【作者】 刘全娥；

【导师】 汪世荣；

【作者基本信息】 吉林大学 ， 法学理论， 2012， 博士

【摘要】 “政法传统”常被作为我们现实生活中诸多法律现象背后的体制背景与运作逻辑。既有研究表明：“政法传统”源于苏维埃根据地、形成于陕甘宁边区时期（以“马锡五审判方式”为标志），是立足于中国国情、具有中国特色的现代法律传统，其基本内涵指法律与政治紧密联系，且法律服务于政治目的。但关于“政法传统”的内涵与特征的分析主要限于线条式勾勒，对于其源头陕甘宁边区司法的考察仍处于话题分散、研究对象割裂的状态，未能将中国现代法律传统、“政法传统”以及陕甘宁边区的司法实践贯通，并在此基础上考察“政法传统”的根源及整体特征，而这样的考察无疑有助于我们从源头上了解“政法传统”何以形成及其与特定司法环境的密切关联，有助于我们加深对当下司法问题的理解与思考。本文以陕甘宁边区的司法档案文献为主要材料，以历史研究法、案例分析法为主要分析手段，以陕甘宁边区司法改革及其中的终审机构政府审判委员会为双重视角，着重探讨司法层面的“政法传统”在边区司法改革时期的形成过程，在此基础上提炼这一传统的主要特征并分析其成因。同时，展示出革命法律史上这一段珍贵而完整的司法改革史，尤其是边区政府审判委员会的改革历史。本文认为，中华苏维埃根据地的司法制度在移植前苏联法制的基础上进行了适应实际的变通，其司法机构的设置倾向于集中、诉讼程序倾向于简化、司法功能侧重于镇压反革命，初显革命化“政法传统”的雏形，成为边区时期“政法传统”形成的渊源。1941至1944年间的陕甘宁边区司法改革是“政法传统”形成的关键时期。改革包括前期的司法正规化改革及后期“马锡五审判方式”的推出及影响。国共合作的大背景、相对安定的后方环境及一批法律专业知识分子进入边区，推动了以建立新民主主义法制为目标的司法正规化改革。雷经天领导下的改革因对正规化的误解而走向了行政化。李木庵时期推行以完善审级体制、司法人员专业化、诉讼制度规范化、倡导刑事和解与民事调解为主要内容的全面改革，使边区司法制度开始步入规范化轨道。但由于一元化政治体制的推行、整风审干后期抢救运动的影响等，引发了边区政府的司法检查与改革转向。边区政府在对于司法正规化改革的检讨与反思中，终止了具有脱离实际倾向的正规化改革，明确了与国民政府司法制度分道扬镳，从实践中探索立足边区实际、贯彻民主集中制及群众路线的新民主主义司法制度。“政法传统”的思路渐趋明晰。与对司法正规化改革的检讨和反思并行，边区政府及司法界开始将目光转向司法实践，通过对基层司法经验的总结、试验及与司法正规化改革的比较，推出了“马锡五审判方式”，并以此为契机推动了调解运动的普及，在整合全社会资源的基础上，初步形成了纠纷解决的多元化机制，标志着具有边区特点的“政法传统”的形成。对于“政法传统”形成过程的进一步分析以改革中成立的三审终审机构政府审判委员会为具体考察点：通过对其设立及发展历史的分析，展现了司法独立倾向与边区一元化政治体制的冲突；通过对“安成福与赵积馀等人争买土地案”诉讼过程的分析，展示出边区诉讼模式具有强职权主义、当事人主义及行政化的特点；通过对“王生秀与呼生祥窑产争执案”中诉讼审级作用的分析，阐明接近基层的二审（高等分庭）具有更多的审级优势。通过上述分析，揭示出“政法传统”形成中政治体制的硬性约束、实践中诉讼模式的变通及审级结构的建立理念，进而表明现代法治的建立须立足本土环境的重要性。在司法改革中渐趋形成的“政法传统”立足于边区复杂的法治环境，以中国革命成功的经验为其理论基础，在观念层面体现了司法服务于政权工作和司法为民的理念，具有涤荡旧污、革新社会基础、化争解纷的多重功能；在制度层面体现为司法构造集中化、审级结构柱形化的特点；在运作层面显示出法官选任普通干部化、诉讼程序简便化、诉讼过程行政化、解纷方式多元化的特征。上述特征具有其逻辑自洽性。究其成因，主要缘于后发型现代国家以政党为核心力量的革命形式与革命性质、边区司法的生态环境及传统法律文化观念的影响。同时，又显示出忽视对权力的规范与制约、忽视法官专业素质及程序规范的局限。随着时代背景的转换，“政法传统”也面临着自我更新的困境和机遇。更多还原

【Abstract】 The“tradition of politics-law”is often regarded as an institutional backgroundand operational logic behind many legal phenomenons in our real life. The existingresearch indicates that the“tradition of politics-law”is a modern legal tradition withChinese characteristics, which is derived from the Soviet period (marked with MaXi-wu-Styled Trial), formed in the Shensi-Kansu-Ningsia Border Region, and based onthe national conditions of China. Its basic meaning is that law and politics are closelyrelated, and the law services for political purposes. However, the existing analyses onthe meaning and characteristics of the“tradition of politics-law”are largely confinedto the brief sketch, and their investigations to the source of the tradition, the judicialpractice of Shensi-Kansu-Ningsia Border Region are meeting the problem of topicscattering and object fragmented. Besides, the existing analyses on this issue failed tomerge the modern legal tradition of China, the“tradition of politics-law”and thejudicial practice of Shensi-Kansu-Ningsia Border Region, through which we canexamine the source and the overall characteristics of the“tradition of politics-law”.Undoubtedly, such an examination will both help us to understand the reason for theformation of the“tradition of politics-law”we have inherited and its close relation tothe particular judicial environment, and help us to deepen the understanding the currentjustice issues.From the perspectives of Shensi-Kansu-Ningsia Border Region’s judicial reformand the trial committee of the Border Region Government as the final trial agencyduring the period, with judicial archives of Shensi-Kansu-Ningsia Border Region asthe main material, and using the method of historical research and case study, thisdissertation concentrates on the formation process of judicial“tradition of politics-law”in the border area, as well as summarizes characteristics of this tradition and analyzes its causes. Simultaneously, this dissertation will reveal a valuable and complete historyof the judicial reform, especially the history of reform of the trial committee of theBorder Region Government.The author insists that, on the basis of transplanting the former Soviet Union’slegal system, the judicial system of the Soviet base areas was modified to adapt toreality, with its judicial institutions tending to centralization, the procedures tending tosimplify, and the judicial functions emphasizing on counter-revolutionary repression.All the above has shown a prototype of revolutionary“tradition of politics-law”, whichbecomes the foundation of judicial development of Shensi-Kansu-Ningsia BorderRegion.The judicial reform of Shensi-Kansu-Ningsia Border Region from 1941 to 1944 isa critical period to the formation of the“tradition of politics-law”, including the earlystage of judicial regularization reform and the later stage of Ma Xi-wu-Styled trial andits impact. The background of KMT-CCP cooperation, the relative stability of the rearenvironment and a number of legal professional intellectuals throwing themselves intothe border region, promoted the reform of the judicial regularization aiming atestablishing a new democratic legal system. The reform under the leadership of LeiJing-tian turned to administration due to a misunderstanding of regularization. Thecomprehensive reform was implemented in Li Mu-an period with the content ofimproving the trial-level system, specializing of judicial officers, standardizing oflitigation and advocating criminal reconciliation and civil mediation, which madejudicial system of Border Region into a initially standardized track. However, theimplementation of a unified political system and the rescue movement in the laterperiod of rectification lead to the appearance of judicial review and the transformationof the reform. In the review and reflection on the reform of the judicial regularization,the regularized reform with unrealistic tendency was ceased, the new democraticjudicial system was sharply separated from National Government, and the judicialsystem of new democracy implementing the democratic centralism and the mass linewas explored from practice. The idea of the tradition of politics-law is gradually becoming clear.In parallel with review and reflection on the judicial regularization reform, theBorder Region Government and the judiciary began to turn their attention to thejudicial practice. With the summary of the primary judicial experience, test andcomparison of judicial regularization reform, Ma Xi-wu-Styled Trial was promoted,which could spread the mediation movement. Besides, on basis of integrating wholesociety’s resources, diversification mechanism of dispute resolution was formed,which indicates the formation of the“tradition of politics-law”with the border regioncharacteristics.With the final third trial, the trial committee of the Border Region governmentestablished in the reform as a specific inspection point, this dissertation furtheranalyzes the formation process of the“tradition of politics-law”. By analyzing itsestablishment and history, this dissertation shows the conflict between the tendency ofjudicial independence and the unified political system in the Border Region. Byanalyzing the litigation process of land purchasing case between An Cheng-fu andZhao Ji-yu, this dissertation demonstrates the Border Region litigation model with thecharacteristics of strong powers doctrine, litigant principle and administration. Byanalyzing the case between Wang Sheng-xiu and Hu Sheng-xiang to compete forcave’s right, this dissertation reveals that the second trial(Higher Chamber) which ismore close to the grass root has more advantage. Above all, this dissertation reveals theinflexible rules of political system in the formation of the“tradition of political-law”,the alternative of the litigation mode in practice and the ideas of establishing judicialhierarchy. Moreover, it reveals that it is of great importance for the modern rule of lawto be based on the local environment.The“tradition of politics-law”forming gradually in the judicial reform is basedon the border region’s complex legal environment and the successful experience ofChina’s revolution theory. At the level of concept, it reflects the idea that justice servesfor people and politic power with the multi-function of washing away the old,renewing the social foundation and resolving disputes. At the level of institution, it appears as the centralization characteristics of justice structures and cylindricalcharacteristic of the trial-level structure. At the level of operation, it reflects thecharacteristics of ordinary cadres of the judge elected, simplify of litigation process,administrative of litigious process and diversification of solutions to disputes. Theabove characteristics have their own logical self-consistency. The reasons are mainlythat revolutionary form and nature with the hard core of political party in theunder-developed states, the ecological environment of the border region and thetraditional concept of legal culture. Simultaneously, it meets the problem of neglectingstandard and constrain of power, as well as the limitation of ignoring the judges’professional quality and rule of practice. With the conversion of the historicalbackground, the“tradition of politics-law”is also facing the difficulties andopportunities for self-renewal.更多还原