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1、分类号： P和 密级 单位代码 =10422 学 号： 山午 6 Thesis for Master Degree 论文題目： ift律傳赛七次墓 一盡 3菜崎轉挪 yl iWu pntk.T rmal QhUal Lecfal Aei/hoU Inj UcjiJyrmt cmd cn 11 Irmw pf T-hrztU 作 者 姓 名 爲可闕 培 养 单 位 山 篆 欠康 ：难） 专业名称 5-fe fe 指 导 教 师 如 愈 渡 合作导师 w 6 年夕月 日 _|_圃圓 _丨 | Y3036643 原创性声明 本人郑重声明：所呈交的学位论文，是本人在导师的指导下，独 立进行研究所取得的
2、成果。除文中已经注明引用的内容外，本论文不 包含任何其他个人或集体已经发表或撰写过的科研成果。对本文的研 究做出重要贡献的个人和集体，均已在文中以明确方式标明。本声明 的法律责任由本人承担。 论文作者签名： 曰期： 关于学位论文使用授权的声明 本人完全了解山东大学有关保留、使用学位论文的规定，同意学 校保留或向国家有关部门或机构送交论文的复印件和电子版，允许论 文被查阅和借阅；本人授权山东大学可以将本学位论文的全部或部分 内容编入有关数据库进行检索，可以采用影印、缩印或其他复制手段 保存论文和汇编本学位论文。 (保密论文在解密后应遵守此规定 ） 论文作者签名：师签名日期： 目录 . I ABS
3、TRACT . Ill . 1 () 法律解释方法分类研究的意义 . 3 1、 法律解释方法分类是法学研究的基础 . 3 2、 法律解释方法分类是对不同法律方法的一种秩序性安排 . 4 3、 法律方法的分类展现了法治中国建设的问题意识 . 5 4、 法律解释方法分类研究展现的是法治思维过程 . 7 (二）本文研究对象及研究方法 . 8 一、 我国法律解释方法分类现状及问题 . 10 (一） 我国法律解释方法分类现状的考察 . 10 (二） 我国法律解释方法分类的主要问题 . 12 1、 理论研究问题及其原因 . 12 2、 适用实践问题及其原因 . 15 二、 英美制定法解释规则分类考察 .
4、17 (一） 英美制定法解释规则分类概述 . 17 1、 制度性解释规则 . 18 2、 语言性解释规则 . 20 3、 实质性解释规则 . 22 (二） 英美制定法解释规则分类的内部差异及原因探究 . 24 1、 英美两国制定法解释规则分类差异 . 24 2、 解释规则分类差异的原因探究 . 28 三、 英美制定法解释规则分类的启示 . 31 (一） 作为一种解释理论的制度性解释规则 . 33 (二） 作为基础性分类的语言性与实质性解释规则 . 35 四、 基于语言性（形式性）与实质性分类的中国语境的适用 . 37 (一） 我国法律解释方法分类的重构 . 38 (二） 优先适用语言性（形式性
5、）及限制适用实质性解释方法的理据 . 40 1、 优先适用语言性（形式性）解释方法的理由 . 40 2、 限制适用实质性解释方法的原因 . 45 (三） 以权力与权利抗争视角下的应用 . 48 1、 权利与权利抗争案件应重点采用语言性（形式性）解释方法 . 50 2、 权力与权利抗争案件应该配合实质性解释方法使用 . 51 结语 . 56 料魏 . 57 m m . 6 攻读硕士期间公开发表的论文 . 61 CONTENTS Chinese Abstract . I ABSTRACT . Ill Introduction. . 1 (I) The significance of study o
6、n the classification of legal interpretation methods.3 A. The classification of legal interpretation methods is the foundation of legal research . 3 B. The classification of legal interpretation methods is a kind of order arrangement of different legal interpretation methods . 4 C. The classificatio
7、n of legal interpretation methods shows the “rule of law in China“ problem consciousness . 5 D. The classification of legal interpretation methods shows the rule of law thinking process . 7 (II) The research objects and research methods of this . paper 8 I. The research status and problems of the cl
8、assification of legal interpretation methods in China . 10 (I) The investigation of the classification of our country statutory interpretation methods . 10 (II) The main problems of the classification of legal interpretation methods in China . 12 A. The problems of theoretical research and their . r
9、easons 12 B. The practical problems and reasons . . 15 II. The investigation of the classification of Anglo-American statutory intclassification overview . 17 A. Institutional canons . 18 B. Linguistic canons . 20 C. . Substantive canons .22 (II) The difference of the classification of Britain and A
10、merican statutory interpretation rules and reasons . 24 A. The classification of BritainandAmerican statutory interpretation rules .24 B. The reasons of difference classification* . *28 III. The enlightenment of the classification of Anglo-American statutory interpretation rules . 31 (I) The institu
11、tional canons as a interpretive theory . 33 (II) As the foundation classification of linguistic canons and substantive canons .35 IV. The application in China context based on the classification of linguistic(fonnal) methods and substantive methods .37 (I) The restructure classification of our legal
12、 interpretation methods 38 (II) The motivation of priority application of linguistic(formal) and restrict the application of substantive methods .40 A. The reason of priority application of linguistic(formal) methods40 B. The reason of restrict the application of substantive methods .45 (III) The ap
13、plication from the perspective of the power andright fighting48 A. Emphasis the linguistic(formal) methods on the case of right and right fighting . 5 B. Cooperate the application of substantive methods on the case of power and right fighting .51 Conclusion .56 References .57 Postscript .60 中文摘要 法律解
14、释方法分类研究是为每一种法律解释方法找到所属的序列，消除适用 时逻辑上的混乱，实现解释的目的。法律解释方法分类研究是对各种法律解释方 法按照某些标准进行统一划分，使我们对属于同一序列的方法有客观的认识。法 律解释方法分类研究是法学研究的基础，是对各种法律解释方法进行的一种秩序 性安排，它展现了 法治中国 视域下的问题意识，并展现了法律适用时的思维 过程，它还为法学研究与实践提供指南。与大陆法系制定法解释方法一样，英美 国家制定法解释规则也只是具有思维的指导性，并不具有适用的强制性，体现的 是法官解释制定法时的思维形式。不同的解释规则具有不同解释自由度，代表不 同的司法理念或法哲学立场，需要对众
15、多的解释规则按照特定的标准进行分类， 以防止在法律解释的过程中出现思维混乱或者矛盾现象。研究英美制定法解释规 则的分类 ，不仅能映衬我国法律解释方法研究的现状，还有益于强化我国法律法 律解释方法分类研究的理论意义，并借此厘清我国各种法律解释方法所展现的立 场，结合现阶段我国法治建设现状，寻找适合 法治中国 建设的法律解释方法 分类的标准，以此建构我国法律解释方法分类体系，用于塑造法治理念、指导司 法实践。 通过考察我国法律解释方法分类，指出我国法律解释方法分类研究较为混 乱，一是我国法律人思维出现了问题，法治思维或法律思维展现了不同的形态。 二是我国司法传统注重社会效果，强调法律的实用主义。法
16、律解释方法运用也以 解决问题为出 发点，对各种法律解释方法原则、立场及适用规则没有系统分析论 述。三是我国司法权与立法权及行政权关系错综复杂，司法权难以发挥其应有的 作用，并且司法权往往屈居行政权之下，司法权过多的重视其政治职能，缺乏自 身对社会形态的塑造作用，司法权失却其独立性。法律解释方法分类出现了理论 与实践问题，主要表现为分类标准的多元化、分类理论研究不足及实用主义分 类标准导致在适用中出现了过度解释的现象。通过英美法国家制定法解释规则分 类情况的综合考察，指出英美法国家制定法解释规则主要分为制度性解释规则、 语言性解释规则及实质性 解释规则三类。并进一步指出，这种分类也是根据相关 的
17、分类标准所进行的一种相似性划分，英美两国也有自己解释规则分类理论，制 定法解释规则的分类会因法治理念、司法传统等因素的不同展现出不同的分类。 文章认为可以借鉴英美制定法解释规则分类标准，在进行法律解释时，应当 重视作为一种解释理论的制度性解释规则。因法律解释的过程中总是伴随着克制 与能动、保守与创造，因此语言性解释规则与实质性解释规则是法律解释规则基 础性分类。需要通过英美解释规则分类的框架，对我国法律解释方法分 类进行重 构，构建适合中国法治建设语境的语言性（形式性）解释方法与实质性解释方法。 文章最后则将目光拉回中国视域，认为我国法治建设应立足于现实，总结法治建 设中的问题，针对法治建设问
18、题展开法律解释方法分类研究。认为应该强调语言 性（形式性）解释方法的优先重点适用，并且限制实质性解释方法的适用。通过 权力与权利的对抗视角下的不同案件类别指出语言性（形式性）与实质性解释方 法的适用要求及场域。 关键词：分类；法律解释方法；语言性解释方法；形式性解释方法；实质性解 释方法 ABSTRACT The intention of classification to each kind of legal interpretation methods is to find the sequence and eliminate the application logic confusion
19、, the same intention is to achieve the purpose of legal interpretation. The classification of legal interpretation method is according to certain criteria to divide the variety of legal interpretation methods in some forms, so that we can have a objective understanding to the same sequence method. T
20、he classification research on the legal interpretation is the foundation of the legal research， is a arrangement for variety of legal interpretation methods. It shows 64the rule of law in China95 consciousness of problems, and shows the thinking process of application of law, and it also guide the l
21、aw research and practice.As the legal interpretation methods of continental law system, the statutory interpretation of Anglo-American law system countries also needs legal interpretation rules. The rules only guides the thinking process, is not mandatory for application, it is the embodiment of the
22、 judged thinking form when he interpret the law. At the same time， different interpretation rules with different degrees of freedom， different position of interpretation 5 therefore, in order to prevent the confusion of thinking or contradictory phenomenon in the process of legal interpretation in A
23、nglo American statutory, it needs to classify the interpretation rules though specific standard. Study on the classification of statutory interpretation rules, is not only reflect the research status of our countrys classification about interpretation methods, but also beneficial to strengthen the t
24、heoretical significance of Chinas legal interpretation methods classification,and it can clarify the positions about different interpretation methods. Combined with the present stage of the construction of the rule of law in China ? it can look for suitable standards on classification for the constr
25、uction of Hthe rule of law in China“, so as to construct the classification system of legal interpretation methods, for the construct the concept and the guidance of judicial practice. Through the study of oir countrys legal interpretation methods, points oHI people thinking about rule of law, the r
26、ule of law or legal thinking shows different forms. Second, Chinas judicial tradition pays attention to social effect, emphasizes the pragmatism of the law. Legal interpretation methods are also used to solve the problem as a starting point, the principle of legal interpretation methods, the positio
27、n and the suitable rules and no system analysis in this paper. Three is the relationship between judicial power and legislative power and executive power is complex, and the judicial power is difficult to play its proper role, and the judicial power is often relegated to the administrative power, ju
28、dicial power pays too much attention to its political functions, lack of their own role in shaping society, jurisdiction loses its independence.This paper holds that we can refer to the classification of Anglo-American statutory interpretation rules. Though the investigation of Anglo-American statut
29、ory interpretation on the classification of interpretation rules , it is pointed out that the classification about interpretation rules mainly explain three categories, the institutional canons, linguistic canons and substantive canons. And further pointed out that not all Anglo-American statutory i
30、nterpretation is strictly using the classification method, this classification is only according to one standard of division. The Anglo-American has its special classification. Therefore, due to the different concepts and judicial traditions of the rule of law, the analysis of the classification of
31、statutory interpretation shows different classification criteria. This article hold that we can draw lessons from the common law statutory interpretation classification standard. When we interpreter the statutory, we should pay attention to the institutional rules which is as a theory of interpretat
32、ion. For the process of interpretation is always accompanied by restraint and activism, conservative and creation, so the linguistic canons and substantive canons is the foundation classification of interpretation rules.We need to reconstruct the classification of legal interpretation methods in our
33、 country by means of the classification of the Anglo-American classification of interpretation rules, and construct a linguistic (formal) interpretation method and substantive interpretation method which is suitable for our country contextFinally we wand that we should summarize the problems in the
34、construction of rule of law, in view of the problem of the rule of law construction commence the classification of legal interpretation methods, what emphasizes that the linguistic (form) interpretation methods should focus on application, and limit the application of the substantive interpretation
35、methods. Through the perspective of power and right against about different types of cases , points out the requirement and field of application on the linguistic (form) and the substantive interpretation methods. Key Words： Classification; Legal interpretation method; Linguistic interpretation methods; Formal legal interpretation method; Substantial legal interpretation method