【作者】 周小明；

【导师】 何勤华；

【作者基本信息】 华东政法大学 ， 法律史， 2013， 博士

【摘要】 四大文明古国之一的印度为人类创造了光辉灿烂的文化，孔雀帝国、笈多王朝、戒日王朝、莫卧儿王朝的统治艺术是人类制度史的重要内容。1600年至1857年东印度公司对印度的渗透、蚕食和最后的征服给印度文明带来创伤的同时，也带来新的统治模式，总督与参事会的行政管理模式具备一定的议会内阁制的外形。1601至1757年英国政府和国会基本不直接干预东印度公司在印度的事务，英王只是通过颁发《特许状》授予公司垄断特权，而这些特许状主要起到特别公司法的性质。1757年普拉西战役之后，东印度公司征服孟加拉，英国政府和国会遂开始通过东印度公司间接统治印度。1773年《管理法》是印度殖民历史上第一部具有里程碑性的宪法性文件，该法规定由英王任命总督一人和参事四人治理印度，同时在加尔各答设立最高法院，法官由英王任命。至1857年大起义之前，英国国会又通过了1784《东印度公司法》、1786年《管理法》、1793年《特许状法》、1813年《特许状法》、1833年《特许状法》和1853年《特许状法》等“宪法性”文件，对英国政府和东印度公司共同统治印度的双重治理模式做出零星的修改。1858年英王直接统治印度到1948年8月15日印度独立的90年是印度逐渐走上议会内阁制和实现自治的历程。1919年《印度政府法》在地方政府实行“半责任政府”，1935年《印度政府法》在地方实行形式上的完全议会内阁制责任政府，在中央则实行“半责任”政府。独立后的印度宪法中的75%的内容渊源于1935年《印度政府法》。印度独立和印巴分治带给印度人民创伤的同时，也给印度人民带来自己决定自己命运的机会。1946年12月9日，由各邦立法会选举和王公邦推选产生的299名制宪会议成员召开第一次制宪会议（实际参加人数为210人），选举拉金德拉·帕拉萨德担任制宪会议主席，安倍德卡博士为宪法起草委员会主席，B.N劳为宪法顾问。制宪会议存续时间为2年11个月17天，共召开会议11次，会期共计165天。1950年1月26日生效的印度宪法是印度人民走向民主宪政的伟大开端。1950年印度宪法共22编（今为26编）395条（今为448条），8个附表（至2012年为12个附表），共计10几万字。印度宪法确立了宪法三大基本制度：基本权利、议会内阁制和联邦制。英国长期殖民、复杂的种姓、多元宗教语言和弱中央集权的历史传统等因素是印度能够制定并保持共和宪法的重要原因。印度宪法基本权利分为6组：1）平等权；2）言论、财产和人身自由权等传统自由权；3）免受剥削的权利；4）宗教信仰自由权；5）（少数民族）文化教育权；和6）宪法救济权。这些权利的核心或心脏是宪法第32条的宪法救济权，它是一切其他权利得以存在和实现的根基。该条设计了5种特权令状以保护宪法基本权利，分别是人身保护令(Habeas Corpus)、履行令（Mandamus）、禁止令（Prohibition）、调卷令（Certiorari）和调查令（Quo Warranto），同时该条规定印度最高法院可以通过发布指示和命令等任何“合适程序”救济宪法基本权利。另外，印度司法机关以强有力的违宪审查机制保障宪法基本权利，印度法院不但可以审查行政行为和法律是否合宪，同时还有权审查宪法修正案是否合宪——如果宪法修正案破坏宪法基本结构，宪法修正案也可以被法院判决违宪无效。印度最高法院在凯瑟万达诉喀拉拉邦案件中确立了宪法基本结构理论。80年代末以来，提高表列种姓、表列部落以及其他落后阶层人员的地位是印度晚近平等权变迁和修宪的重要内容。宪法第21条人身自由权则是印度宪法实体基本权利的中心，司法机关在80年代以来在救济人身自由权的时候，通过判例发展出许多新的诸如小贩贩卖权、免被铐手铐权、安乐死权等诸多新基本权利。从1980年桑尼尔·巴特拉诉德里市政府（Sunil Batra v. DelhiAdministration）案件开始，最高法院通过公益诉讼案件突破了传统的当事人适格理论——任何善意的人都可以基于公共利益受到损害为由向法院起诉被告以救济权利，基本权利也通过该制度获得强有力的保障。印度基本权利救济和违宪审查对中国的启示是：我国应该走一条渐进式的基本权利救济与违宪审查模式（或宪法监督模式）：第一步是允许普通司法机关对没有被具体化为法律权利的基本权利提供救济；第二步是授权普通司法机关审查行政行为（不含行政法规和规章）是否违宪的权力；第三步是普通司法机关在民事诉讼、行政诉讼和刑事诉讼中发现法律、行政法规、地方性法规和政府规章违宪时提交给全国人大或全国人大常委会，普通司法机关根据全国人大或全国人大常委会的违宪审查意见对具体案件作出判决；第四步是授予普通法院审查除法律和行政法规之外的其他法律（即地方性法规和政府规章）是否违宪的权力；第五步是在全国人大之下设立宪法法院或宪法委员会审查全国人大常委会制定的法律和行政法规是否违宪；第六步是设立完全独立于全国人大的宪法法院审查所有的法律和行政法规（此时全国人大和人大常委会只作为最高权力机关和立法机关）是否违宪审。印度将英国的议会内阁制惯例通过宪法成文化，在第五编和第六编中详细地规定了联邦议会内阁制和邦议会内阁制。印度议会内阁制的核心是以总理为首的部长会议向议会下院负责，一旦部长会议不受议会过半数信任，则必须集体辞职或者请求总统解散议会重新大选。印度宪法同时设立总统作为行政首脑和国家元首，但必须依照总理和部长的建议行事，总统“统而不治”。但在出现悬浮议会——没有任何政党获得议会过半数席位以及出现政府信任危机的时候，总统是否必须接受已经不受议会信任的部长会议的意见，印度宪法没有明文规定，但印度也没有遵循英国议会内阁制惯例——解散议会重新大选，这留给印度宪法实践诸多难题。公务员制度本为行政法的内容，但印度宪法专编（第14编）规定了公务员制度，因为640万印度公务员是印度议会内阁制高效运行的基础。印度公务员范围较广，除民选政治家、军人和国有企业之外的所有政府雇员（含法官）均为公务员。印度宪法设立权威独立的联邦和邦公务员委员会分类管理公务员，宪法同时规定了公务员的程序性权利。悬浮议会的出现以及政府不受议会信任的时候总统的权力问题是印度议会内阁制晚近发展的重大议题。印度宪法现行的实践是，如果出现悬浮议会（没有任何一个政党或政党联合获得过半数的席位），总统则给予可能获得议会过半数信任的政党或政党联合一定的时间，使其努力获得议会过半数信任，若获得议会过半数信任，则组建政府；政府在施政过程中如果出现信任危机，总统也是给予不受议会信任的部长会议或其他政党机会，使其获得议会信任，如果经过努力仍无法取得议会信任，则解散议会重新举行大选。其原因是印度属于发展中大国，经不起过于频繁的大选。1985年第52次和2003年第91次“反叛党法”修正案是针对议会党员叛党造成政府频繁更迭所出台的应对措施，该修正案规定若议会党员叛党则将丧失议员资格且在本届议会剩余期限内或至该党员被重新选为议员之前不得担任有薪水的政治职务，反叛党法问题也是一党独大时代结束后印度议会内阁制所遇到的新课题。如果说宪法基本权利、议会内阁制印度更多地是学习或移植外国的宪法制度，那么印度联邦制则具有更多的“独创性”。一方面印度宪法非常详细地划分了联邦和邦之间的立法权限，因此印度属于联邦制无疑。同时又设计了诸多有单一制特色的制度，如经联邦院同意，联邦可以针对邦的立法事项进行立法、在邦无法依照印度宪法运行的时候可以直接对邦实行总统治理（第356条）、财政税收分权中联邦占更大比例以及统一的执法体系和统一的法院体系等等，所以也有人说印度联邦制是有联邦制框架的单一制模式。印度紧急状态条款虽然没有规定于联邦制度中，但它对联邦制度影响非常大——在特定情形下联邦制可以转变成单一制。印度的紧急状态分为三种——全国紧急状态，即战争、外敌入侵和武装叛乱而宣布的紧急状态；邦紧急状态，即邦无法依照宪法治理所宣布的紧急状态；财政紧急状态，即发生财政危机时候宣布的紧急状态。全国紧急状态既影响联邦制也影响宪法基本权利，而邦紧急状态和财政紧急状态则主要影响的是联邦制——邦的权力完全被中央取代或受中央限制。1992年第93次和第94次“潘查亚特宪法修正案”和“市政自治机关宪法修正案”是印度联邦制度晚近发展的一个重要动向，是印度宪法完善地方自治的重大举措。传统联邦制为两级分权——联邦和邦（或州）之间的分权，但在确立地方自治宪法制度的时候，则出现三级分权倾向。第93次宪法修正案规定了农村自治机关——三级潘查亚特的框架性制度，第94次宪法修正案规定了城市的三种自治机关机关——市政自治机关（Municipal Corporation）、市政委员会（Municipal Council）和那加潘查亚特（Nagar Panchayat）的基本制度，但地方自治的立法权属于邦，因此邦如何细化第93次和第94次宪法修正案以及邦是否愿意下放权力成为地方自治能否成功的关键。印度现实中的地方自治不尽人意，地方自治与“低效率和腐败”基本上是同一个词。亚洲、拉美和非洲很多国家战后不久纷纷走向威权主义或独裁道路，但印度民主宪政制度60年屹立不动，这对世界民主法治发展是一个重大的贡献。但印度民主质量低，政府低效、腐败横行，其实现现代化（主要是工业化）方面成绩并不如人意。阻碍印度发展的内在原因是其公平竞争机制的缺失，继续推动经济自由化参与世界公平竞争，形成一支强大的印度中产阶级是印度宪法从共和宪法走向民主宪法的根本之路。虽然宪政的根基在于工商业文明以及强大的中产阶级，但法律职业人的素养是宪政成功的关键因素之一，开始于1855年孟买的爱芬斯托学院（ElphinstoneCollege）的印度近现代法律教育至今已有158年，现在规范印度法律教育的最重要法律文件是1961《律师法》，该法授予印度律师委员会监督法学教育，并授权其认可印度的法学院系的权力。1961年印度《律师法》规定的学制为后本科的3年制法律教育，与美国的体制基本相同，但从1987年在班加罗尔（bangalore）建立印度国家法律大学（National Law School of India University）开始，印度又开始了后高中的5年一贯制法律教育学制。如今印度实行3年制后本科和5年制后高中并行的学制模式。印度法律教育的管理体制和学制应该说是科学的，但印度法律教育的质量则非常令人担忧，生源质量差、法律教师待遇低和法学院硬件设施落后都制约了印度的法律教育，这也是印度有宪法却只有低质量的宪政的原因之一。更多还原

【Abstract】 India is one of the four great ancient civilizations of the world who created abrilliant culture for the mankind.The ruling art of the Mauryan Empire, GuptaDynasty,Harsha Dynasty and the Mughal Dynasty is one of the important contentsof human institutional history.From1600to1857with infiltration, encroaching andfinally conquere on India, the British East India Company brought pains to IndianCicivilization,at the same time, it also brought new mode of governance toIndia.The administrationl model of governor with councilors has embryonic form ofparliamentary cabinet system. From1601to1757the British government and theBritish Parliament does not intervene directly in the affairs of East India Company inIndia. The British King awarded the company the monopoly privileges through theissuance of "Charter" and these Charters mainly played a role of special companylaw.In1757, after the battle of Plassey, East India Company conquered Bengal.TheBritish government and the British Parliament also started to rule India indirectlythrough the East India Company. The Regulating Act1773is the first milepost ofconstitutional documents in the colonial history of India. The Act provided that Indiawas governed by a Governor and four Coucilors who are appointed by the King ofEngland,at the same time, the Act set up the Supreme Court in Calcutta whoes judgeswere also appointed by the King.To the Great Rebellion of1857the BritishParliament passed the,East India Company Act1784, The Regulating Act1786, the Charter1793, the Charter1813, the Charter1833and the Charter1853.Theseconstitutional documents made sporadic modification to the dual governance modelwith the British government and East India CompanyThe90years from1858of the direct ruling of the British King on India toAugust15,1948of India’s Independence is the process of India gradually realizingparliamentary cabinet system and achieveing autonomy.The Government of India Act1919adopted “half responsible government” in States and the Government of IndiaAct1935adopted by the form of parliamentary cabinet system with fullresponsibility in States,while implementing “half responsible government "in theUnion. The content of the Republican Constitution of India was originated inthe Government of India Act1935with the content of more than75%.The independence and the partition of India and Pakistan brought trauma to thepeople of India.However,it also brought to the people of India the chance to decidetheir fates. The first Constituent Assembly was held on December9th1946with299members(the actual number of participants is210)who are elected indirecly by theLegislative Assembly of States or appointed by the Princely States. Dr. RajendraPrasad was elected the President of the Constitutent Assembly and Dr. B. R.Ambedkar was appointed the Chairman of Drafting Committee and B.N. Rau theconstitutional adviser.The Constituent Assembly lasted for2years11months and17days and met11times with165days of the duration of the meetings TheConstitution of India which came into effect on January26,1950is the greatbeginning for Indian people to move towards democracy and constitutionalism.TheConstitution of India of1950with a total of22Volumes (now26volumes),395Articles (now448Artilces) and8Schedules (till2012with12schedules) had a totalof more than ten thousand of words.The Constitution of India established the threefundamental systems of constitution: the fundamental rights, the parliamentarycabinet system and the federal system. The following are the reasons that India canmake and keep republican Constitution:the long time of British colonial rule,complicated caste system, pluralistic religions and languages and weakcentralization tradition. The fundamental rights of the Constitution of India are divided into6groupsrespectively:Right to Equality, Right to Freedom, Right against Exploitation, Righ toFreedom of Religion,(Minority) Cultural and Educational Rights and Right toConstitutional Remedies. The core or the heart of these rights are the Right toConstitutional Remedies in the thirty-second article of the Constitution,which is thefoundation of all the other fundamental rights. This article designes5kinds ofprerogative writs to protect the fundamental rights which are the Writ of HabeasCorpus, the Writ of Mandamus, the Wirti of Prohibition, the Writ of Certiorari andthe Writi of Quo Warranto.At the same time Article32provides the Indian SupremeCourt to release any Diretions and Orders through suitable proceedings to protectfundamental rights. What’s more, the Indian judiciary had strong constitutional reviewmechanism to protect fundamental rights.The court of India not only reviewadministrative behavior and the law whether they are unconstitutional but also havepowers to review the constitutionality of the constitutional amendments--if aconstitutional amendment violated the basic structure of the Constitution,theconstitutional amendments can also be struct down and become void.The SupremeCourt of India established the theory of basic structure in the case of KesavanandaBharati v. State of Kerala.It is an important part of changes of the Right to Equality with theimprovement of the satatus of the scheduled castes, scheduled tribes and otherbackward class since1980’s. The Personal Liberty in the twenty-first article of theConstitution is the core of substantive fundamental rights,from which many newfundamental rigts such as Right to Peddling for hawkers,Right against Handcuffingand Right to Die etc are derived since1990’s.From1980through the case of SunilBatra v. Delhi Administration, the Supreme Court broke through the traditional theoryof Locus Standi and established Public Interest Litigation(PIL)-any person with bonafides can sue the defendant to protect rights on the basis of public interest beinginfringed.At the same time the fundamental rights are also remedied strongly throughPILThe enlightenment from the fundamental rights relief and judicial review in Indian Constitution for China is: China should take a gradual way to realize thefundamental rights relief and judicial review(or constitutional supervision mode): thefirst step is to authorize ordinary judiciary to give relief to the fundamental rightswhich have not been made into concrete legal rights; the second step is to authorizeordinary judicial organs the power to review the constitutionality of the administrativeact (not including the Administrative Regulations and Governmental Rules);the thirdstep is the ordinary judicial organs submit the Acts,Administrative Regulations,LocalLaws and Governmental Rules to the National People’s Congress or the StandingCommittee of National People’s Congress when the judiciary find the “laws”unconstitutional during civil litigation, administrative litigation and criminallitigation,then according to the decision of the National People’s Congress or theStanding Committee of National People’s Congress,the Court decide the case; thefourth step is to authorize ordinary judicial organs the power to review theconstitutionality of Local Laws and Governmental Rules;the fifth step is theestablishment of the Constitutional Court or Constitutional Committee which is underthe National People’s Congress to review the constitutionality of Acts enacted by theStanding Committee of NPC and Administrative Regulations; the sixth step is theestablishment of Constitutional Court which is completely independent from theNational People’s Congress to review all Acts and Administrative Regulations (theNational People’s Congress and the Standing Committee of National People’sCongress now only serve as the Highest Organ of State Power and the LegislativeBody).The Constitution of India made the constitutional convention of BritishParliamentary Cabinet System into written law and provides in the Par V and Part VIof the Constitution of India the Parliamentary Cabinet System with detailedprovisions.The core of the Parliamentary Cabinet System is the responsibility of theCouncil of Ministers headed by the Prime Minister to the lower house of theParliaments and the Council of Ministers should resign or request the Presidentdissolve parliament and to begin re-election once the Council of Ministers are votedagainst by the lower Parliament with majority.The Constitution of India established President as the Head of the Executive and the Head of the State, but must act inaccordance with advice the Coucil of Ministers,so the President “reigns but does notgovern”. In the case of a Hung Parliament--without any party to gain a majority seatsin Parliament and with the emergence of government distrust crisis, the Constitutionof India has not provides whether the president should accept the advice of theCouncil of Minsiters who have not been tursted by the lower parliament to dissolvethe lower Parliament. The practice of Indian Constitution has not adopted theBritish Constitutional Convention to dissolve the lower parliament immediately andorder for reelection and it is a difficult problem in the field of Indian constitutionalpractice.The civil service system is the content of Administrative Laws as to traditionaltheroy of law, but the Constitution of India provides specifically the system of civilservant in Part XIV,for the6.4million India civil servants is the foundation ofefficient operation of the Indian parliamentary cabinet system. All governmentemployees(including judges) except for elected politicians, soldiers and employeesin state-owned enterprises are civil servants which has a wide scope. The IndianConstitution set up the Public Service Commission for the Union and the States whichare authoritative and independent to manage different kinds of civil servants and theConstitution also provides the procedural rights of civil servants.It is a big subject under discussion of the power of the President when the HungParliament arise or when the government loses the confidence of the Parliament. Thecurrent practice of Indian Constitution is the President will give a chance to the partyor coalition to strive to get the confidence from the Parliament when there arises aHung-Parliament.When the party or the coalition succeed, then they can form thegovernment.When there is a trust crisis during the administration, the President alsogive the Council of Ministers or other party a chance to get confidence from theParliament,if they failed then the President dissolve the Parliament and order forreelection.The reason behind this is India as a big developing country can not affordtoo frequent Parliament election. The fifty-second and ninety-first "Anti-Defection "Constitutional Amendments in1985and2003is a response to too frequent fall of governments which are caused by the defection of members of pary in House.TheAmendment provides that a members of a House shall be disqualified for being amember of the House if he defect his party and shall be disqualified to hold anyremunerative political post for duration of the period commencing from the date of hisdisqualification till the date on which the term of his office as such member wouldexpire or till the date on which he contests an election to a House and is declaredelected.The problem of Anti-Defection is also a new subject of Indian parliamentarycabinet after the end of the era of one-party rule.If the Indian Fundamental Rights, Parliamentary Cabinet System are madethrough learning or transplantation from foreign constitution, then the India’s FederalSystem are originally made.The biggest characteristic of India’s Federal System isthe strong Union and weak States.The Constitution of India provides a very detaileddivision of the legislative powers between the Union and the States,therefore Indiabelongs to the federal system undoubtedly. At the same time many system withunitary characteristic are devised, such as with the agreement of the Council of Statesthe Parliament have powers to enact the matters in the State List, and the Union cangovern the States directly throuth Presidential Governance(Article356) in case offailure of the constitutional machinery in that state and that the Union posess alarger proportion of fiscal resources etc. So some person say that the India’s FederalSystem is one kind of federal system which has the federal system frameworkwith the essence of the unitary model.The Emergency Provisions are not provided in the federal system, but itsimpact on the federal system is very serious--under certain conditions theEmergency Provisions can transformed the federal system into unitary system.Thereare three kinds of Emergency in Indian Constittuion--National Emergency, i.e.theEmergency which are declared under the conditions of war, invasion and armedrebellion; State Emergency which is declared when the state government cant workin accordance with Indian Constituion; the Financial Emergency which is declaredwhen there is a fiscal crisis. The National Emergency not only affects the federalsystem but also affects the Fundamental Rights but the State Emergency and the Financial Emergency mainly affect the federal system--state power can becompletely replaced by the central government or restricted by it.The ninety-third and ninety-fourth "Panchayat Constitutional Amendment"and "Municipal Self-Government Constitutional Amendment" in1992are animportant trends in India federal system during recent years, which are alsoimportant measures to improve local self-government in India.The traditionaldecentralization in federal system are the decentralization between Federation andStates, but three is three levels of decentralization tendency in the establishment oflocal autonomy.The ninety-third Constitutional Amendment provides the constitutionof the framework of the rural self-government–the Panchayat with three levels,whilethe ninety-fourth Constitutional Amendment provides three kinds of Municipalself-governments–the Municipal Corporation,the Municipal Council and the NagarPanchayat. But the legislative power related to self-governments belongs to the States,so it is vital that how States to refine the ninety-third and ninety-fourth ConstitutionalAmendment and if States are willing to delegate authority to self-goverments.Localautonomy in India in reality is less than satisfactory and local autonomy has the samemeaning with "low efficiency and corruption".With Asia, Latin America and many countries in Africa adopting authoritariansystem or exercising dictatorship soon after World War II, the democraticconstitutionalism had not collapsed after60years in India, which is a greatcontribution to the development of democracy and Rule of Law in the world.However, the quality of India democracy is low with serious corruption andinefficiency. What is more,the modernization (mainly industrialization) in India is notvery successful.The inner reason which hinder the development of India is the lack ofthe fair competition mechanism.So, it is the vital way for India to realize democraticconstituion to continue to promote the economic liberalization and to take part in thefair competition in the world and then to form a strong middle class in India.Although the civilization of industry and commerce and the powerfulmiddle-class are the foundation of Indian Constitutionalism, the accomplishment ofthe legal professionals is also a key factor for the success of Constitutionalism.Beginning from1855at Elphinstone College in Mumbai, Indianmodern legal education has been more than158years to this day. The most importantlegal document for legal education nowdays is the Advocate Act,1961whichauthorize the Bar Council of India the power to oversee Indian legal education andauthorize it to recognize law schools and departments in India. The AdvocateAct,1961provides3-year legal educational system after bachelor degree which issame to that of the United States.But from1987with the establishment of theNational Law School of India University in Bangalore,India started5-year legaleducational system after high school.India implements the parallel legal educationalsystem model with3years after bacherlor degree and5years after highschool.Indian legal educational management and system are scientific, but thequality of India legal education is poor.The poor quality of law students, poor salaryfor teachers in law schools and backward hardware facilities limit the developmentof legal education in India, which is also the important reason for the low quality ofIndian Constitutionalism.更多还原