俄国1864年司法改革研究

【作者】 郭响宏；

【导师】 曹维安；

【作者基本信息】 陕西师范大学 ， 世界史， 2011， 博士

【摘要】 19世纪60、70年代沙皇亚历山大二世所推行的大改革是俄国历史上最重大的历史事件之一,历来为中外史家关注。1853-1856年克里米亚战争失败以后,沙皇为改变俄国在国际上被动落后的处境,启动了大改革。1861年俄国农奴制的废除标志着大改革的正式开始。农奴制废除之后,沙皇亚历山大二世相继进行了教育改革、地方自治改革、司法改革、财政改革和军事改革,从而开创了俄国历史上的“大改革”时代。改革标志着俄国现代化的实际开端,为俄国向现代社会的转型奠定了坚实基础。1864年沙皇亚历山大二世颁布实施的司法改革被誉为大改革中最为成功的改革。改革创建了以欧洲司法模式为蓝本的新司法体制。司法独立、审判公开、辩诉原则、陪审团审判、律师制度等全新的制度和理念引入俄国,俄国从此有了一套可以与欧洲发达国家相媲美的司法制度。但国内学术界对司法改革缺乏专题研究,研究的论文也相当少。基于此,本文拟在现有材料的基础上,全面系统地探讨亚历山大二世的司法改革。这是本文选题的出发点。本文的基本观点是：司法改革为俄国法治国家的建设奠定了基础,推动了晚期帝俄经济及社会的转型。具体来讲：1864年司法改革之前,俄国司法中普遍存在的管理效率低下、腐败等成为沙皇政府司法管理体制中的一大弊病。实质上,如何提高俄国的司法管理水平成为历代沙皇追求的一大目标。彼得一世的司法改革、叶卡特琳娜二世的地方管理体制变革、尼古拉一世时期的法典编撰都是沙皇政府变革俄国司法制度的尝试,但司法体制中存在的弊端直到1864年司法改革之前仍然没能得到有效解决。沙皇亚历山大二世上台之后,农奴制的废除进一步凸显出司法改革的必要性和紧迫性。在开明官僚的推动下,决意提高俄国司法管理水平的亚历山大二世决定推行司法改革。1864年,沙皇签署法令,正式开始实施司法改革。1864年司法改革的主要创新之处在于：司法权与行政权的相对分离,口头辩诉原则的引入,陪审制的建立,对抗式诉讼模式的确立,律师及律师协会的引入,审判公开的实行等。改革创建了乡——县——司法区——省——中央的五级法院建制,完善了检察制度,创立了较为完善的上诉体制,形成了司法部和参政院联合监管下的司法管理体制。但改革最大的创新在于陪审制度和律师制度的创立。俄国陪审制是在吸收英、法模式的基础上创建的。陪审团主要通过简单多数原则来裁决,陪审团的裁决过程受司法宣誓、法官的问题列表制度、社会伦理道德等因素的影响。陪审制的引入是人民参与司法的典型体现,在俄国法制史上有着重要的意义。近代俄国的律师主要分为宣誓律师、实习律师和私人律师。律师是代表当事人维护个人权利的,他们享有言论自由。他们的管理由自治的律师协会负责。可以说,司法改革创建的律师制度对于维护专制制度下的个人权利有着重要的作用。司法改革的目标是推动俄国走上法治国家的道路。但司法的独立,司法权与行政权的分离对沙皇的专制权力产生了极大的威胁,使得司法改革逐渐成为保守派攻击的对象。19世纪70年代以后,随着俄国政治环境的变化,沙皇政府开始采取直接和间接的措施来减低司法改革的影响力,其中最为重要的反改革措施是1881年安全法令的颁布和1889年地区长官制度的建立。改革逐渐走向了反改革。在反改革的影响之下,司法独立遭遇到专制权力强有力的挑战。直到1917年,改革者建立法治国家的目标仍然没有实现。尽管如此,司法改革在推动晚期帝俄社会变革方面起到了非常重要的作用,司法改革加快了晚期帝俄经济及社会转型的步伐。同亚历山大二世实施的其他改革一样,司法改革的成功也有赖于沙皇专制体制的变革。但沙皇拒绝变革自己手中掌控的专制权力,正因为如此,司法改革也不可能实现俄国法制的真正变革。本文从国内外学术界对司法改革研究现状的梳理入手,洋细探讨了司法改革的背景,内容,具体的实施及其影响。具体包括以下儿个部分：第一章：俄国司法体制的历史沿革(9-19世纪上半期)。本章主要分析了自基辅罗斯建国以来俄国的司法改革,以及改革中存在的问题。从俄国司法改革的历史来看,历代沙皇变革俄国司法体制的努力为1864年司法改革奠定了坚实的基础。第二章：1864年司法改革。本章重点论述了司法改革的背景,改革的准备,改革法令的颁布及改革的创新之处。改革前俄国司法体制中存在的严重弊端凸显了司法改革的必要性,农奴制的废除进一步促使沙皇要下定决心改革俄国的司法制度。亚历山大二世统治时期,在开明官僚的推动下,俄国正式开始实施在历史上有着重要影响的司法改革。改革的创新之处主要在于司法相对独立、审判公开、口头辩诉等。第三章：司法改革与晚期帝俄司法体制的变革。本章重点论述了改革后俄国的司法体制,包括法院组织体系的变革,检察制度的完善,上诉体制的建立及司法管理体制的创新。第四章：近代俄国陪审制的创立及实践。本章从陪审制的起源入手,详细探讨了俄国陪审制的引入,陪审团的社会构成,陪审团的裁决方式及影响陪审团裁决的主要因素,帝俄晚期对陪审制的攻击和维护以及陪审制的影响。第五章：近代俄国律师制度的形成与发展。本章从俄国律师制度的引入开始分析,重点论述了俄国宣誓律师,实习律师及私人律师的管理。同时,律师的职业道德也是本章关注的重点。第六章：晚期帝俄司法领域的反改革。本章重点论述了司法改革的成果是如何被篡改的。沙皇政府主要通过直接和间接的反改革措施破坏了司法改革所引入的原则和制度。关键是1881年亚历山大三世安全法令的颁布及后来地区长官制度的建立,部分地破坏了司法改革所确立的司法独立原则,巩固了官僚机构的权力。19世纪80年代司法领域的一系列反改革对改革后的司法体制产生了极其不利的影响。但需要强调的是,司法改革的总体结构没有因此而发生根本性的动摇。第七章：1864年司法改革的影响。本章从法制现代化的发展、法治国家的建设、社会法律意识的成长三个方面探讨了司法改革的的作用和影响。结语部分主要从现代化整体历史发展的维度分析了1864年司法改革的影响。笔者认为,对1864年司法改革的评价不仅要看改革的制度设计,更要从长时段的角度分析司法改革的实施及其影响。本文的创新之处首先在于：基于国内外学术界的相关研究,本文较为全面地梳理了1864年司法改革的起源、发展及影响,从而在一定程度上弥补了学术界对亚历山大二世大改革研究的不足。其次,本文运用了《1864年司法改革法令》和《俄罗斯帝国法令全集》等原始文献,较为充分的史料使得本文的立论更具说服力。最后,本文不单单从法律的发展本身来探讨1864年司法改革,而是将其置于社会变革和现代化整体历史发展的维度来透视司法改革。这是研究方法上的创新。更多还原

【Abstract】 The Russian Great Reforms is one of the most significant political events in Russian history. Many historians both outside and at home have discussed it. After the defeat of the Cremean War, Tsar Alexander II proposes reforms in order to change Russian disadvantaged positon in Europe. After the Emancipation of serfdom, Alexander II has implemented Education Reform, Local Self-government Reform, Judicial Reform, Financial Reform and Military Reform. A series of significant reforms marked a "Great Reforms" period in Russian history. Great Reforms was the outset of Russian modernization. It was also the basis of modern Russian transformation.One of the most important reforms of Alexander II was the Judicial Reform of 1864. The new court system is based on modern principles of European jurisprudence. Judicial independence, open trial, adversary principle, jury trial and independent bar were introduced into Russia. Russian judiciary has become more and more mature. There lacked monographic study on Russian Judicial Reform at home. I will try my best to systematically study Russian Judicial Reform based on existing documents.I believe Judicial Reform was the basis of Russian Rechtsstaat to promote modem Russian transformation. Concretely speaking, corruption and inefficient judicial management were the main evil of Russian judiciary prior to 1864. In order to improve Russian judicial management, Russian Tsars reformed Russian judiciary. PeterⅠ’s Judicial Reform, CatherineⅡ’s Local Management Reform and Nicholas I’ Law Codification were attempts to reform Russian judiciary. Despite the various attempts, the old court system remained inept and unjust. After Tsar Alexander II succeeded, the Emancipation Proclamation in 1861 necessitated the creation of new court system. In 1864, under the promotion of enlightened bureaucrats, Alexander II promulgated a decree and implemented the Judicial Reform.The innovations of Russian Judicial Reform were:relative separation of administrative power and judicial power, oral court proceedings, trial by jury, adversary principle, open trial and introduction of self-government bar. In place of the old complex system of courts, five sets of tribunals were created. New courts included the volost’s court, the justice of the peace, the okrug court, the judicial chamber and the Senate. Well-managed procuracy, appeal system, judicial management charged by the Senate and the ministry of justice were also created.The most important innovations of Judicial Reform were jury system and lawyer system. Russian jury system is borrowed from England and France. Jury decided the case during the jury trial by a single majority principle. The judicial oath, the final questions for jury and the moralization of guilt played important role in jury trial. Reform signaled the participation of more Russians in the judicial system than ever before. The jury achieved a high degree of success and expanded throughout Russia. It was perhaps the most radical part of Judicial Reform.Modern Russian lawyers included sworn attorneys, lawyers-in-training and private attorneys. How to protect individual rights was the main task of lawyers. They enjoyed the relative freedom of speech. Modern lawyers were self-government.According to reformers, Judicial Reform aimed to transform Russian into a country under the rule of law. However, when Judicial Reform started to be implemented, Tsar and many high rank officials found that most principles and institutions introduced by Judicial Reform threatened their traditional autocratic power. Some one began to attack reform. In the 70th and 80th of 19century, with the change of Russian political environment, Russian government tried to lower the effects of Judicial Reform by direct and indirect counter-reforms. "Regulations on Measures for the Defense of the Governmental Order and of Public Safety" in 1881 and Land Captain system in 1889 were especially important. As many of the other Great Reforms fell short of their intended goals, so too did the Judicial Reform. However, counter-reforms were unable to change the fundamental structure of reforms. The Judicial Reform played an important role in perfecting of Russian law, promoting political transformation and training people’s legal consciousness in late Imperial Russia. Reform helped Russian economic and social transformation.I believe that the counter-reforms took place primarily because the new court system was incompatible with the patterns of Russian autocracy. The Judicial Refom unleashed forces on Russian society that the autocracy was unwilling to accept.Using archival sources, this study examines the origin, contents, implementation and effects of Russian Judicial Refonn in 1864. Concretely speaking:ChapterⅠ:Historical Legacy. This chapter briefly sketched the court system prior to 1864. When one looks at the old court system, one readily sees that Russia’s legal institutions were in desperate need of reform. Tsars from Kievan Rus to Nicholas I tried their best to improve Russian judicial management. Their efforts were the basis of the Judicial Reform in 1864.ChapterⅡ:The Judicial Reform of 1864. This chapter discussed the background, preparation, promulgation and innovations of the Judicial Refonn. Corrupt judges, a confusing array of courts, court instances and a cumbersome bureaucracy, all of them lent an air of arbitrariness to the administration of justice in Russia. Yet in a society where the majority of people lived under serfdom and then had few legal rights, those in power saw little need for a new judicial system. The Emancipation Proclamation in 1861 changed all that. The abolition of serfdom necessitated the creation of new court system. Under the promotion of some enlightened bureaucrats, Tsar AlexanderⅡdecided to implement judicial reform. The innovations of Judicial Reform were relative judicial independence, oral court proceedings etc.ChapterⅢ:Judicial Reform and the Judicial Transformation in Late Imperial Russia. This chapter analyzed Russian new judiciary in Russia. With the implementation of Judicial Reform, new court instances were created, procuracy was more mature, better appeal system was introduced and judicial management was innovated.ChapterⅣ:On the creation of Russian jury system and its practice. This chapter started from the origin of jury system, it discussed the introduction of Russian jury system, social composition of Russian jury, jury trial and how jury decided the case. Lastly, this chapter analyzed the effects of Russian jury system.ChapterⅤ:On Modern Russian lawyer system. This chapter firstly sketched the origin and development of Russian lawyer. With the introduction of publicity of court proceedings and open testimony in court, the new system created a role for legal experts to act as representatives in court. Yong dedicated lawyers-in-training and sworn attorneys flocked to the legal profession. There were also many private attorneys in late Imperial Russia. Many used the new court system to champion the rights of the individual and advance the concepts of fair and equitable justice. This chapter will also discuss Russian lawyer’s ethics.Chapter VI:Counter-reforms in late Imperial Russia. This chapter discussed why reformer’s goals were not realized. The new court structure and the principles upon which it was based were a radical departure from the past, as were others of AlexanderⅡ’s Great Reforms. At best, the new legal institutions enjoyed only a few years of peace. Beginning in the early 1870’s, the government embarked upon a policy that attacked the new court system and its officials. They used indirect measures of pressure on court officials as well as direct legislation to rescind many of the original reforms. However, the fundamental structure of Russian Judicial Reform was not changed.ChapterⅦ:The Effects of Judicial Reform. This chapter sheds further light on the nature of Russia’s legal institutions and the role they played in the social transformation and political development that were occurring in Russian society in late Russian Empire.In conclusion part, it assesses the Judicial Reform in 1864 from the historical development. I believe, we should study Judicial Reform on the basis of its institution, as well as its implementation and its role in society.The innovations of this paper are:firstly, this paper systematically studied the origin, process and effects of Russian Judicial Reform in 1864. Secondly, the conclusion is based on the analysis of original documents. Lastly, my study is based on the context of social and historicial development.更多还原