【作者】 代志鹏；

【导师】 陈映芳；

【作者基本信息】 华东师范大学 ， 人口学， 2010， 博士

【摘要】 法律是生活本质的呈现,其社会实践又是“场域”运行的产物,因此,“司法判决是如何生产出来的”这个命题隐含着两条研究线索：“法官角色”和“法律意识”,这也是本文区别于其他法官角色研究的独到之处。为了将这两者不着痕迹地结合在一起考察,笔者以故事叙述法为手段,以日常生活为基点,通过故事的逻辑把法律与社会生活结合起来,在微观层次的人际互动过程中刻画法官角色的动态演绎。在对故事进行解读的同时,笔者还试图从众多琐碎的法官判案的日常故事中,归纳出司法行为与法律意识建构之间的关系。以上既是对法官角色研究的有力补充,又可进一步完善和深化法社会学的理论内涵。本文是在田野调查的基础上发展而来,研究对象为平保县法院。该院每年“三农”案件占有较大比重,绝大多数法官也具有农村成长背景。这一方面说明法官对乡村案件处理有较强的地方性知识,另一方面也暗示法官角色扮演将受到风俗习惯的制约。巧合的是,笔者所筛选出来的重点考察案例也多以乡村案件为主,无意中建构起了乡土中国和熟人社会的研究语境。公众作为法律现实的在场者,通过生存境遇的种种变化而非完全按照立法者的意图来获得对法律的某种感悟和理解,并力图用法律这把标尺来测量自己在生活资源和社会公平中的分量。以上决定了公众在司法判决的生产过程中都是用自己的标准去衡量他人的利益正当性,这势必与追求用统一的原则框架去衡量不同的利益诉求的法律存在冲突。为此,在法律意识的概念上,笔者使用“作为文化实践的意识”这种分析策略来消除上述“国家与社会”、“个人与社会”的二元对立关系。论文在篇章结构上分为九章。第一章为“导论”,首先从现实背景和学术背景两个角度阐述了选题依据及研究目的,强调了过程角色理论和场域理论对本文的指导作用,并对重要概念、理论框架、研究方法和研究内容作了交代。在第二章“司法改革和路径依赖：历史的视角”中,笔者按照时间的顺序将中国百年司法制度发展变化做了一个梳理,旨在了解制度移植与本土资源之间的耦合与冲突,政治国家和社会发展两种语境下的角色期望,以及在上述过程中法官自身可能承受的压力。这种研究不仅能为当下中国司法场域中“法官角色”提供一个“事件”发生的“关系”语境或历史背景,而且也有助于我们更好地理解中国法官角色的特有内涵及现状,为后文研究奠定基础。从第三章开始,本文就转入以平保县法院为研究对象的实证分析。笔者在“理想与现实：一个基层法院法官群体的结构特征”中从人口统计学变量(性别、年龄、籍贯、民族、亲属状况)和职业化建设的现实应对(入职途径、学历结构、司法考试、人才流出)两个方面致力于“对平保县法官群体的考察”,旨在从宏观的层面解答“法官是什么”这个命题。同时,法官作为一种职业角色,只能在具体的案例中呈现。尤其一个基层法官,他在基层法院这个“舞台”上是一个角色综合体,不同的角色位置和特征、价值诉求,规定了不同的行为。为此,笔者以司法改革为背景、以故事叙述法为手段,围绕着角色期望、角色冲突、角色履行、法律意识、法行为等内容展开一系列案例研究,包括“由养女抚养引发的故意伤害案”、“狗咬人案”、“房屋租赁合同纠纷案”和“灭门惨案”,并构成了第四章到第七章的逻辑架构。在第四章“法官作为司法判决的中心要素”中,笔者通过对案件的铺陈和既有研究的梳理,认为在同一制度背景下,法官个性导致法官对法的精神的把握和对法律条文理解上存在差异。第五章“程序正义和实体正义纠结中的法官角色”侧重传统文化下程序正义在我国引发的正当性危机,由于当事人之间素有嫌隙,且存在一方利用法律的合法性向另一方实施打击报复的心理诉求,因此,法官遭遇了程序正义和实体正义、国家法和习惯法之间的冲突。第六章“权力体系内法官角色扮演的行为逻辑”,从地方政府对案件的干预入手,考察了基层法院在地方党政权力中的边缘化地位以及基层法官们的行动策略,而群体互动本质上成为建立和谐气氛、高度团结和一把手领导主导的合众为一的过程。第七章“法官角色冲突与调适”从基层法院与地方政府、基层法官与法院组织之间的关系入手,用案例和模型剖析了司法地方化和司法行政化所引发的制度失灵,这种考察对群体性的司法腐败事件也有一定的解释力。以上说明,案件各方主体在社会空间中的位置和表达态度的方式是案件处理的决定性因素,这些因素不但使得判决结果具有不可预测性,而且还加剧了法官角色紧张和角色冲突。因此,在第八章“司法行为与法律意识建构”中,笔者使用图式和资源作为媒介,对法官角色与法律意识之间的相互关系进行了理论分析。正是在人们意识中构成的一些图式,为社会行动提供了命名或话语权力,并被运用于特定的场景和互动之中；而不同的资源结构和组合关系又导致法官案件处理的差异无所不在,法官角色也存在因案而异的行为逻辑,即面对什么类型的案子,采取什么策略,是法官对具有不同利益和社会背景的当事人、律师以及干预者之间互动作用的认识结果,也是案件利害关系人,围绕着审判权,如何去达到自己的目标的博弈过程。研究表明,从社会的长远发展来看,法官角色必须由目前的纠纷解决型逐步向规则之治型转变。在第九章“结语”中,笔者指出在现有司法体制下实施的司法改革将难以改变长期以来存在的司法大众化、司法地方化、司法行政化的种种弊病,为了改变目前法院和法官的艰难处境,笔者提出司法改革的共同愿景,以让法律成为维护社会正义的底线,最终实现中国司法制度改革的理想图景。更多还原

【Abstract】 As the present of life essence, the law to the social practice also is the product of "field" to run, therefore, this proposition-"the judicial decision is how to produce out"-implies two clues:"judge’s role" and "legal consciousness". Also it is the difference between this article and others about judge’s role. In order to combine these two, the author tries to describe the dynamic interpretation of the role of judges in the daily life with the method of storytelling. Reading the story at the same time, the author also attempts to summarize the relationship of judicial acts and construction of legal consciousness. The above not only is a powerful supplement of research over the role of judges, but also can further improve and deepen the theoretical content of the Sociology of LawThis article is based on the field study. The object of study is the People’s Court of Pingbao County. Every year the Court, "three-dimensional rural issues" of account for a large proportion of cases, most judges have a rural background. On one hand the judge handling the case has strong rural local knowledge, on the other hand judges’ role-playing will be limited by customs. Coincidentally, the author constructs a native of China and the context of social acquaintances focused on the rural cases.The public gain some kind of perception and understanding of the law through all the changes on living circumstances, not in full accordance with the intention of the legislators to, and try to use the law as the ruler to measure their own resources and social justice in the life. It suggests that the public in the judicial decisions of the production process use its own standard to measure the legitimacy of the interests of others. This is bound to the principles and the pursuit of a uniform framework to measure the different demands of the legal conflict of interest. To this end, the concept of legal consciousness, I use "consciousness as a cultural practice" to eliminate binary oppositions between "individual and society".The dissertation consists of 9 chapters.The first chapter is an introduction, first of all backgrounds and academic background from a realistic point of view expounded two topics based and research purposes, emphasizing the guide of process role theory and field theory, and key concepts, theoretical frameworks, research methods and content of the study.In the second chapter of "judicial reform and path dependence:a historical perspective", the author combs the Chinese hundred legal system in accordance with chronological order, aimed to understand the coupling between system transplantation and the local resources.This study not only can provide an "incident" occurred relationship context or historical background to our judicial in the Field of the role of judges, but also help us better understand the unique role of judges to lay the foundation for empirical research.The paper is transferred into the People’s Court of Pingbao County as empirical analysis."ideal and reality:a primary structural features of a judges’group" from the demographic variables (gender, age, origin, nationality, family) and professionalism construction (entry requirements, academic structure, national judicial examination, talent outflow) both is to answer the proposition of "what is the judge".Judge as a term, can be used flexibly in their daily lives, but as a professional role, only be presented in specific cases.In particular, a primary judge is a complex role which location, characteristics and value of different roles provide a different behavior. At the same time provisions of different roles affect and constrain the individual’s behavior. Therefore, the role of an interactive process of judges must be implicit in the role of such norms and "role set" to explore the integration mechanism and function of social control. To this end, about the role expectations, role conflict, role performance and legal awareness under the background of judicial reform.Trial is the individual confrontation. Considering that legal consciousness determines the legal acts, the writer launches a series of case studies about role expectations, role performance, legal consciousness, legal act, etc. It constitutes the fourth chapter to the seventh chapter.In the fourth chapter caused by intentional wounding case, civil remedy between the parties was reached voluntarily, and the hosting judge had met role expectations of both sides through judicial handling skills. The differences of judge’s personality in the case is presented including the judge individual’s gender, family background, life experience and other factors of which may affect the judge’s personality, temperament, ability, belief structure and personality structure, thus affect the judge’s final choice.In the case of dog bite case in the fifth chapter, because of a rift between the parties and one using the legitimacy of the law to retaliate against the other party to implement the psychological demands, the judge encountered the conflict between procedural justice and substantive justice, national law and customary law.In the sixth chapter of the lease contract dispute, the plaintiff as a organization rather than individuals, had a variety of resources and channels to interfere with the judicial trial process, forcing the local government in the maintenance of stability of the target request to command directly the court to do the case-handling instructions.The judges should be consistent with the outcome of discussions by the Committee. Chapter seventh as a major criminal case, is an aspect of judicial corruption investigation. Throughout the process, we can clearly understand the power of judicial intervention and distortion behavior, and the judge had to endure the inner conscience of ethics, law and power conflict. The chapter is not a haphazard arrangement, on the one hand following the logical order from simple to complex, on the other hand it has the focus, such as the chapter fourth focusing on judges’personality, the fifth chapter on the legitimacy crisis of traditional culture procedural justice in our country, chapter sixth of the discussion of the role of judges the judicial committee and chapter seventh on the mechanism of role conflict.Described above, the social spatial position, orientations and attitudes of the case of all parties are the decisive factors that make results not be unpredictable and exacerbate the tensions and conflict of judges’role. This inter-relationship between the role of judges and legal consciousness is constructed by the theory of schema and resources.This is the eighth chapter "judicial conduct and legal awareness". It is some schema in people’s consciousness to provide the name for the social action or discourse of power, and is used in specific scenes and interaction. While different resources structure and combination relation turn led judges processing cases differences omnipresent, there is a behavioral logic of the role of judges varied from case to case, that is, to face what type of case, what strategy, is to judge with different interests and social background parties, lawyers, and interaction between intervention awareness of the results. The results show that the role of judges be transferred from the current dispute-solving gradually to the rule-governing in the long run.In the ninth chapter, "Conclusion", the author points out that it is difficult to change some drawbacks such as judicial popularization, localization of jurisdiction and Judicial administerization under the existing judicial system to implement the judicial reform. In order to change the current the plight of the courts and judges, the author proposed shared vision to make the law become the bottom line of social justice, and ultimately attain the ideal picture of justice reform in China.更多还原