【作者】 刘林；

【导师】 侯建新；

【作者基本信息】 南京大学 ， 世界史， 2018， 博士

【摘要】 从盎格鲁-撒克逊中后期到《大宪章》颁发前后,英格兰在司法方面确立了一套基本的制度框架和救济原则,它们从根本上界定了英国法的内涵和外延。总体来看,英格兰司法体制的构建遵循着着两个基本原则,即“向上原则”以及“向下原则”:前者是将司法体制作为国家制度构建的重要组成部分,目的是实现国家机器的有效运转,本质上体现的是司法的权力属性;而后者是将司法体制作为民众解决纠纷、获得救济以及权利保障的重要方式,目的是追求正义的实现,本质上则体现的是司法的权利属性。整个司法体制的构建过程主要体现出双重原则的发展与有效运作。不仅如此,英格兰司法体制的独特性也体现在上述两个方面:第一,没有哪个国家像英格兰这样如此强调司法与国家统治和治理之间的联系,这成为英国独特的普通法诞生的重要原因;第二,英格兰的司法体制很早就凸显出权利与救济功能的重要性,这成为尊重法律、注重程序以及大众参与等司法传统得以形成的前提与基础。历史地来看,盎格鲁-撒克逊时期的社会与法律状况是整个考察得以展开的背景与起点,它为英国法的发展留下了宝贵的遗产。主要包括两个方面:一方面是伴随着7世纪开始的国家的建立以及政治制度的发展,相应的公共司法制度开始起步。另一方面是习惯法本身,从中所衍生出的尊重法律的传统成为英国法律体制发展的根本前提;诺曼征服是英国法律史发展的一个重要的时间节点,我们之后探讨的封建司法体制、普通法的司法体制以及教会司法体制最初都可以追溯到这一时期。诺曼征服的首要影响是英格兰的封建化以及随之而产生的封建性的政治和法权关系,基于此,英格兰出现了一批封建法院,包括处理领主之间纠纷的领主法院以及处理涉及到佃农纠纷的庄园法院。封建法院的运作不仅反映出领主的司法管辖权,也体现出封臣可获得救济的权利,而这种权利主要被包含进一套以保障土地占有为核心的司法令状体系中。除此之外,英格兰封建制的特殊性导致了一个强有力的王室政府的形成以及中央集权的增强,这成为普通法建立的根本前提;普通法萌芽于亨利一世时期,但在亨利二世司法改革之后最终定型。亨利二世的改革主要包括三个方面:建立一个包括巡回法院、财税法院以及普通诉讼法院在内的王室法院体系、颁行司法令状以及将陪审裁决引入到王室司法中,这三者构成普通法的基石。普通法一方面与王权密切相关,王权是普通法建立的基础的保障,反过来,王室法院的成功以及司法管辖权的扩大最终成为加强王权的重要手段。另一方面,普通法的建立也意味着救济方式和原则的发展,这一方面源于司法的专业化所带来的技术手段的成熟,另一方面也由于令状制与陪审制的建立所导致的程序优先以及大众参与原则的发展。在这个意义上,可以说,普通法的构建不仅是司法“向上”原则的一次巨大成功,也是其“向下”原则的深入发展;此外,英格兰司法体制的构建不仅仅基于其国家构建,而且也受到更大范围内的、欧洲整体社会变动的影响。其中最直接的一次冲击来自于12世纪的“教皇革命”,其结果就是独立的教会法以及教会法院的建立,并且通过这个媒介,罗马法的一些原则逐渐渗透到英国法之中,罗马-教会法的一些诉讼程序的特征,如如书面化的表达、理性主义的取证方式、非暴力的刑罚思想以及审判中的衡平色彩,也对普通法,尤其是司法救济这一方面,产生重要的借鉴意义。除此之外,教会法法院和普通法法院之间的司法管辖权之争在型塑司法体制的过程中也发挥很大作用;本文最后探讨的一个主题是《大宪章》,它可以被看作是英格兰法制发展史中的另一个重要的节点,司法体制的“向上”与“向下”两个原则在这里交汇。一方面,“向上”原则仍被坚持,亨利二世司法改革的成果得以保留,司法仍是英格兰王室统治和国家治理的最重要的工具。但更为重要的是,“向下”原则获得了它的内核——王在法下以及保护权利的精神,这逐渐成为英格兰司法构建的指导原则,并在更深远的意义上影响了司法体制的发展。到13世纪初,构成一个独特司法体制的核心内容已基本具备:一方面,司法体制的基本框架已经确立,出现了一个以普通法法院为主,其他法院为辅的多元法院体系;另一方面,这一司法体制的基本特征也已形成,如尊重法律的传统、程序中心主义原则以及参与审判的原则等。这些内容充分展示了英格兰的司法之于国家治理以及救济保障的功能与意义。正是在这个意义上,我们认为,英格兰早期司法体制的构建不仅仅是一部司法体制的发展史,也是一部法律权利的成长史。正因为后者的存在,我们才能理解为什么英国法在历史发展中具有如此强劲的延续性。在理论上,英国法的权利属性暗合了近代法律发展的权利转向,在实践中,这一特性又成为资产阶级宪政革命的法理支撑,因而获得了旺盛的生命力。更多还原

【Abstract】 From the middle of the Anglo-Saxon period to the Magna Carta,the basic institutional framework and remedy principles of judicature had been established in England,they fundamentally defined the connotation and extension of English law.Overall,the construction of judicial system of England followed the two basic principles,namely the principle of "up" and the principle of "down".The former is to regard the judicial system as a part of the state-building,the purpose is to achieve the efficient operation of the government machine,essencially,this reflected the power attribute of the judicature;While the latter is to regard the judicial system as an important way to resolve the dispute and get the remedy,the purpose is to pursuit of the justice,essencially,this reflected the rights attribute ot the judicature.The process of the construction of the judicial system in England mainly reflected the development of the dual attributes of the judicial system.But not only that,the peculiarities of the judicial system in England were also reflected on the two aspects above:first,there is no other country like England which emphasized so much the connection between the justice and the state governance,and this was exactly the reason why the unique common law came into being here.Second,from the very early time,the rights and remedy function of the judicial system had been stick out,and this also become the precondition and foundation of some judicial traditions like the respect of the law,the emphasis of the procedure and the participation of the common people and so on.Historically,The social and legal conditions of Anglo-Saxon England was an very important background and a starting point to the whole discussion,because a valuable legacy was left for the development of English law during this period.This legacy included two aspects,first were the establishment of the state and the development of the political system,correspondingly,public judicial system began to take off.Second was the customary law itself,the tradition of the respect to the law derived from it became the fundamental premise for the development of the English legal system;Norman conquest was an very important historicial node in the development of English legal history.all of our later discussion,like the feudal judicial system,the common law system,and the ecclesiastical judicial system,can be traced back to this time.The first impact of the Norman conquest was the feudalization of England and the subsequent feudal politics and feudal rights relationships,based on this,there appeared a batch of feudal courts,including the lord’s court which dealt with disputes between lords and the manor court which dealt with disputes concerning the tenants.The operation of the feudal courts not only reflected the jurisdiction of the lord,but also reflected the remedy rights which was belonged to the vassals or the tenants,and this kind of rights was mainly consisted in a set of judicial writs which take the tenure as the core part.In addition,the particularity of feudal system in England led to the formation of a strong royal governance,which became a fundamental premise to establish the common law;The common law was hatched in the Henry I,but was established during the Henry Ⅱ.The judicial reform of the Henry II was mainly comprised of three aspects:building a royal court system which included the Eyres,Court of Exchequer and the court of Common Pleas,issuing the judicial writs and introducing the jury into the royal justice.The relationship between the common law and the kingship is very close,the kingship is the basis and guarantee of the common law,at the same time,the common law became an instrument to strengthen the kingship.In addition,the development the common law promoted the professionalization of the justice.The mature of the judicial technology enable the royal justice to provide better remedy,and in return this also led to the popularity and success of royal justice itself.On the other side,the built of the common law also meant the development of the remedy method and principles,this first come from the technical matureness which was caused by the judicial profession,and the second was come from the development of procedure first and mass participation which was caused by the establishment of the writs system and jury system.From this point of view,the built of common law is not a huge of the judicial principle of "up",but the development of the principle of "down".The construction of judicial system not only based on the state-building in England,but also influenced by a broader range of the social changes in Europe.One of the most direct impact came from "the Pope revolution" of 12th century,as a result,independent ecclesiastical law and court established,which became a media and through it some principles of the Roman law gradually penetrated into the English law.And some characteristics of the Roman-Canonical procedure was benefited to the common law especially to its remedy part,such as the emphasis of the writing procedure,the more rationalistic method of investigation,palliative punishment and the equity spirit and so on.Besides,the dispute over the jurisdiction between the ecclesiastical court and the common law court had significant influence on the construction of whole judicial system;The last theme to be discussed was Magna Carta in 1215,it can be seen as an another important historical node in the legal history of England,the "up" and the "down" principles was crossed during here.On the one part,the"up" principle was hold,for example,the reformation of the Henry Ⅱ was reserved and the justice is also be taken as the instrument royal governance and state administration.But more importantly,the "down" principle owned its core part,namely that the king should be under the law and the protection of the rights.This gradually became the guiding principle of the judicial construction in England and influenced the development the judicial system deeply.To the 13th century,the necessary elements to constitute a unique judicial system had been formed.On the one hand,the basic framework of the judicial system had been established,namely,there been a multiple judicial system which was featured by the dominant common law courts with the supplementary other types of courts;On the other hand,the basic characteristics of the judicial system in England also gradually formed,such as the tradition of respecting the law,the principle of procedure priority as well as the participation in the trial and so on.This fully displayed the function and importance of the judicial system to the remedy and governance in England.Just from this point of view,it was thought that the judicial construction in early England was not only a history concerned with the development of the judicial system,but also a history concerned with the development of the legal rights.And just because of the latter,we can understand why the English law has so strong continuity in the history.Theoretically,the attribute of the English law coincide with the rights transition of the modern law development,and practically,this attribute also becomes the legal support to the bourgeois revolution and therefore gains the vigorous vitality.更多还原