【作者】 党晓虹；

【导师】 樊志民；

【作者基本信息】 西北农林科技大学 ， 农业与农村社会发展， 2011， 博士

【摘要】 古代中国是以皇权至上和宗法伦理所维系的高度集权的国家,但是,由于受到人力、物力、财力以及治理能力等条件的限制和制约,国家对广大农村社会的实际控制存在着明显的缺位现象。长期以来,乡里社会是由以乡村士绅为领导核心的乡村社区,依据社区成员共同订立的乡规民约来进行具体治理的。作为中国古代乡村社会的基本治理手段,传统乡规民约的内容几乎涉及到了乡村社会包括经济生产规范和互助、社会关系调整、生活救济和救助、生态环境保护、文明风尚倡导等各个方面,它对于维护古代乡村社会既有社会秩序,维系国家与乡村社会的良性互动关系,进而保持整个国家范围内社会结构的稳定,起到了不可低估的重要作用。本文以传统乡规民约的文本为研究对象,综合运用历史学、社会学、政治学、法学等多学科的研究理论和研究方法,系统考察传统乡规民约的发展演变过程,分析其产生的思想文化渊源,评估其对古代社会的影响和作用,探讨其历史局限性,并在此基础上为当代村民自治背景下的村规民约的建设和发展提出了建议和意见。为了使得研究的对象更有针对性,本文首先界定了乡规民约的概念,分析了乡规民约的内涵和基本特征。将传统乡规民约根据不同的角度划分为行政和自然村落乡规民约、宗族乡规民约、会社乡规民约和某一特定群体或组织乡规民约等若干不同的类型。其次,梳理了传统乡规民约的历史演变脉络,厘清了传统乡规民约在不同历史阶段所呈现出的不同特点和性质。作为一种“广教化而厚风俗”的文化形态和非正式制度,传统乡规民约经历了一个曲折而漫长的发展演进过程,其形式从口耳相传、约定俗成发展为文本化和系统化。其内容从生产生活互助扩展到乡里教化、秩序维护、生态治理、资源共享等多个方面,与这种发展相对应的则是官方力量的强力渗透和乡村自治权力的逐渐减退。接着分析了传统乡规民约的思想文化渊源。传统乡规民约是以国家占主导地位的意识形态——儒家思想为其思想渊源,因此,其价值取向呈现出与国家意识形态大体一致的趋势。近代以来的西方宪政思想赋予传统乡规民约以“民主、自由、平等”等新的元素,并使当代乡规民约打上深深的法制烙印。此外,乡村社会的经济发展水平、乡民的传统价值观念以及当地风俗习惯等诸多因素对传统乡规民约也产生了不同程度的影响。转而考察了传统乡规民约的制定和执行情况。通过对古代乡村社会结构和组织的探讨认为,在“以礼为主,礼法兼治”的传统乡里社会,以“乡村精英”面目出现的士绅阶层成为乡规民约的倡导者、制定者、监督者与实施者。在其具体执行过程中明清以后,表现为乡村社会与国家政权的相互融合。一方面,各地民间组织纷纷积极“邀请”国家进入,以取得官方力量的认可和支持,从而使乡规民约具有更大的合法性和权威性。另一方面,国家政权为了延伸其在乡村社会的统治,也大力认可和支持传统乡规民约,并将其作为一种协调乡村社会关系、稳定乡村社会秩序的软控制手段。继而探讨和分析了传统乡规民约的作用和历史局限性。通过对古代乡村社会经济生产、社会生活等各个层面的考察,提出,作为时代的产物,传统乡规民约就像是一把双刃剑,一方面,在国家行政权力缺位的情况下,它对古代乡村社会经济生产的稳定、社会风气的净化、社会秩序的维护、生态环境的保护等均发挥了重要的积极作用；另一方面,由于历史局限性的影响,传统乡规民约中也充斥了大量的扭曲人性、压抑个性自由、限制社会进步的封建糟粕,它们虽然与当时的社会发展水平相适应,但同时也对中国古代社会总体的持续性健康发展起到了一种钳制作用。最后在对传统乡规民约进行历史反思的基础上提出当代启示。乡规民约作为传统文化的组成部分和乡村治理的重要形式,其德业相劝的教化理念,过失相规的惩罚机制,礼俗相交的治理模式,患难相恤的救助体制至今仍是乡村社会治理的内核和保障。以乡规民约为纽带,理顺国家政权、乡村精英和农民阶层的关系,最大限度的发挥非正式制度的作用,降低国家管理成本,增强民众的自主意识,是建设社会主义新农村的必然选择。通过研究发现,传统乡规民约是在国家政权、乡村精英阶层以及农民阶层三方力量的博弈和互动中得以发展的,任何一方的错位或缺失都有可能导致乡规民约的流产和失败。传统乡规民约的演进历史尤其证明了：一方面,国家政权的支持和引导是乡规民约发挥效用的有力保障,但全面的介入和有意图的控制却使得乡村自治趋向弱化,并且导致乡规民约走向异化和扭曲,从而降低了乡规民约效用的发挥；另一方面,由于漠视和忽略了农民阶层在乡规民约制定、执行过程中的话语权和参与权的表达,传统乡村社会的乡规民约仅仅是乡村精英阶层出于实践道德理想而设计的一种蓝图模式,体现的是乡村精英阶层的意志和心声,因此,仅仅是“部分、少数人的有限自治”,而绝非真正的村民自治。因此,保证国家政权、乡村精英和村民三者之间的良性互动关系和正确的角色分配,特别是确保农民阶层在乡规民约制定、实施过程中话语权和参与权的有效性,方能保证乡规民约健康、正常的向前发展,也方能从根本上确保村民自治制度的成果。更多还原

【Abstract】 In ancient China, the imperial power and patriarchal ethics were maintained long-standing. However, the actual control of the state power for the rural society was absent due to the limitation of the governance capacity. For a long time, the rural society was managed by the local communities in which the village elites were the core leader power with the traditional village regulations and rules. As an important form of village control, traditional village regulations and rules covered many aspects of the rural communities such as economic production, social life and environmental protection. Traditional village regulations and rules played an important role in maintaining existing social order, preserving healthy interaction relationship between the state and the rural society, keeping relative stability within the whole country.This article examines the evolution of the traditional village regulations and rules, analyzes its origin of idea and culture, evaluates its efficiency for the ancient Chinese society, and analyzes its historical limitation so as to provide a warning to modern society. Firstly, this article defines the concept of the village regulations and rules, analyzes their common characteristics and types. Secondly, this paper combs the historical evolution of the traditional village regulations and rules, clarifies their characteristics and natures in different historical stages. As a culture pattern and an unofficial system, the traditional village regulations and rules have undergone through a long process of evolution. In this process, the traditional village rules evolved from previous oral forms to the written forms and the contents extended to maintaining social order, managing common resources and educating villagers, the mutual aid of the agricultural production and the daily life between villagers. This transformation corresponded to the penetration of the state power. Thirdly, this article analyzes the ideological and cultural headwaters of the traditional village regulations and rules. The traditional village rules were built on the Confucian doctrine. After the Song dynasty, the values of the traditional village rules corresponded to the state’s ideology because of the reformation of Confucianism. However, this change weakened the effect of the traditional village rules. After the later Qing dynasty, some new elements such as "democracy", "freedom" and "equality" were added to the traditional village rules due to the spread of the western legal thought. In addition, other elements including economic development of the rural society, the traditional value of the local people and traditional moral-ethical ideas all affected the traditional village rules in different degrees. Fourthly, this paper examines the formulation and enforcement of the traditional village rules. Through the analysis of the social structure and organizations of the ancient rural society, we thought that the elites especially the gentries of the rural communities advocated constituted and executed the traditional village rules. During the Ming and Qing period, the rural communities interacted with governments in the course of enforcing the traditional village rules. On one hand, the rural communities invited governments at different levels to participate in the formulating and enforcing of the traditional village rules so as to gain their recognition and support, and gain more legitimacy and authority. On the other hand, the state power recognized and supported the traditional village rules actively so as to extend its control for the rural society. Fifthly, this article analyzes the effect and historical limitation of the traditional village rules. As historical product, the traditional village rules were like a double-edge sword. On the one hand, it played a positive role in promoting economic production, rectifying social environment, maintaining social order and protecting ecological environment without intervening the state power. On the other hand, the traditional village rules included many feudal contents which distorted human nature, suppressed individual freedom and obstructed social development due to their historical limitation. Sixthly, this thesis analyzes the historical thought of the traditional village rules and provides a warning for modern society. As an important element of the traditional culture, the traditional village rules are still the core of the modern rural management. So, the way that smoothing the relationships between village elites, governments and peasants, playing the role of the informal system maximally, decreasing the costs of management, increasing self-awareness of villagers is the best choice for the construction of the modern rural communities.In sum, the traditional village regulations and rules evolved and developed continually through the interaction of village elites, governments and peasants. Within this system, these three groups played different roles. Village elites advocated, constituted and executed these rules; governments at different levels were supervisors and supporters of them; and the peasants determined whether or not these traditional rules were successful. Absence of and the unbalance among their powers might cause failure of the traditional village rules. The evolution of t traditional village rules proved that:1) the support of the state power could guarantee the efficacy of traditional village rules. However, interference and control of the state power declined "self-governance" of the rural communities.2) The traditional village regulations and rules were ideological patterns designed by village elites, so they expressed just village elites’ wishes and aspirations. At the same time, the ordinary members of the rural communities still were in the lower class. While they had the right to say no to a common project, they did not think it was worthwhile, they could not get leading positions in local rural community because they were poor in knowledge, prestige and poverty. Their right to participate was still low. It was inevitable that their right was infringed repeatedly. The lesson for present times is that the healthy development and effective execution of modern village regulations and rules depend on smooth relationships and the correct allocation of functions between the three groups. Notably, peasants must have rights to speak and participate in the formation and evaluation of village regulations and rules.更多还原