【作者】 谢如程；

【导师】 王立民；

【作者基本信息】 华东政法大学 ， 法律史， 2007， 博士

【摘要】 光绪三十二年(1906年),清廷实行中央官制改革,从此揭开了引入、创建西式司法制度的序幕。同年,颁行《大理院审判编制法》,首次实现检审分离,正式确立了检察制度。宣统三年(1911年),辛亥革命爆发,清政府随后退出历史舞台,其检察制度也随即被民国检察制度取代。自清末正式确立检察制度至今,时间已过百余年,但对1906年至1911年期间的清末检察制度及其实践的情况与问题,直到今天,在学界仍未有系统的研究、阐述:清末时期检察制度究竟是怎样确立的?其建立过程中遇到了什么困难挫折?清末检察厅有哪些职权?检察厅与法部、审判厅、监狱、律师在业务工作中的相互关系如何?清末检察官制度有哪些内容?清末检察厅执法实践及其理念如何?清末检察制度及其实践对今天有何启示性价值?如此等等。本文在收集整理大量清末检察制度史料的基础上,试图解答这些问题,填补此项研究空白。全文共三十七万余字,除引言和结语外,正文分为十章。第一章,“中国检察制度溯源”。首先对检察制度作了界定,比较分析了中国古代御史制度与现代意义上检察制度的重要区别。接着,对清末引进明治时期日本检察制度的动因和经过进行了深入考察,并对清末部院权限争议中涉及检察厅职权问题进行了探讨,在此基础上,充分肯定了清末引进现代检察制度的重要意义。第二章,“清末检察制度的确立”。详尽地分析了清末确立检察制度的立法进程,按照时间顺序考察了《大理院审判编制法》、《各级审判厅试办章程》、《法院编制法》中关于检察制度的内容,对清末检察机构筹办过程中存在的立法准备不足、专业人才之缺乏、物质保障之不足等实际困难及其解决方法进行了分析,总结了在条件艰苦情况下仍能成功设置部分审检厅的几点经验,此外,还对清末检察制度确立过程中的检察厅人员编制问题、司法区域划分及案件管辖问题进行了专门研究。第三章,“清末检察机构的职权”。结合清末检察厅执法实践所形成的史料,系统地分析了清末检察厅的侦查、预审、勘验(检验),调度指挥司法警察,收状、刑事起诉、上诉和参与民事诉讼、监察判决执行的职权。此外,结合《宗室觉罗诉讼章程》的有关规定,对清末宗室觉罗刑事诉讼中检察厅职权遭受皇族特权影响这一特定情形进行了研究。第四章,“清末检察厅的履职机制”。国家机构的职权要得以全面、充分落实,就必须有一整套具有较强操作性的工作机制和制度,为此,本章全面整理研究了清末检察厅的强制措施职权及其他具体权力、检察官之间的代理制度、回避制度、业务培训制度、议事制度,以及上下级检察厅相互关系模式、检察工作规范化建设及检察厅外部保障机制,此外还分析了清末检察厅业务机制存在的缺陷。第五章,“清末的司法独立与检察厅独立行使职权”。本章分析了清末时期有关大臣对司法独立的认识,对司法独立原则的确立与落实情况进行梳理,同时,探究了清末检察厅被划入广义上司法机关、被列入“司法独立”主体范围的理由,此外,还对清末实行司法独立之困难作了评价:尽管司法独立是一个渐进的过程,但因集权统治等因素,清末司法独立必然无法彻底实现。第六章,“清末检察厅的性质、地位”。根据对有关资料的客观分析,可以看出:清末检察厅是国家利益的代表;清末各级检察厅在机构性质上是“司法行政机构”,在职权性质上属于“司法行政权”;清末检察厅还是审判厅的辅助机构。第七章,“清末检察厅的重要外部关系”。本章首先对清末法部、提法司及督抚对检察厅的控制进行了专门研究,得出了清末法部、提法司实质上是检察厅上级机构,其对检察厅事务有全面调度权的基本认识,并对提法司调度检察事务之能力基础、提法使等控制管理检察机构运作的实践进行了考察,进而从利弊两方面进行了评判。接着,分析研究了清末检察厅与审判厅的协作与监督关系,提出了清末检察厅与审判厅职权互相独立、在职权独立基础上互相协作、检察厅单向依附于审判厅等主要观点,并对清末检察厅监督审判厅的依据及实践运作进行了考述和肯定。最后,对清末检察厅监督管理监狱(看守所、习艺所)的制度与实践,以及对清末检察厅与律师(官代书)的关系进行了一定的分析研究。第八章,“清末检察官制度”。本章从考察清末“检察官”称谓来源入手,对清末检察官的选任、免职,检察官的等级与职务保障,以及清末检察厅的书记官、承发吏等辅助人员的有关制度进行了研究。在此基础上,对清末司法职务保障、司法官等级等问题进行了阐释。任何公权都应受到必要的监督,检察机构当然也不应例外。本章最后对清末检察厅长官监督检察厅的权力来源、检察厅内部监督管理制度、检察厅外之司法行政监督,以及检察官履行职务时诉讼上的制约制度、检察官(厅)业绩考核制度等进行了整理、研究。第九章,“我国清末检察制度与日本明治时期检察制度之比较”。本章主要是从微观方面考察清末检察制度的法律移植来源。通过比较,得出了“清末检察制度几乎是日本明治时期检察制度的翻版”的基本看法,并对这一法律移植现象的原因进行了概括。第十章,“清末检察厅的执法实践及执法理念――对检察厅批词与重大执法事件的研究”。本章首先立足执法实践,逐一研究了清末检察厅办案形成的数十件批词,概括、评价了清末检察厅批词的内容特点、写作风格、说理方法等问题。接着,结合批词之外的资料,对清末检察厅的若干重大执法实践情况和问题进行了分析,对其敢于执法、讲究执法策略等实践和理念作了褒扬,并对其“不出户庭”、办案粗心、实行刑讯等不良做法和理念进行了一定的分析和批判。总之,尽管清末检察制度的创设及其实践中有其值得肯定的地方,也取得了一定的成功,但不能给予其过高的评价。而从发现和遵循检察工作规律或司法规律的角度看,则确实有一些比较突出的经验、问题,对此应予以必要的关注。更多还原

【Abstract】 32nd year of Guangxu period (1906), the Qing court formally implemented the reform of the central bureaucracy, which witnessed the prelude of introduction, creation a Western justice system. That year, prosecutorial system was established officially after the enactment of the Daliyuan Trail Law. It realized separation of prosecution and trial. 3rd year Xuantong Period (1911), Xinhai Revolution erupted; the Qing government subsequently withdrew from the historical stage. Therefore, its prosecutorial system was also replaced by the system of the Republic of China.It was more than one hundred year since the prosecutorial system was settled up. But during the 1906-1911, the prosecutorial system and its practice have not demonstrated clearly, such as, how did prosecutorial system set up on earth at the end of Qing Dynasty? What difficulty did they encounter in during the process? What rights did they have? What relationship between prosecutorial office and Fabu, Judicial Department, prison and attorney in legal affairs? What is the content about the prosecutorial system? What is its practice and philosophy of law enforcement? What inspiration value does the Late Qing prosecutorial system for today?The thesis tries to solve these issues and fill the gaps on the basis of collecting and settling plentiful historical material of prosecutorial system of Late Qing Dynasty. Except introduction and conclusion, it is divided into ten chapters and has more than 370000 words in all.Chapter One Origin of prosecutorial system of China. At the beginning, this chapter compares and analyses important difference between Yushi supervision system and latter-day prosecutorial system, and objectively defines on the procuratorial system. Then, it thoroughly inspects the reason and the introduction process of Japanese prosecutorial system at Meiji period, and explores the Prosecutor’s Office authority problem in the Dispute between Fabu and Daliyuan. According to this, it affirms fully the important significance of the introduction of modern prosecutorial system.Chapter Two Establishment of prosecutorial system in the late Qing Dynasty. This chapter thoroughly analyses legislative process of establishing the prosecutorial system, inspects the prosecutorial system content in terms of a time sequence in a series of law, analyze practical difficulty and solutions about lack of legislative preparation, professionals and material conditions ect. In the organization process of prosecutorial system in the Late Qing Dynasty, sums up some successful experience of establishing partial Prosecutor’s Office in the difficult conditions. Moreover, it makes a special study on the staff settlement, judicial district boundaries and the jurisdiction of the case in the process of establishment of the prosecutorial system in the Late Qing Dynasty. Chapter three Function and power of prosecutorial organization in the late Qing Dynasty. On the basis of the historical materials which are formed by executing practice by the prosecutor’s office, this chapter systematically analyses the rights on investigation, pretrial, on-site investigation and examination, dispatching and commanding the judicial police, receiving petitions, prosecuting criminals, appealing, participating in civil action and supervising enforcement of judgment. Besides, combining related rules about "ZongShiJueLuo litigation charter ", it researches the specific situation that the Prosecutor’s office is affected by suffering from royal privilege about the responsibility and rights in the criminal proceedings for ZongShiJueLuo.Chapter four Structure and system of implementing responsibility in the Prosecutor’s office in the late Qing Dynasty. If the power might be implemented comprehensively and fully, national institutions must have a strong set of system and operational mechanism. Therefore, this chapter roundly collates and studies the coercive measures of Qing Dynasty Prosecutor’s Office and other specific powers, agency system among the prosecutors, recusation system, professional training and agenda system, and systemic studies the relationship mode between the Public Prosecutor’s Offices, the standardization of procuratorial work, and external security of Prosecutor’s Office. In addition, it also analyzes the defects about operation mechanism of the Public Prosecutor’s Office in the late Qing Dynasty.Chapter five Judicial independence in the late Qing Dynasty and independent exercise of the Public Prosecutor’s Office. This chapter analyzes the minister of the late Qing Dynasty to the understanding of judicial independence, and sort out the establishment and implementation of the principle of judicial independence, meanwhile explores the reasons that the Public Prosecutor’s Office was included in the broad judiciary and in the scope of subjects of“judicial independence”, and also evaluates the difficulties of judicial independence in the late Qing Dynasty, that is, while judicial independence is a gradual process, but due to factors such as a centralized rule, the independence of the judiciary will not be able to completely realize in the late Qing Dynasty.Chapter six Nature and status of the Public Prosecutor’s Office in the late Qing Dynasty. According to the data of objective analysis, we can see that the Prosecutor’s Office is the represents of the state interests, Qing Dynasty prosecutor’s office at all level is a judicial and administrative bodies from body nature, and the prosecutorial power is judicial executive power from power nature and the Late Qing Dynasty prosecutor’s office is a supporting institution for judicial organizationChapter seven Important external relation of Qing Dynasty prosecutor’s office. First, this chapter conducts special studies about how Fabu, Tifasi and Dufu control the Prosecutor’s Office, comes to a basic understanding that Fabu and Tifasi are essentially the higher authorities of the Prosecutor’s Office and have the right to schedule the Prosecutor’s Office affairs comprehensively, inspect the ability basis of Tifasi to schedule procuratorial affairs and the practice of Tifashi etc.to control and manage the operation of prosecutor organization, and evaluate advantage and disadvantage both. Then, the chapter analyses and studies the collaboration and supervision relationship between the Prosecutor’s Office and Judicial Department, put some viewpoints such as mutual independence between the Prosecutor’s Office and Judicial Department, mutual cooperation on the basis of independence, the Prosecutor’s Office unidirectional depending on the Judicial Department etc.and evaluates and affirms the evidence and practical operation of the Prosecutor’s Office supervising the Judicial Department. Finally, it makes a certain mount of analysis and studies on the system and practice about supervision and management of Qing Dynasty prosecutor’s office to prison (Detention center, Forced labor house) and the relationship between Qing Dynasty prosecutor’s office and attorney.Chapter eight Prosecutor system in the late Qing Dynasty. Starting from "Prosecutor" title sources, this chapter explains the judicial office protection, judge grades and other issues on the basis of research about prosecutor election, grades, job security and the system of support staff such as law clerk, office secretary ect. As any right should be subject to necessary supervision, the prosecutor’s office certainly should not be an exception. This chapter collates and studies power source for the chancellor of Prosecutor’s Office to supervise prosecutor’s office, internal oversight management system of Prosecutor’s Office, external judicial and administrative supervision of Prosecutor’s Office, Prosecutor’s actions restriction When performing their duties in proceedings, prosecutor or prosecutor’s office performance appraisal system etc.Chapter nine Compare procuratorial system in the late Qing Dynasty with procuratorial system at Meiji period in Japan. This chapter is a microscopic inspection on the legal source transplantation of procuratorial system in the late Qing Dynasty. By comparison, we come to the basic view which is procuratorial system in the late Qing Dynasty is almost a piracy of procuratorial system at Meiji period in Japan, and summarized the reasons for the phenomenon of legal graft.Chapter ten Practice and idea of law enforcement of prosecutor’s office ---the research of sanction words and major enforcement cases of prosecutor’s office. Based on practice in law enforcement first, this chapter research dozens of sanction words which written by the late Qing Dynasty public prosecutor’s office in the process of enforcing cases, generalize and evaluate the characteristics, writing style, reasoning method etc of sanction words by the late Qing Dynasty public prosecutor’s office, then in conjunction with other information outside sanction words, analyze several major issues and practice of law enforcement about the Public Prosecutor’s Office of the late Qing Dynasty, praise their practice and concepts of which dare to enforce law and Pay attention to the enforcement strategy, and make a certain amount of analysis and criticism about its "no household tribunal", investigation careless, torture employment and other undesirable practices and concepts.In short, despite the creation of the late Qing procuratorial system has its positive and practical approach that achieved a degree of success, but we cannot give it high evaluation. From the point of view to discover and observe the rule of procuratorial and judicial work, there is indeed some outstanding experience, descendants should pay more attention to this.更多还原