【作者】 周欣宇；

【导师】 陈金全；

【作者基本信息】 西南政法大学 ， 法律史， 2009， 博士

【摘要】 任何制度都在一定的空间领域内展开,它的产生和发展必然受制于在特定地理环境和独特民族生活方式基础上形成的文化。文化是制度生发的前提和背景,它对制度的影响不仅体现在过去,而且会在当前的制度变革中表现出来。一些制度虽然随着社会的变迁而最终走向消亡,但它内含的一些文化精神并不会因此而消失,相反它会作为一种文化传统而扎根于民众的意识之中,以各种方式影响到现在和将来的制度变革,甚至在变革完成后仍然作为一种力量发挥其效用。对那些外发型制度变迁的国家来说,传统文化的影响尤为明显。新制度要得到人们认可,必须在传统文化中寻求适应其生存和发展的土壤,也就是说必须建立在旧制度的基础之上,因为虽然旧制度消亡了,但其中蕴涵的一些符合当地环境条件和民族品格的精神却不会消亡,新制度建设应该积极吸收旧制度中的合理因素,将其整合到自己的体系中,从而实现对旧制度的创造性转化,在该转化过程中实现制度现代化。通过这种方式形成的新制度因为它来自于传统文化内部,带有原来那种文化的印记,但又摈弃了其中与时代精神不和谐的地方,通过二者的调适,形成更新的制度,它可以实现二者的和谐共振。重新调适的过程异常艰难,因此必须从该文化过去的历史中去寻求动力和智力支持。对中国藏区而言,通过对传统法律制度的创造性转化实现法制现代化也许可以成为一条积极有意的路径。藏族历史悠久,分布广泛,在漫长的历史中形成了独具特色的习惯法和纠纷解决机制。藏族习惯法是藏族文化系统的组成部分,它承载着藏族民众特别的心理、观念、情感和价值标准。文章以藏区“命价”纠纷为中心,在法人类学与法社会学理论和当今权利理论与刑法理论的指导下,采用法人类学和历史学的研究方法,考察了藏区“赔命价”习惯法生发的自然与文化生态、在藏区的形成和发展史、历代中央对它的态度、与国家法的互动现状及其功能,指出应在坚持法律文化多元的前提条件下认真审视国家法与习惯法之间的矛盾,国家刑事制定法应当吸收“赔命价”习惯法的合理因素,作者认为量刑情节性的刑事和解这一生发于藏族法律文化传统基础之上的制度对“赔命价”的现代性转化极具启发意义。全文分为五章,共十六万多字。具体篇章结构和内容如下:第一章为导论,包括问题意识与问题的提出、研究史的回顾、材料与方法三个部分。首先,通过对法制现代化进程中国家法话语霸权问题的反思,形成了问题意识流,问题意识流直接引发了笔者关于藏区“赔命价”习惯法的思考。然后对当前非国家法与藏族“赔命价”习惯法研究史进行了文献回顾,并对其中存在的诸如没有从国家法中心主义的心理阴影中解放出来、对刑事习惯法研究不够深入、未能将微观研究和宏观研究有机结合、不重视制度产生和发展的文化背景等问题。最后,对文中使用的研究资料与方法做出明确交代。研究资料主要为田野调查资料,包括案例、人物访谈、问卷调查等,为了使材料之间互相能够印证,还采用了档案文献、相关研究中所收录的案例和各种地方志等历史文献。研究方法主要运用法人类学、法社会学和历史学的研究方法,并尝试将历史研究法与人类学的经典研究方法——个案研究结合起来。第二章主要通过对国外法人类学、法社会学对法的概念和法学研究中存在的问题进行反思形成的理论和当今世界流行的权利理论与刑法理论的描述与梳理为本文的立论奠定坚实的理论基础。第一部分主要在历史的维度中爬梳了法人类学和法社会学对法的反思,认为它们在拓宽法律概念、提倡法律多元、重视法律背后的文化逻辑、主张运用个案研究法和参与式的田野调查和打破国家法的垄断神话等方面都极富教益,而且在某种程度上颠覆了西方法律的普世性以及在此基础上推进我国现代化法治建设的论断。第二部分主要考察了20世纪60年代以来西方关于权利救济理论的新发展及其对刑事法律理念转型的影响。罪犯的“监狱化”及其“社会化迟滞”和刑事领域内“被害人导向”政策思潮的兴起使人们认识到监狱矫正的弊端和被害人权利救济的缺陷,人们开始探索从历史中寻求解决这些问题的方法,刑事和解与“恢复性司法”成为世界普遍认可的解决方案。国内外权利理论的发展与刑法理念的转变为我们重新审视“赔命价”习惯法提供了一个不同于传统的视角、理论依据、标准和参照物,使我们认识到“赔命价”里面蕴含了某些合理的因素。第三章分析了影响藏区“赔命价”习惯法产生和发展的自然、经济和文化条件,分为四个部分。第一部分在简要介绍文化与环境的关系之后,提出藏区独特的自然条件是“赔命价”习惯法产生的地理因素,而藏区独特的经济形态与生产方式对其文化也有很大的塑造作用。第二部分从藏族社会的部落组织和权力结构方面分析了它对“赔命价”习惯法的影响,部落及其权力结构导致“命价”的地区差异性,权力制造了不平等造成“命价”等级制,另外部落的互不统属和分子式的部落聚合形式有利于“命价”制度的存续,使其一直持续到民主改革之前。第三部分主要讲藏族的宗教传统及其对“命价”制度的影响。藏族几乎全民信教,宗教是包括法律在内的藏族文化的底色。佛教的和谐观、生死轮回观和因果报应观影响了藏民对纠纷性质的认识、对侵害行为的处罚方式、“命价”的用途及其意义和对纠纷裁决者的选择。第四部分从藏民的非讼和团体两大心理解释民族心理藏族群众选择“赔命价”的原因。第四章从藏族地方和中央态度两个方面描述了“赔命价”习惯法在民主改革前的历史,因为对特定文化进行解释和理解的最好方法就是重新寻找并构拟该文化的历史。首先考察了作为藏族地方表达与实践的“赔命价”的历史,藏族“赔命价”地方史经历了习俗——制度化——中断——重兴与完善四个阶段。接着笔者在元、明、清、民国四代的史料基础上构筑了历代中央政府对藏区“赔命价”的态度史。元朝法制都规定“杀人的,处死刑”,为强化其对藏区的统治,否定“赔命价”习惯法的效力。明朝治藏“因其俗尚,用僧徒化导”,以“藏人治藏”的方式来管理藏区。明朝“随俗而治”的指导思想决定了其对藏区习惯法的放任态度,使“赔命价”习惯法得以发展和完善。清朝中央在藏区推行《大清律例》的愿望落空后,转而走向务实,对包括“赔命价”在内的藏族习惯法加以认可和规制,制定了与藏族习惯法结合较好的地方性法规,维护了藏区的稳定和国家的统一。民国出于法制近代化的需要,在藏区进行司法改革,后来逐渐认识到藏区法制的特殊性,再加之“赔命价”习惯法在处理重大案件中所发挥出的效用,民国中央政府对藏族固有的习惯法传统持一种有限容忍的态度。第五章为民主改革后的“赔命价”习惯法及其功能,将视角从历史转向现实。首先简要概述了西藏和平解放后党对西藏的政策和民主改革后“赔命价”习惯法的制度性废除,它是新政权进行的文化重构,其目的是为了建立一种全新的生活方式和意识形态。这种重构在当时是十分必要的,它解放了千千万万被奴役的藏族下层民众。接着,描绘了改革开放后“赔命价”的复苏、复苏的原因及其与国家法互动的真实情况,在个案透视中将二者的互动状况归纳为四种类型,即“赔命价”习惯法对国家法的置换、“赔命价”习惯法与国家法的并行实施、“赔命价”习惯法作为国家法的量刑情节和“赔命价”习惯法与国家法的对立。这四种状况说明:今天,无论国家怎么打击,“赔命价”习惯法在藏区仍然顽固地存在着,并且发挥着自己的效用,它具有三种功能即惩罚、教育和恢复,这些功能不仅不与国家法的功能矛盾,相反它们能强化或补充国家法的功能。最后是结论部分,在总结全文内容之后,指出藏区“赔命价”习惯法是藏族文化传统的一部分,文化给藏族群众行动设置了背景条件,因此打压和放任这两种外在性的态度都不可取,正确的态度应该“内发内求”,即在“赔命价”习惯法这个藏族法律文化传统内部寻求其转化因子。更多还原

【Abstract】 Each rules and regulations originates from a special space,so its birth and development must be bound with the culture formed on the specific geographic features and unique life style of a nationality.The culture is the prerequisite and background which a system begins and develops,thus its influence upon the system is not only presents in the past,but also in nowadays changes.Some systems will ultimately wither away with the social vicissitudes,but the spirit inside will not vanish.Contrarily,it will root in the mind of the people as a cultural tradition and influence the present and future changes in different means.Furthermore,it also plays a role after changes finish.So,for those countries whose motive of changes is from outside,the influence of tradition is much obvious.Only when it finds the suitable soil to exist and develop in the traditional culture,can the new system get the approval,that is to say,although the old system will die out,but the spirit which fits for the local geographic features and ethnic characters will not disappear,so the new system should take in the reasonable factors and integrate them into its body to realize the modernization in the pace of the innovative changes of the old system.The new system through this kind of changes can keep harmony with the old one because it comes from the inner of traditional culture and has the trace of the former culture as well as abandons the inharmonious factors.Certainly,the process of readjusting is quite painstaking,thus people must find motivations and intellectual support from the history of the culture.To China Tibet area,maybe it is a meaningful way to explore the method of its legal modernization by the means of the innovative changes of traditional legal culture.Tibetan is a minority with a long history and wide distribution,and in its long history, Tibetan has formed its original and distinctive customary law and disputes resolution system. Tibetan customary law is a part of Tibetan culture,so it has embodied the psychology,idea, sensibility and value.This dissertation,centered on the Disputes of Tibetan Life Compensation,under the guidance of the theories of legal anthropology,legal sociology, developing rights and criminal law and the guidance of research approach of legal anthropology and history,probes the natural and cultural background which the Tibetan Customary Law of Life Compensation comes into being and develops,history of Tibetan Customary Law of Life Compensation formed and improved in Tibetan area,the history of the attitudes of central governments towards Tibetan Customary Law of Life Compensation as well as the mutual relationship of statutes and customary law and the functions of Tibetan Customary Law of Life Compensation.The author points out that the contradiction between Tibetan Customary Law of Life Compensation and statutes should be rethought,the criminal statutes should take in the reasonableness of Tibetan Customary Law of Life Compensation. Victim-Offender Mediation as the circumstance of assessing punishment is a system coming from Tibetan traditional legal culture,so it can lead Customary Law of Life Compensation into modern transition.The article is divided into five chapters;the specific composition and main story are as follows.Chapter One is Introduction,including three parts,namely,the questions putting forward, the revival of relevant research history,the materials used and main research methods.First, through rethinking the supremacy of statutes,the author fell into a sense of questioning, which directly led to the think of Tibetan Customary Law of Life Compensation.Then,the author reviewed the history of unofficial law especially that of Tibetan Customary Law of Life Compensation and the author pointed out that there are some problems in the research, such as the researchers haven’t been released from the shadow of statutes-centralism,haven’t done enough research work in the field of customary criminal law for sake of fear,haven’t combined macro-study and micro-study well,and haven’t paid enough attention to the cultural background which systems exist.Last,the author presents the research materials and methods detailed and clear.The research materials used mainly are from field work,they are cases,dialogues and paper investigation.Besides field work materials,there are also other kinds of materials used;they are archives,cases in relevant study and annals of counties and so on.For research methods,legal anthropology,legal sociology and history research are used as well as a try to match case study and history research.Chapter Two chiefly sums up the theories of legal anthropology and legal sociology aroused by questioning the concepts of law and problems in the study altogether with the theories of developing rights and criminal law so that the study can be laid on a solid theoretic foundation.This chapter contains two parts.Part 1 researches the rethinking of legal anthropologist and legal sociologist in the dimension of history.The author argues that the rethinking of legal anthropologist and legal sociologist at least do much help to legal study in four areas such as the concept of law,legal pluralism,cultural logic back law and research methods,which lead to break the myth of statutes monopoly as well as overturn the universe operation of western law and the conclusion that the western law can promote the modernization of China’s legal construction.Part 2 examines the theories of right remedy and its influence on the transform of the criminal justice in western countries from 1960’s.The "imprisionization" and "slow socialization" of the prisoners and the "victim-oriented" criminal policy made people realize that there are drawbacks in prison correction and in right remedy,researchers begin to find solution in the human history,they find Restorative Justice and Victim-Offender Mediation which originated from ancient society can help solve problems.Foreign developing theories of right remedy and the transform of the criminal justice give us a new perspective,theoretic foundation,criteria and reference frame to observe Tibetan Customary Law of Life Compensation.Chapter Three analyzes the natural,economic,cultural backgrounds of Tibetan Customary Law of Life Compensation and their influences,including four parts.After brief introduction to the theory about the relationship between the culture and the environment,Part 1 discusses the geographic features,economic forms and means of production which mold Tibetan Customary Law of Life Compensation.Part 2 examines Tibetan tribe and its influence on Tibetan Customary Law of Life Compensation,particularly,diversity because of different places,class difference and the continuance.Part 3 describes the basic spirits of Tibetan Buddhism and its influences on Tibetan Customary Law of Life Compensation.The basic spirits of Tibetan Buddhism are harmony,life turn and retribution which the nature of disputes, penalty way,the usage and meaning of life compensation and who the most authoritative arbitrator is.Almost all Tibetan believe in Tibetan Buddhism,religion is the life style of Tibetan,so religion is cream of Tibetan culture besides Tibetan legal culture.In Part 4,the author thinks that the ethnic psychology plays a role in the choice of Tibetan when they meet with life disputes.The psychology of non-suit and collectivism explains why they choose life compensation as the best solution.Chapter Four probes the local history of Tibetan area and the history of the attitudes of central governments towards Tibetan Customary Law of Life Compensation before the Democratic Reform.The best way to explain and understand a kind of culture is to reconstruct the way it goes,i.e.to reform its history.The first half sees the reconstruction of local history of Tibetan Customary Law of Life Compensation.As a means of expression and practice,the local history of Tibetan Customary Law of Life Compensation can be divided into four periods,that is,the period of custom,the period of systematization,the period of abatement and the period of revival and perfection.In the latter half,the author constructs the history of attitudes of Yuan Dynasty,Ming Dynasty,Qing Dynasty and the Republic of China. These four central governments took different ethnic policy,so their attitudes to Tibetan Customary Law of Life Compensation are quite different,for example,Yuan’s denial,Ming’s noninterference,Qing’s pragmatism and limited tolerance of the Republic of China.Chapter Five turns to reality and discusses Tibetan Customary Law of Life Compensation and its functions during and after the Democratic Reform.The Democratic Reform is a reconstruction of culture by the newly -founded government in order to set up a wholly new style of life and ideology.At that time,this kind of movement is necessary and liberates thousands of servant peasants.But after 1978,Tibetan Customary Law of Life Compensation comes back to life,so the author describes four relationships between Tibetan Customary Law of Life Compensation and statutes,which indicating that whether you recognize or not,Tibetan Customary Law of Life Compensation is a vital real existence and Tibetan Customary Law of Life Compensation still functions,and its functions is not always contradictory to which of statutes.So Tibetan Customary Law of Life Compensation can consolidate and replenish the malfunction of statutes in the light of function.They can work together to solve the disputes.The last draws the conclusion.After summing up the theme of the paper,the author realizes Tibetan Customary Law of Life Compensation is an organic part of Tibetan cultural tradition,and culture is the background for people living in it.So suppress or noninterference goes extreme,the best way is to find solution inside.更多还原