摘要
学界关于《汉穆拉比法典》性质的争议聚焦于该法典法律效力,究其原因在于古巴比伦王国的审判记录从未明确提及它,然而,个中原因十分复杂:首先,汉穆拉比可能在临终之际颁布了《汉穆拉比法典》,根本无暇实施,其子孙面临内忧外患,不可能强力推行它;其次,虽然汉穆拉比统一了两河流域的广阔区域,但中央集权制的政治体制尚未完备,地方法官和审判机构掌握相当大的司法权;再次,古巴比伦法官断案主要依据各地的惯例,有时也要遵照国王的敕令,但后者大多属于国王针对具体案件所做的指示而非普遍意义的审判原则,敕令不可能是《汉穆拉比法典》。总之,古巴比伦法官未曾援引《汉穆拉比法典》判案,既受它因政治环境而未曾广泛实施的影响,又涉及王权与地方势力在司法权方面的角力,还牵涉习惯法在司法审判中的巨大影响力,因此,古巴比伦法官断案不引用《汉穆拉比法典》并不能成为否定其性质的主要依据。
The core of the academic discussion about the nature of the Code of Hammurabi is its legal effectiveness, for the fact that the Old Babylonian court records had never cited it, and the main reasons may be as follows: Firstly, Hammurabi himself may not have time to carry out his code, which had been promulgated when he was dying, and his descendants facing the domestic trouble and foreign invasion could not implement it either; Secondly, the centralized political system of the Old Babylonian kingdom was no mature, and local judges and institutions were powerful; Thirdly, the Old Babylonian judges mainly invoked local customary rules to decide the cases, and mentioned the royal decrees occasionally, which were specific order to different cases rather legal principles of university, i.e. the Code of Hammurabi. In one word, the factors that the Old Babylonian judges had not invoked the Code of Hammurabi when they performed their roles were complicated, such as its political situation, the wresting of the royal and local powers, and the importance of local customary practices, therefore the silence of the Code of Hammurabi in the Old Babylonian judicial practice may not be the main reason to deny its legal nature.
引文
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(1)古代两河流域法制术语众多, 但无论苏美尔语,还是阿卡德语,没有一个词语专指“法律”,其中意思最接近的两个阿卡德语词语分别是dīnu和?imdatu:前者的词义非常丰富,既可以笼统地指法律诉讼或诉讼过程,也可以指国王、法官或法庭做出的判决、相关的刑罚、与诉讼有关的声明,以及行动或行为的合法性,等等。不过,芝加哥大学东方研究所编辑的阿卡德语词典还将该词解释为“法律”“法律条文”,参见A. Leo Oppenheim, et al. eds, The Assyrian Dictionary of the Oriental Institute of the University of Chicago, Vol. 3, Chicago: The Oriental Institute of University of Chicago Press, 1959, p.153. ?imdatu主要表示国王的“敕令或训令”等等。
(2)例如,“关于‘里都’士兵与‘巴衣鲁’士兵的敕令”(?imdat rēdēm u bā’irim)、“关于耕地、果园与房屋的敕令”(?imdat eqlim kirēm u bītim),等等。J. J. Finkelstein, “A Late Old Babylonian Copy of the Laws of Hammurapi”, Journal of Cuneiform Studies, Vol. 21, Special Volume Honoring Professor Albrecht Goetze (1967), pp. 45-46.
(3)这个称呼并无特殊之处,它遵循了古代两河流域采用文献的首行词语命名的传统,著名的创世神话《伊努马-埃里什》(Enūma Eli?)也是按这种方式命名的。
(4)转自M.T.Roth, “The Law Collection of King Hammurabi: Toward an Understanding of Codification and Text”, in Edmond Levy, éd., La Codification des Lois dans l’Antiquite: Actes du Colloque de Strasbourg, 27-29 novembre 1997,Paris: De Boccard, 2000, p.10.
(5)大概由于这一原因,著名的《亚述学与近东考古学名物辞典》(Reallexikon der Assyriologie und Vorderasiatischen Arch?ologie)竟然没有将《法典》单列为一个词条。近年来,受国外学者影响,我国学术界也开始质疑《法典》的性质。例如,黄兴民:《〈汉穆拉比法典〉之新说》,《阿拉伯世界》1999年第4期,第48—49页;黄悦波:《试析〈汉穆拉比法典〉的文本性质》,《北京警察学院学报》2013年第5期,第33—38页;李海峰:《从民间契约看〈汉穆腊比法典〉的性质》,《史学月刊》2014年第3期, 第116—126页。
(6)尽管J.N.波斯特盖特承认很难找到《汉穆拉比法典》应用的文献证据,但是,他并没有因此否认法典的性质,而将其归咎为对案件卷宗及相关术语的误读。J.N. Postgate, Early Mesopotamia: Society and Economy at the Dawn of History, London and New York: Routledge, 1992, p.291; Marc Van De Mieroop,Philosophy before the Greeks: The Pursuit of Truth in Ancient Babylonia, Princeton and Oxford: Princeton University Press, 2016, p.170.
(7)转自Raymond Westbrook, “Cuneiform Law Codes and the Origins of Legislation”,Zeitschrift für Assyriologie und Voderasiatische Arch?ologie, Vol. 79 (1989), p. 203.
(8)关于《法典》自身存在的问题,笔者已撰文论述,这里不再赘述,参见拙文《〈汉穆拉比法典〉与正义》,《东北师大学报》(哲学社会科学版)2018年第4期。
(9)转自G. R. Driver and J. C. Miles, The Babylonian Laws 1. Legal Commentary, p. 36.
(10)转自J.D. Fortner, Adjudicating Entities and Levels of Legal Authority in Lawsuit Records of the Old Babylonian Era, PhD Dissertation of Hebrew Union College-Jewish Institute of Religion, 1996, p.357.
(11)汉穆拉比不仅亲自审理案件,而且指导地方法官处理诉讼问题,然而,他晚年因病无力应付司法问题,于是继承两河流域编复旦大学纂法典的传统,企图通过编纂法典来规范民众行为、化解社会矛盾,最终达到减少诉讼的目的。汉穆拉比颁布法典的目的与动机比较复杂,笔者将另文解释。顺便一提,通过立法减少诉讼并非汉穆拉比的特例,这种情况在古代中国并不罕见,参见梁治平《寻求自然秩序的和谐》,上海人民出版社1991年版,第174—201页;张晋藩:《中国法律的传统与近代转型》,法律出版社1997年版,第277—302页。
(12)转自Raymond Westbrook,“Cuneiform Law Codes and the Origins of Legislation”, Zeitschrift für Assyriologie und Voderasiatische Arch?ologie, Vol. 79 (1989), p. 203.
(13)转自Harold Torger Vedeler, A Social and Economic Survey of the Reign of Samsuiluna of Babylon (1749-1712 BCE), PhD Dissertation of Yale University, 2006, pp. 35-36.
(14)“萨姆苏伊鲁纳晓谕埃特尔-皮-马尔都克:国王——我的父亲——病了。由于他濒临死亡,我坐上了我父亲房中的位子。为了巩固‘纳贡人’(的社会地位),我免除了土地承租人的欠债,打碎了(记录)rēdu 士兵、bāiru士兵和穆什根努欠债(情况的)泥板。(由于)我在国中建立了正义,任何?āpiru不得再进入rēdu士兵、bāiru士兵、穆什根努和其他任何人家中催债。看到我的泥板后,你和你写信通知的长老要赶来觐见我。”TCL 17: 76,转自Stephen Lieberman, “Royal ‘Reforms’ of the Amurrite Dynasty” , Bibliotheca Orientalis, Vol. 46(1989), pp.253-255.
(15)卡是古代两河流域的容积单位,1卡大约等于1升。
(16)库尔是古代两河流域的容积单位,1库尔约等于300升。
(17)转自Raymond Westbrook,“Cuneiform Law Codes and the Origins of Legislation”,Zeitschrift für Assyriologie und Voderasiatische Arch?ologie,Vol. 79 (1989), p.213 note 46.
(18)大致在萨姆苏-伊鲁纳10年(公元前1740年)至萨姆苏-伊鲁纳20年(公元前1730年)。
(19)国际亚述学界一般用“x”表示一个破损的楔形文字符号,但是,考虑到汉语与阿卡德语的区别,笔者未将其原封不动地移植到汉语体系中,而是采用了汉语文献用“□”表示缺文的方式,并结合楔形文字的特点,一个“□”相当于一个楔形文字符号。
(20)转自J.D. Fortner, Adjudicating Entities and Levels of Legal Authority in Lawsuit Records of the Old Babylonian Era, p.358.
(21)不过,R.G.F.斯威特提出,克劳斯提供的材料表明萨姆苏伊鲁纳即位至古巴比伦王国灭亡的150年间的18份文献至多提及了15道正义敕令,他估计实际数目可能要少。R.F.G. Sweet, “Some Observations on the Edict of Ammi?aduqa Prompted by Text C”, in Lawrence T. Geraty and Larry G. Herr, eds., The Archaeology of Jordan and Other Studies : Presented to Siegfried H. Horn, Berrien Springs, Michigan : Andrews University Press, 1986, pp.582 note 11。
(22)转自J.D. Fortner, Adjudicating Entities and Levels of Legal Authority in Lawsuit Records of the Old Babylonian Era, p.442.
(23)这里所说的“古巴比伦时期”并不等于“古巴比伦王国时期”,前者大约相当于公元前2000年至公元前1500年,后者只相当于公元前1894年至公元前1595年。除了古巴比伦王国外,古巴比伦时期两河流域还存在伊辛、拉尔萨、埃什嫩那等国家。上述的统计包含以上国家,但并不影响古巴比伦王国的概率。
(24)伊库是古代两河流域的面积单位,1伊库约等于3 600平方米。
(25)转自K.R. Veenhof, “The Relation between Royal Decrees and ‘Law Codes’ of the Old Babylonian Period”, Jaarberichtvan het Vooraziatisch Egyptisch Gezelschap “ Ex Oriente Lux”, Vol.35-36 (1997-2000), p.68.
(26)罗斯认为,《汉穆拉比法典》的一些条款是从现实的法律条款推导出来的,其推导的前提是有法律依据的,参见 M.T. Roth, “The Law Collection of King Hammurabi: Toward an Understanding of Codification and Text”, in Edmond Levy, éd., La Codification des Lois dans l’Antiquite: Actes du Colloque de Strasbourg, 27-29 novembre 1997, p.16.韦恩霍夫认为,《汉穆拉比法典》综合了传统知识、法学家的智慧、国王的理想、典型的裁决和有权威的敕令。K.R. Veenhof, “The Relation between Royal Decrees and ‘Law Codes’ of the Old Babylonian Period”, Jaarberichtvan het Vooraziatisch Egyptisch Gezelschap “ Ex Oriente Lux”, Vol.35-36 (1997-2000), p.80.不过,正如一些批评者指出的法典编纂者很可能并未参考当时所有的法律文献。
(27)M.T. 罗斯可谓最具代表性的学者,她在论著中不承认《汉穆拉比法典》的法典性质,但将该法典及古代两河流域和小亚细亚地区类似的法律文献统称为“法律汇编”,可参见 M.T. Roth, Law Collections from Mesopotamia and Asia Minor。
(28)S.德马尔-拉丰还据此推断,有关学者所谓的审判记录可能不是法官的判决,而是仲裁者的调解协议。
(29)化解纠纷、安抚民众的功能并非《汉穆拉比法典》独有,中国古代法律“息诉”或“无诉”的价值取向与其不谋而合,相关研究可参见梁治平:《寻求自然秩序的和谐》,上海人民出版社1991年版,第174—201页;张晋藩:《中国法律的传统与近代转型》,法律出版社1997年版,第277—302页;张中秋:《中西法律文化比较研究》,南京大学出版社1999年版,第320—343页。与此相关,尽管中国古代的成文法律追可溯到传说中的三代时期,但是,援引法律判案的主张最早出现在晋惠帝时期(公元259年-307年)尚书刘颂读的奏章中:“律法断罪,皆当以法律令正文”(《晋书·刑法志》)。
