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清末诉讼模式的演进
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  • 英文题名:The Evolvement of Litigation Pattern in the Late Qing Dynasty
  • 作者:王浩
  • 论文级别:博士
  • 学科专业名称:法制史
  • 学位年度:2005
  • 导师:朱勇
  • 学科代码:030102
  • 学位授予单位:中国政法大学
  • 论文提交日期:2005-04-01
摘要
清末“新政”的实施为中国传统法制向近代转型提供了契机,清末的修律主要是移植外国法律,以审判为核心的诉讼制度也随之发生了根本性的转变,诉讼程序法从传统“诸法合体”的体例中分离出来,并在司法实践中得以实施,在我国法制历史上具有重要的意义。清末的诉讼程序立法走过了一段曲折的历程,本文以系统论的观点,考察清末由各项诉讼制度所构建的诉讼模式的演变,从传统的纠问主义诉讼模式,到尝试建立英美法系的当事人弹劾主义诉讼模式,最终选择了大陆法系“国家弹劾主义”诉讼模式。由于法律移植固有的特点,不可避免地发生本土法律观念与西方法律观念的冲突,并反作用于所移植的法律,本文将清末所构建的诉讼模式与西方法律相比较,考察西方诉讼制度在中国的变异,分析其产生的原因。本文除序言和结论部分之外,共分四章,主要内容如下:
    第一章,中国传统司法的诉讼模式与近代转型的契机
    本章首先考察我国传统司法的制约机制及其诉讼结构模式。传统司法制度是建立在专制的政治体制之上,存在着与西方完全不同的内控约束机制,中央各机关采用审判权多元化的制约机制,而地方司法则是通过划分审判权限和行政性的监督形成对地方司法权的制约。传统司法是具有强烈的国家主义特色的纠问主义诉讼模式,主动追纠犯罪不但是审判官的权利,更是审判官的义务,而且百姓对于某些重大的犯罪也负有告诉的义务。审判官经常以刑讯的方式获取证据,司法极端专横,当事人诉讼地位弱小,无法与强大的司法权相抗衡,司法常造成冤狱泛滥。传统纠问主义诉讼模式与近代西方的司法制度相比较,明显地落后于时代的发展,传统司法所表现的专横和残酷性,被近代西方列强所讥笑。
    其次,考察了清末近代司法转型的契机。清末政治、法律的变革是与清政府不断加深的政治危机相联系的,外部西方列强以炮舰政策武力打开清王朝的国门,迫使清政府签订一系列不平等条约,民族矛盾空前激化;国内太平天国起义沉重打击和削弱了清朝政府的实力;在经历了“辛丑之乱”后,各省督抚已经看到清王朝的腐败无能,并对清中央政府产生了明显的离心倾向;领事裁判权等治外法权使满清政府的法律威严不在,加深了清王朝的统治危机。清廷无法按照原来的方式统治下去,被迫宣布实行“新政”,而清末“新政”的实施, 为我国传统司法制度向近代转变提供了必要的前提条件。
    第二章,清末英美法系诉讼模式的探索
    鉴于英国当时是世界上最强大国家,是第一个以武力打开清政府国门的西方列强,其在政治、经济和法律文化方面对近代中国产生很大的影响,英国的法律
    中国政法大学博士学位论文 清末诉讼模式的演进
     2
    制度成为清末修律首选的模范目标。光绪三十二年四月初二日修律大臣沈家本、
    吴廷芳仿照英美法系的司法制度,起草了我国近代第一部诉讼法典——《大清刑
    事民事诉讼法草案》,规定了“当事人弹劾主义”诉讼结构模式,法庭审判采用抗
    辩式的审理程序,引进西方的陪审制度和律师制度,体现了英美法系国家程序之
    上的法治精神,《草案》以西方“民主、自由、平等、人权”的思想为指导,废除
    刑讯制度以及侵犯当事人人格尊严的跪告制度,彻底否定了传统纠问主义诉讼模
    式。由于《草案》具有强烈的民主和自由色彩,遭到以张之洞为代表的各地督抚
    将军等守旧派的强烈反对,他们指责《草案》的立法指导思想违背了传统的纲常
    礼教,与传统中国法律的本原相“乖违”;对于陪审制度和律师制度,他们认为中
    国目前人才不备无法实行;他们惧怕《草案》启动中国民众“平权自由”之风气;
    另,张之洞主张“先定实体法后定程序法”,否则“骤然通行”,不仅不合法理,而
    且“大碍民情风俗”。《草案》所主张的英美法系诉讼模式因遭到守旧派的反对而
    搁置,但是《草案》所引发的争论,开启了民智,让国人认识到诉讼法律的价值,
    成为我国诉讼法律近代化的先声。
    第三章,清末大陆法系诉讼模式的确立
    随着国内政治局势的发展,清廷决定仿行日本的“君主立宪”政体,清末的诉
    讼立法也转向了以模范日本法律为主的大陆法系诉讼模式。除政治因素之外,大
    陆法系的司法奉行国家主义,在刑事诉讼结构模式上主要由检察代表国家对犯罪
    进行侦查、提出控诉,审判官依职权主动调查,与中国传统纠问主义诉讼模式有
    某些契合,最终,清末的诉讼程序选择了模仿大陆法系的“国家弹劾主义”诉讼模
    式。《大理院审判编制法》的颁布标志着传统诉讼模式的解体,《各级审判厅试办
    章程》、《法院编制法》等法规的施行,为新式审判付诸实践提供了依据。清末新
    式审判引进了西方检察制度、民事刑事案件分理制度、刑事预审制度、四级三审
    制度、审判公开和回避、审判合议等诉讼制度,新式审判改变了传统审判官集侦
    查、起诉、审判为一体的纠问式诉讼模式,诉讼法从传统“诸法合体”的编纂体
    例中分离出来,诉讼程序法律表现出独立的价值,启动了我国诉讼法律向近代转
    变的进程,在中国法制史上具有重要的意义。
    第四章,清末诉讼模式研究
    清末所构建的诉讼模式,与西方大陆法系“国家弹劾主义”诉讼模式相比较,
    仍然存在严重的缺陷,并没有形成西方大陆法系国家“控、辩、审”互相制衡的三
    角形诉讼模式,而是形成了检察官与审判官分工合作,共同对付被告的“倒三角
    形”的诉讼结构。从新式审判的运行机制看,检察官制度过分发达,控方的功能
    强大,检察官兼有侦查、起诉和监督审判的功能,超越了其诉讼地位,侵越了审
    判权的正常行使;而辩方的诉讼地位弱小,与控方处于不平等的诉讼地位,根本
The legislation endeavors in the late Qing Dynasty marked the beginning of a transition From traditional Chinese legal system to a modern one. Though mainly done by transplanting foreignstatutes, the legislation caused essential changes to the judicial system. From modeling on the litigation system of Anglo-American law family to that of the Continental Law family, the legislation on litigation procedure in the late Qing Dynasty went through a long and devious road. Due to the intrinsic characters of legal transplantation, conflicts arose inevitably between foreign system and the local legal culture. In the process of establishing a new legal system, conflicts sparkled between the traditional Chinese judicial conception and modern Western ones with the former imposing impact on the imported western judicial conception and leading to variations. Through research into the litigation patterns established by drawing on various Western systems, the thesis tries to analyze the internal factors behind these variations. Apart from the prelude and conclusion, the thesis consists of four chapters as follows:
    Chapter Ⅰ: The traditional Chinese litigation pattern and the reasons for a modern transition.
    To begin with, the author expounds on the features and litigation patterns of traditional Chinese judicial system.
    Under the traditional judicial system, which was based on a totalitarian political system, division of labor did exist among judges when it came to the exertion of judicial power, but there was a lack of check and balance mechanism between the defendant and the judge. The inquiry-centered litigation pattern was at core in traditional administration of justice, and in terms of judicial trial, the judicial officials would try to gain evidence through extremely peremptory inquiries. Since the litigants were usually on the weak side and could not contend with the judicial power, unjust charges became rampant.
    Thereafter, the author analyzes the reasons for the judicial transition in the late
    Qing Dynasty.
    In the last days of the Qing Dynasty, strong western powers bombarded open the door of the Qing Dynasty with warships, forcing the government to sign a series of unfair treaties, which was followed by unprecedented national and class contradictions. Confronted with the corruption and incompetence of the government, the provincial governors showed apparent divisive tendency. Exterritorialy impaired the dignity and aggravated the crisis of the Qing government. Unable to govern the country in the same way as it did before, the government announced its decision to implement the “New Policy”, which provided the necessary condition for our country’s traditional judicial system to be transited towards a modern Western system.
    Chapter Ⅱ: Trials on the litigation pattern of Anglo-American Law System in the Late Qing Dynasty
    In view to the significant impacts modern Britain had on the Qing Government, the legal system of the United Kingdom became a preferred option for the latter. On April 2 of the 30th year of Guangxu Reign (1904), Shen Jiaben and Wu Tingfang, the chief law-making officials, wrote the Draft Law on the Criminal and Civil Procedure of the Qing Dynasty under the guidance of modern Western theories of “democracy, freedom, equality and human rights”. The draft embodied the legal spirit of Rule of Law under due procedure of the Common Law System by adopting the “Adversary Impeachment” litigation pattern, introducing a jury system and lawyer system and firmly abolishing forced confession and report on one’s knees in court.
    As a result of its strong democracy and freedom flavor, the draft incurred intense objections from the conservatives, including the provincial governors and generals that were headed by Zhang Zhidong, a famous general and governor at that time. They argued that the draft was against both traditional ethnic codes and the roots of traditional Chinese law. They were in fact afraid that the draft might start the “Equal Right and Freedom” vogue among the Chinese “grassroots”. The litigation pattern of the Civil Law System upheld in the draft was hence stranded.
    Chapter Ⅲ: The Establishment of the Litigation Pattern of Continental Law System in the Late Qing Dynasty
    With the development of domestic political situation, the Qing Government decided to adopt Japanese style of “Constitutional Monarchy”, and the legislation on litigation procedure geared to model on the litigation pattern of Continental Law System, which was then mainly Japanese law. The judicial system under Continental Law System pursues the role of state in litigation. Regarding the structural mode of criminal litigation, procurators work on behalf of the state in conducting investigations and launching lawsuits on crimes, and the judges look into cases in accordance with their authority, which has something in common with the traditional inquiry-centered litigation pattern of China. Following the “State Impeachment” litigation pattern of the Continental Law System, legislation on procedure in the late Qing Dynasty introduced the Western litigation systems. The issuance of the “Ministry of Justice Statute of Trial” marked the collapse of the traditional judicial pattern, and the promulgation of the Interim Trial Procedures for Courts at All Levels and the Law on Court Structure represented the practice of the Western litigation system in China. The new litigation pattern replaced the inquiry-centered one where the judicial officials did all the investigations, indictments and trials, and started the judicial system’s transition towards a modern one, a milestone occurrence in China’s judicial history.
    Chapter IV: Research on the Litigation Pattern in the Late Qing Dynasty
    According to the author, the Judicial Litigation Pattern established in the Late Qing Dynasty, compared with the “State Impeachment” litigation pattern of the Continental Law System, had serious drawbacks. To begin with, the procurator system was over-strong, and the prosecuting party was too powerful. The procurators, who did the investigation, indictment, and supervision over trial at the same time, overstepped his right as the litigant, while in comparison the defending party was too weak. The fact that the judges were too authoritative might cause a lack of democracy, while the incomplete security system on the judges’ officialdom might interfere with the independent exertion of judicial power, which could lead to the tendency towards favoring the prosecutor. Instead of forming the triangular litigation pattern of the Continental Law System, where “the prosecutor, the defendant, and the judge” check each other, the Qing Government had in fact worked out the “inversed-triangle” litigation pattern, where the procurator and the judge might work together against the
    defendant. This constitutes a deviation from the inherent values pursued by the litigation pattern of the civil law system.
    Three points explain this phenomenon. First, there was no systematic planning on the litigation systems and proper guiding ideology which led to the randomicity in legislation on litigation system; second, the dual character of the conservatives towards judicial reform. In a time of a national crisis, the Qing Imperial Court and the provincial officials with substantial powers wanted reform for survival. However, when it came down to harming their privileges and interests, their conservation and obstinacy began to emerge. The last one comes to the difference between Chinese and Western laws. Transplanted in the context of traditional Chinese ideology, the western litigation system would inevitably be distorted.
    The development of the legislation on litigation has left a precious legal legacy for the coming generations. As the author summarizes in the end: to actively push forward the reform on political system is the premise to a successful judicial reform, while the impact of local legal culture can not be ignored in transplanting Western laws.
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