【作者】 王海军；

【导师】 何勤华；

【作者基本信息】 华东政法大学 ， 法律史， 2012， 博士

【摘要】 在人类发展的进程中产生了多种文明，而法制文明确是一个较为重要的部分，它不仅凸显出一个国家或者地区的法制发展状况，更为重要的是描绘了其中法制变迁的轨迹，展现出一种相对直观的文明表象。在世界法制文明发展的进程中，无论是发达还是落后地区都在不同程度上发挥着作用，俄罗斯作为一个古今国际上都占有重要地位的国家，它的存在和表现不容忽视，如果站在俄罗斯法制史的角度上观察，其古代时期的法制则更是一个值得探究和讨论的问题。在俄罗斯古代的法制进程中最具有标志性的表现即为《罗斯法典》，它可谓是俄罗斯法制进程中一个里程碑。《罗斯法典》的形成经历了一个较长的历史过程，而其政治基础就是基辅罗斯的建立。基辅罗斯是俄罗斯历史上第一个国家，也称罗斯。罗斯国家的建立是一个较为复杂的史学问题，简而言之它是在内在基础和外来入侵的双重条件下形成的，而《罗斯法典》就是在罗斯国家这个政治组织基础上逐渐形成的。从这部法典的内容来源上考察，其具有多元性，包括原始习惯、王公立法、会议决议、国际条约及外来法制，整部法典包括《雅罗斯拉夫法典》、《雅罗斯拉维奇法典》和《莫诺马赫法规》以及其他一些法规，其中的内容都是在这些来源的基础上逐渐出台的，同时法典中的各部分都是不同的历史时期的产物，根据不同的社会环境而制定、修改和增补，直到13世纪初才将几部分整合成一部法典。所以从实质意义上说，《罗斯法典》并不是一部真正的法典，而是一部法律汇编。从文本上分析，《罗斯法典》分为简编本法典和详编本法典，同时在俄罗斯历史文献中存在着大量的法典抄本，这些抄本的不同出处或者是内容序列都决定了法典的版本类型。相对于近现代的成文法典而言，《罗斯法典》在体例和结构方面都显得原始而粗糙，甚至略显复杂，条文编排也略显凌乱无序，逻辑和语言风格也较为简单，但作为一个古代法典的确无可厚非。对于当时的俄罗斯国家和社会而言，对外征战和对内统治是并行的，但是出于政治巩固和社会稳定的考虑，需要有一套较为实用的制度来保障国家的运行，首先就要保证王（大公）权，王公的权力随着社会的进步和环境的变迁产生了变化，其身份性质也由以往的部族领袖转变成了君主，而且逐渐建立起一套王位的继承制度，虽然其中经历了由顺序制到世袭制的变革，并且当中弥漫着腥风血雨和激烈争论，但是这两种制度在当时的历史环境下都起到其应用的作用。罗斯初期并没有制度化的行政管理体系，然而也逐渐的在中央和地方都建立起了一套管理系统，大公依靠各地的封邑王公、波雅尔以及具有军事性质的亲兵组成核心统治机构，并且建立了谓彻、王公会议、杜马和封建主大会等机关，同时在地方建立了市镇、村社组织，赋予其职能来实现基层的统治。不仅如此，罗斯还建立起了等级制度，借此来保障特权利益和社会控制的有效性，当时社会中存在不同的阶层，包括特权阶层、自由民和奴隶，并且随着社会变迁和经济发展还产生了贵族、依附的斯麦尔德和债农这些新阶层，他们都是社会人员的组成部分，各自具有不同的身份和社会地位，法律给予他们不同的定位，实行着有差别的对待，并借此来凸显等级制度。这种等级制的表现在法律规定中都可以明显体现出来，统治者也需要用这样的方式来维护上层人员的利益。基辅罗斯的法律制度集中表现在《罗斯法典》中，记载的法律内容较为丰富，如果用近现代的法律语言来考察，当时的法典中已经存在有关刑事、民事、司法和诉讼各方面的规定。首先，涉及较多的就是刑事法律制度，包含了犯罪和刑罚两个部分。其中关于犯罪的理论问题表述极为模糊，只能从一些具体条文的描述中分析得出犯罪构成、正当防卫和集体犯罪问题，犯罪类型集中在侵害人身和财产两个方面，主要表现为杀人、人身伤害、侮辱性的行为、盗窃、损坏他人财物等，此外还包括危害国家政权和宗教道德性质的犯罪行为，但后两者在法典中并没有直接体现。刑罚方面则包括了具有私力性质的血亲复仇，具有财产性的罚金、命金和赔偿金，流刑和没收财产，以及法典中未提及却实际应用的死刑。其次是民事方面的法律制度，包括婚姻家庭和继承制度，以及财产法律制度。有关婚姻家庭的规则，在法典中并没有提及，但是通过一些相关资料也可以大致了解当时的具体情况，其中缔结婚姻的方式从原始的多神教时期的抢婚、买卖婚和送婚到后来东正教教会时期的宗教婚礼，经历了一个法律与社会的变迁过程，并且在社会中存在原始方式与教会方式并存的现象。宗教结婚的缔结需要具有法定条件，须举行教会式的婚礼，解除也需要通过教会才可以实现。家庭中的成员之间需要根据一定的既定关系才可以维系，其中配偶之间、父母与子女之间的人身、财产关系就很自然的建立起了家庭中的各种规则和秩序，并且已经出现了监护制度。相对婚姻家庭制度而言，继承制度在法典中有明显的规制，当时法律已经规定了遗嘱继承和法定继承，并且以各种形式和方法来调整继承事实中的事件，不同阶层的社会成员、性别的差异以及法定事由的不同都会使得继承方式不同。民事法制的另一个方面就是财产法律制度，物权对于当时来讲并没有很大的意义，占有和所有权的区别已经出现，在很大程度上物权制度并不完善；相比较而言，债法方面的制度就显得丰富一些，当时出了极少数的侵权之债外，最多的就是契约之债，并且存在多种契约形式，形成了一种契约体系，在这样的基础上建立起了一套契约型债法的规则。最后，在司法与诉讼方面，《罗斯法典》也具有具体体现。当时并没有专门的司法机关，而是依靠各种行政性机构来完成，审判组织包括王公法庭、谓彻、村社法庭和教会法庭，以及具有世俗和教会混合的会审法庭，诉讼主体不仅包括个人也包括家庭，同时已经出现了诉讼代表，诉讼主体进行诉讼的行为是多种多样的，起诉是最主要的方式，并且法律规定在起诉之前还有一个对质程序，用这种较为特殊的行为来完成诉讼中可以完成的任务，而抓捕罪犯的责任多落在村社身上，而具有利益性的执行行为则被统治阶层所垄断。在诉讼中较为重要的就是证据，这直接影响到了诉讼的胜败，所以在当时具有一整套的证据制度，即包括直接性较强的供词，证人的作证，也包括神秘而有效的神判，甚至存在为法律所回避的司法决斗。诉讼过程中所涉及的费用问题也在法律规定范围之内，这些不仅是一种常规性的收费，更主要的是可以为统治阶层带来经济利益。从某种意义上说，俄罗斯是一个宗教性格较强的国家，这在其古代社会就已经很明显。俄罗斯的宗教经历了多神教到东正教的转变，并且形成了双重信仰，这些对于法制的发展和变革都有很大影响，而其中起到主要作用的就是东正教。东正教的传入和确立使得罗斯开始转变统治方式，利用宗教完成其政治目的的意图日趋明显，而从法制角度来看，教会及其规则对《罗斯法典》本身和法律制度的影响都凸显了出来，可以说，无论是对原有习惯法的改造还是对法典的编纂，都是俄罗斯法制中宗教因素的表现。总体而言，《罗斯法典》作为俄罗斯法制史上一部重要的法典，应当在客观的层面上去评价其意义。对于当时的罗斯社会而言，法典发挥了其应有的功能和作用，在社会控制和法制发展方面都有不可磨灭的历史功绩，在俄罗斯法制发展的进程中，《罗斯法典》无论在当时还是其后的历史阶段都依然产生着影响，发挥着法律传承的作用和功能。同时《罗斯法典》还具有重要的价值，在宏观层面上它不仅是俄罗斯法制的基石、俄罗斯法典化的开端，微观上也是俄罗斯法制史、社会史学术研究的重要史料。《罗斯法典》作为俄罗斯法制史上的最早法典，在现在已经失去了其往日的光辉，但是对它的考察和评价依然不能忽视，因为其中所包含的学术价值和意义都是不可小视的历史财富。更多还原

【Abstract】 In the process of human development it produced a variety of civilizations, ofwhich legal civilization played a relatively important part. Legal civilizationhighlighted the legal condition of a country or region, more importantly it portrayedthe track of the legal system and displayed a relatively intuitional civilization. Russiais an important country in the world, and in the perspective of legal civilization, itsancient legal system is worth further study and research. Among them theestablishment of “Ross Code” is a milestone in the process of legal system in Russia.The formation of the “Ross Code” experienced a long historical process, and itspolitical foundation was the establishment of Kievan Rus. Kievan Rus was the firststate in the history of Russia, which also called Ross. Ross was established from dualcondition of internal condition and foreign invasion, and the “Ross Code” was justbased on the political organization of Ross. The code had diverse sources, includingthe original habits, royal legislation, conference resolution, international treaties andforeign legal system, and comprised the “Yaloslav Code”,“Yaroslavich Code”,“Manumach Regulations” and some other regulations. That’s to say all parts of thecode were the products of the different historical period, and were amendmented andsupplemented according to the different social environment. So in substantial sense,the “Ross Code” was not a real code, but statutes. Contrasted to the modern writtencode, the “Ross Code” seemed original and rough in style and structure, and theprovisions and layout was in messy disorder and the logic and language style was also relatively simple, but as a whole it was undoubtedly an ancient code.For the Russian state at the time, it needed to have a practice system to guaranteethe functioning of the state and ensured the king’s (maharaja) right. The power ofmaharaja along with the progress of the society and the change of environment hadchanged, and its identity turned to the sovereignty from the tribal leaders. Ross had noadministrative management system in early time, but gradually in the central and localhad established a set of management system. Besides it established royal meeting, theconference of authority and the state duma and at the same time built the town andrural organization. What’s more Ross also established a rating system to secureprivilege interest and social control.The “Ross Code” was embodiment of the Kievan Rus legal system, and itrecorded abundant content, including criminal, civil, and judicial and litigation in allaspects of the regulations. First of all, it contained the criminal law system includingcrime and punishment. For one thing, the theory of crime was fuzzy, you could onlyget the analysis of the crime, justifiable defense and collective crime from thedescription of some specific provisions. Besides, it also included the crime of harmingthe state power and religious moral nature, but both had no direct embodiment. Foranther, the private nature of the force with blood vengeance, the property of the finelife, gold and damages, exile and confiscation of property were all involved inpunishment, as well as the death penalty which was actually applied though did notmention in the code. Secondly, the “Ross Code” contained the civil legal systems,including marriage and family, inheritance system and property law system. Thoughnot mention in the code, the marriage family rules could be seed from the specificcase at the time. Relative for marriage and family system, inheritance system in thecode had obvious regulations, when the law had stipulated the testamentarysuccession and statutory succession, and adjusted the events of the fact in variousforms and methods. The property law system was another aspect of the civil legalsystem. While the real right system was not perfect, the debt law was much rich,including infringement debt, debt of the contract, both of which set up a set of rules ofcontractual debt. Finally, the “Ross Code” also had specific provisions in judicial and litigation. At that time there were no special judicial organs, but rather variousadministrative institutions, such as royal court judge organization, the court and thevillage church courts. The litigation subjects were not only the individual s also thefamily, and it appeared representative lawsuits. In the course of an action evidenceswas the most essential, so at that time there were a whole set of the evidence in thesystem, including direct statement, the witness’s testimony, mysterious adjudicate, andeven the judicial duel. In the process of the proceedings the expenses were alsoinvolved not only for regular fee but also it could bring economic benefits for theruling class.In a sense, it was obvious that Russia has been a country with strongly religiouspersonality. Russia’s religious experienced the transformation from polytheism to theOrthodox Church, and formed the double beliefs, which had a great influence in itslegal system. Especially the introduction and the establishment of the EasternOrthodox Church made Ross change its rule way, making use of religion to completeits political purpose. In terms of legal system, the church and its rules acted upon the“Ross code” both in the reform of the common law and the compilation of the code.Overall, as an important code in Russian legal system, the “Ross code” played amain role in the social control and legal system development, and had a significantimpact no matter at that time or for Russian subsequent history stages. Further more,it was the foundation of Russian law, and provided important historical data forresearch. So it make great sense to investigate and research on the “Ross Code”, theearliest legal code in Russia.更多还原