacy that does not rely on economic performance: that government behavior is increasingly legalistic can be a source of social trust in and of itself. As generations of social scientists have observed, many human societies have a tendency to “accept law as reason,” to see legality as an inherent reason to accept state action. This acceptance may or may not be morally justifiable, but it is a recurrent phenomenon even in—and perhaps especially in—nondemocratic, illiberal societies.

Recent research increasingly suggests that this phenomenon exists in China, as well. Surveys show, for example, that the Chinese urban population responds positively to institutional reforms that enhance the legal professionalism of government policy, even when those reforms restrict, rather than protect, individual rights and freedoms. The Chinese government certainly seems to think that legality can be a major source of political legitimacy: recently, whenever there has been a strong wave of public unhappiness against local government action—for example, after a major scandal in 2022, in which officials in Henan Province attempted to stop a run on local banks by imposing pandemic lockdowns—the central government’s response was to reemphasize the importance of “governing the country according to law” and to promise more legal training for local officials. Clearly, it is betting that further investment in legality, rhetorically and substantively, can directly fortify public confidence in government action.

The benefits derived from this stated commitment to legality may or may not be able to fully compensate for the losses generated by poorer economic performance. But of all the alternatives that the Chinese government has thus far experimented with, it is certainly the most promising. Unlike nationalism, it does not depend on economic performance and can be used as a meaningful substitute. Unlike “common prosperity,” it does not require major welfare spending at a time of fiscal crisis. Therefore, whatever else the government might try over the coming years, it will almost certainly have to maintain its investment in legality. Its political fortunes may well depend on it.

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