當代轉型正義的制度與規範脈絡 －兼論南韓與台灣的經驗比較

Mechanisms and Contexts of Transitional Justice: South Korea and Taiwan in Comparative Perspective

李怡俐(Yi-Li Lee)

指導教授 ： 張文貞

國立臺灣大學/法律學院/法律學研究所/博士(2014年)

https://doi.org/10.6342/NTU.2014.02299

摘要

轉型正義（Transitional Justice）是各國在政權轉移時所可能面對的普遍難題，不論是從戰爭走向和平，或是從獨裁或威權政體過渡到民主政體，新政府被迫或自願地處理過去人權侵害問題。為了回應人權侵害的問題，自第二次世界大戰以來，不論是在內國或是國際的層面上，轉型正義的制度與規範已發展地十分多元且豐富。本文的目的是探討第二次世界大戰後，在不同的時空背景下，是何種政治、社會與法律的脈絡促成了各種轉型正義制度與規範的發展，並進一步解釋經歷戰爭或是威權統治的國家，何以採取特定轉型正義制度來回應過去人權侵害的問題。為深入了解脈絡與制度規範間的互動性，本文選擇南韓與台灣兩個亞洲國家在轉型正義的具體經驗，藉以對照與回應上述的討論。
為了精準地探討自第二次世界大戰以來轉型正義制度與規範的變遷，與其背後的脈絡因素，本文採取整全性觀點(holistic approach)來理解轉型正義一詞，並且選擇歷史制度論(historical institutionalism)的研究途徑，分析在第二次世界大戰後轉型正義制度與規範的發展。本文發現在第二次世界大戰後，為了因應發生在戰爭或是威權政體下的人權侵害議題，國際社會與各國在三個不同時空背景下發展出不同特色的轉型正義制度與規範。此外，國際化與民主化兩個動力在這三個時期中也各自發揮不同的功能。在第一個時期中，國際化動力扮演主要的角色，國際社會不僅設立國際臨時刑事法庭處理第二次世界大戰的責任問題，也建立起龐大的國際人權規範體系保障人權。在第二個時期中，在與民主化動力相關因素如威權政體的餘緒、內國民主轉型的路徑與後續政黨政治的發展、公民團體參與，以及重要憲政改革的影響或限制下，發展出刑事審判、真相委員會、淨化措施、賠償、特赦與檔案公開等多元制度。在第三個時期中，在國際化與民主化動力的交錯影響下，國際社會與各國整合前兩個時期的轉型正義制度與規範，藉由內國、區域與國際的人權機制建立起面對及處理轉型正義的全球人權治理網絡。
在南韓與台灣的實踐上，雖然南韓與台灣都在第三波民主化的背景下進行民主轉型，並處理過去人權侵害的議題。但在不同脈絡因素下，南韓與台灣發展出不同的制度面貌。在制度上，南韓不僅有刑事審判懲罰人權侵害者、更成立許多真相委員會，調查過去人權侵害的真相以及賠償受害者、與回復其名譽。與其相比，台灣則是以金錢賠償且不追究責任的制度方式，處理過去人權侵害事件。兩國制度上的差異明顯反映在不同的脈絡因素上。在民主化動力上，南韓在公民團體積極動員、民主轉型路徑與政黨政治的競爭與落實重要憲改等因素下，帶動了轉型正義制度的多元發展。相形之下，在民主化動力上，台灣在威權政權的遺緒、協商轉型的妥協性、公民團體參與不足與憲政改革欠缺下，除了金錢賠償與些許的真相調查，尚未發展出重視真相與責任的制度。在國際化動力上，南韓在1990年後積極加入國際人權規範體系，國際人權機制開始有監督轉型正義制度的機會。此外，南韓政府也透過制定內國法落實國際人權規範的要求，藉以預防人權侵害的再發生。相較於南韓，由於台灣國家地位問題，難以正式加入國際人權規範體系。雖然台灣已批准兩國際人權公約，且邀請獨立專家審查國家報告，但台灣政府未能提出具體政策回應專家在轉型正義上的建議。相較於南韓，國際化動力尚未在台灣發揮任何監督與預防人權侵害再發生的功能。
從本文的研究發現可以看出，在第二次世界大戰後，在不同的時空背景下，國際化動力與民主化動力交錯地影響著轉型正義制度與規範的發展。從脈絡與制度互動的分析上，當內國存在較多國際化動力與較少民主化動力的限制時，新政府容易採取重究責與真相的制度處理過去人權侵害的議題。當內國不存在國際化動力，且有較多民主化動力的限制時，新政府容易選擇特赦或金錢賠償，而非以真相調查或究責的制度處理過去人權侵害的議題。不過，在全球化影響內國與國際事務的此刻，國際化動力勢必扮演起關鍵性的角色，尤其是國際刑事法院的成立，以及區域人權法院與聯合國體系的參與。在全球人權治理網絡的發展下，轉型正義與國際人權規範體系的關聯，將變得更加緊密。儘管國際化動力有增強的趨勢，但在民主化動力影響與限制下，內國仍有一定的決策空間，來決定是否與如何選擇轉型正義制度，以面對過去人權侵害的議題。

關鍵字

轉型正義機制 ； 人權侵害 ； 脈絡因素 ； 國際化動力 ； 民主化動力

並列摘要

Governments usually are required to deal with the issues of past human rights violations after political situations shift from war to peace or from authoritarian regime to democracy. Since World War II, the mechanism of transitional justice in addressing past human rights violations has become increasingly diverse around the globe. This dissertation endeavors to analyze political, social and legal factors that have contributed to such a diverse development and to discuss in what ways and to what extent some mechanisms were adopted in contexts reflective of what political, social and legal factors. Based on these contextual analyses, this dissertation further compares the practices of transitional justice in South Korea and Taiwan and explains their respective transitional justice mechanisms and contextual factors underlying those mechanisms.

This dissertation adopts a holistic approach to understand the definition of transitional justice. The discussion on the development of transitional justice mechanisms and their respective contexts is channeled through the methodology of historical institutionalism. This dissertation finds that the evolution of transitional justice mechanisms and their respective contexts after World War II can be categorized into three periods, and that the two driving forces –international and democratic– have played different roles in these periods. International forces played a major role in the first period: the international society not only established international criminal tribunals to deal with the responsibility of serious war crimes, but also built up international human rights regimes to ensure the protection of human rights. In the second period, newly established democracies adopted multiple transitional justice mechanisms from criminal trials, to truth commissions, lustration, compensation, amnesty and to access to historical archives. Various democratic factors such as the types of democratic transition, the nature of party competition, the participation of civic groups or the success of constitutional reforms may have either influenced or constrained the development of transitional justice mechanisms. The third period is created by and characterized with the cooperation of domestic, regional and international human right institutions and networks. Under the impact of both internationalization and democratization, the international community and domestic governments have established a global governance network of human rights to address the issues of transitional justice.

Having examined the experiences of transitional justice in South Korea and Taiwan, this dissertation finds that the two countries adopted distinct transitional justice mechanisms to deal with the issues of human right violation. South Korea has chosen diverse mechanisms, such as criminal trials, truth commissions, compensation, retrial, and recovering the honors of victims. In contrast, Taiwan adopted compensation as the primary mechanism without addressing the responsibility of perpetrators. The differences in transitional justice mechanism between South Korea and Taiwan are reflective of their respective different contexts. In South Korea, the democratic forces –particularly the active participation of civic society and the path of democratic transition and constitutional reforms– have led to the diversity of transitional justice mechanisms. In Taiwan, however, the legacy of authoritarian regime, the negotiation-based democratic transition and incremental constitutional reforms and insufficient participation of civic groups have constrained the development in creating various transitional justice mechanisms.

In addition, international forces also influence the evolution of different mechanisms in South Korea and Taiwan. As South Korea has actively participated in the international law regimes during and after the democratization, the creation and performance of transitional justice mechanisms have been in varying extents monitored by the international human rights regime. Furthermore, South Korea enacted a few domestic laws to implement the international human rights conventions in order to deter the recurrence of human rights violations. Compared with South Korea, Taiwan has had difficulty in the participation of the international human rights regime due to its troubled statehood. Although Taiwan voluntarily ratified the two international human rights covenants and invited independent experts to review the state reports, the government has not responded to the recommendations made by the experts in this regard.

The finding of this dissertation confirms that both international and democratic forces have shaped the development of transitional justice mechanisms after World War II. Analyzing the interactions between mechanisms and contexts, this dissertation argues that a new political regime may adopt investigation mechanism to address the issues of human rights violations if international forces outweigh domestic constraints. If domestic constraints persist, a new political regime may instead adopt amnesty or compensation mechanism. It is important to note that the international forces have provided a leading role in the age of globalization, particularly with the establishment of the International Criminal Court and the involvement in the issues of transitional justice by regional courts and the United Nations. Along with the global network of human rights, the linkage between transitional justice and international human rights norms has become closer. Notwithstanding the dominance of international forces, the mechanisms of transitional justice may still be substantially constrained by domestic democratic forces and respond to human rights violations in different ways.

並列關鍵字

transitional justice mechanism ； human rights violation ； contextual factor ； international force ； democratic force

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