本文關(guān)鍵詞： 培根 新歸納法 絕對君主制 國王特權(quán) 英國法傳統(tǒng)　出處：《華東政法大學(xué)》2015年博士論文　論文類型：學(xué)位論文

【摘要】：培根不僅是英國16世紀(jì)末17世紀(jì)初一位偉大的法學(xué)思想家,同時還長期擔(dān)任眾多重要的司法職務(wù),可謂是一位傳統(tǒng)英國法律人的典型代表。培根所處時代的英國,恰逢是社會性質(zhì)根本轉(zhuǎn)型的重要階段,新的時代變化對法學(xué)的發(fā)展提出了新的要求。而在這一歷史過程之中,培根從同時代眾多法律人中脫穎而出,在英國轉(zhuǎn)型期的法學(xué)篇章中留下了濃墨重彩的一筆。本文由導(dǎo)論和正文兩部分組成,正文共分為四章內(nèi)容。導(dǎo)論部分不僅論及本文的選題意義,如彌補國內(nèi)法學(xué)界對培根法律思想系統(tǒng)研究的空白、以培根思想為實例來解釋英國法中某些特有現(xiàn)象、以及實現(xiàn)對英國法傳統(tǒng)特征的印證效果。而且還對本文主要的研究方法作出解釋,尤其是其中的歷史視角和階級分析法,為我們準(zhǔn)確理解和評價培根法律思想的地位和成就提供了銳利的理論武器。與此同時,還對國內(nèi)外關(guān)于培根思想的研究狀況進行了全面梳理,明確指出國內(nèi)外學(xué)界對培根法律思想研究關(guān)注普遍缺乏的通病,為法學(xué)界今后的研究領(lǐng)域的擴展指明一個方向。正文第一章論述了塑造培根法律思想的諸多因素,包括大的時代背景以及其個人家庭環(huán)境和生平經(jīng)歷。其中大的時代背景包括了英國社會的轉(zhuǎn)型和法律理論的更新,而政治家的父親和新學(xué)者的母親構(gòu)成培根良好的家庭環(huán)境,大起大落的仕途遭遇也對培根思想的塑造產(chǎn)生重大影響。作者認為,培根法學(xué)成就的塑造既是其個人因素的綜合產(chǎn)物,比如其個人過人的天賦、優(yōu)越的家庭環(huán)境、良好的教育背景以及豐富的仕途經(jīng)驗等等。更為重要的是,它同時還是對所處時代變革的歷史反映。惟有以歷史的眼光考察培根的思想,才能準(zhǔn)確理解其產(chǎn)生發(fā)展,也才能客觀評價其意義和影響。正文第二章論述了培根的法哲學(xué)思想;其中第一、二節(jié)論述了培根的法學(xué)方法論——新歸納法,第一節(jié)重點探究了培根新歸納法的法學(xué)意義。首先詳細分析新歸納法提出的法學(xué)背景,包括羅馬法強勢擴張對英國法的沖擊、普通法的處境日顯艱難以及封建王權(quán)借助羅馬法大肆集權(quán)。進而分析培根對羅馬法哲學(xué)基礎(chǔ)演繹邏輯三大缺陷的指責(zé),即法律覆蓋范圍的有限性、推理過程的專斷性和忽視個案的傾向性。與之對應(yīng),有針對性地指出新歸納法的理論優(yōu)勢,如理性和經(jīng)驗的真正結(jié)合、對特殊個案正義的關(guān)注。最后對培根新歸納法的法學(xué)意義進行總結(jié),即面對16世紀(jì)羅馬法的強勢擴張,培根的新歸納法為判例法生存找到了哲學(xué)基礎(chǔ),成功樹立判例法在理論上的自信,最終抵御了成文法的沖擊而捍衛(wèi)了英國判例法的傳統(tǒng)。第二節(jié)重點論述了新歸納的實踐運用,以培根對25條法律格言的整理為實例,介紹了新歸納法在培根法學(xué)實踐中的具體運用。就格言內(nèi)容而言,體現(xiàn)出訴訟法格言遠多于實體法格言、重視司法判例、維護法官權(quán)威等特點。整體上看,培根25條法律格言的整體內(nèi)容表達了其理性和經(jīng)驗結(jié)合的方法論,以及實證和實用的法律價值追求。在此基礎(chǔ)上,指出培根新歸納法乃至判例法所面臨的一個理論困境,即以各類法律和司法先例為基礎(chǔ)的判例法,如何能夠確保法律的正義性。最終指出成文法與判例法各自的優(yōu)缺長短,以及彼此借鑒互補的法律發(fā)展方向。第三節(jié)重點論述了培根的人性論,其中主要包括人性二元論和善的二元化分兩部分。關(guān)于前者,培根認為人性既有作惡的傾向也有為善的可能,在此基礎(chǔ)上巧妙地運用獎賞和懲罰規(guī)范人們的行為,就能實現(xiàn)社會的法律治理。至于后者,培根將善分為個人的善和社會的善兩大類,并將社會善中“個人(特殊)責(zé)任”的概念巧妙地運用到國王的責(zé)任之上,用以明確國王在享有巨大權(quán)威的同時,也要承擔(dān)諸如依法行使權(quán)力、增進人民的福利等相應(yīng)義務(wù)。這無疑為其國王“特權(quán)二元論”的憲政思想奠定了哲學(xué)基礎(chǔ)。第四節(jié)以“卡爾文案”為中心著重探究了培根的自然法思想,首先梳理了培根作品中自然理論的理論軌跡,指出其理論論述上的不充分以及系統(tǒng)性欠缺的特點。其次分析了其自然法的主要內(nèi)容,如不自由的人類自然狀態(tài)、以“原始服從”否定社會契約的主張以及對平等價值的極力強調(diào)。進而以當(dāng)時英國著名的“卡爾文案”為實例,具體探討了培根在具體案件中的對其自然法理論的貫徹。在此基礎(chǔ)上,最后對法學(xué)家布拉克頓關(guān)于英國法學(xué)界對自然法關(guān)注明顯不夠的論斷進行回應(yīng),進而指出英國法律人在自然法理論和實踐上獨特的民族傳統(tǒng)。第五節(jié)著重論述培根的實證主義法律思想,首先探究了實證主義法學(xué)的兩大理論基礎(chǔ),即經(jīng)驗主義的認識論和實用主義的價值追求。其次,歸納總結(jié)其實證法學(xué)的主要內(nèi)容,如法律命令說、立法主體為政治優(yōu)勢者以及拒絕法律的道德評判。與此同時,也指出培根實證法學(xué)思想的不徹底性,以及判例法傳統(tǒng)的影響。最后,作者明確提出實證主義法學(xué)是經(jīng)驗主義和實用主義必然推論的論斷,并藉此對英國實證主義法學(xué)興盛的現(xiàn)象作出合理的解釋。正文第三章論述了培根的憲政思想;第一節(jié)著重論述了培根絕對君主制的憲政思想,首先對培根所謂國王“絕對權(quán)力”的概念進行界定,明確其與專制主義的不同。進而詳細闡釋培根絕對君主制理論的內(nèi)容,主要包括絕對君主權(quán)力凌駕于法律之上和規(guī)范絕對君主權(quán)力的因素。關(guān)于前者,體現(xiàn)在君主權(quán)力的產(chǎn)生早于法律、適用范圍不局限于法律范圍及其地位明顯高于法律三方面。至于后者,包含了君主權(quán)力運行必須依靠法律并借助知識的指引,并且其實施必須以政治善德為目的。最后結(jié)合培根時代英國憲政理論和政治現(xiàn)實,以及社會發(fā)展的現(xiàn)實和需要,批評了傳統(tǒng)學(xué)界關(guān)于絕對君主制否定、消極的論斷,對其作出一個肯定、積極的評價。第二節(jié)重點論述了培根的國王特權(quán)二元化分理論,首先從英國國王特權(quán)二元論的理論背景分析,指出培根特權(quán)二元理論的時代必然性。之后,以培根國王的特權(quán)“絕對權(quán)力”和“有限權(quán)力”的二元化分為基礎(chǔ),全面梳理介紹了培根國王特權(quán)二元論的具體內(nèi)容。進而對其歷史地位進行客觀的評價,如實現(xiàn)由君權(quán)神授到王權(quán)法定的突破、實現(xiàn)國家主要權(quán)力機關(guān)間的妥協(xié)等等。最后以培根憲政理論中體現(xiàn)的妥協(xié)精神為工具,對英國近代化過程中的曲折教訓(xùn)進行了憲政上的反思。第三節(jié)重點比較了培根和馬基雅維利的帝王術(shù)思想,首先歸納出二人帝王術(shù)的共通之處,包括政治上都推崇君主政體維護君權(quán)、經(jīng)濟上都保護私有財產(chǎn)和發(fā)展工商業(yè)、軍事上都主張加強軍事力量。其次總結(jié)出二人帝王術(shù)的差異之處,包括政治上培根較馬基雅維利提出更多善德要求、經(jīng)濟上培根較馬基雅維利更強調(diào)國家的推動作用等等。在比較分析的基礎(chǔ)上,探究了二人帝王術(shù)差異形成背后的社會原因,最終得出國家不同的發(fā)展階段對思想家理論塑造有著決定性影響的結(jié)論。第四節(jié)著重介紹了培根宗教自由的理論,主要包括了有限的宗教寬容和政教分離兩部分內(nèi)容。關(guān)于前者,既有倡導(dǎo)基督教內(nèi)部宗教寬容,反對宗教戰(zhàn)爭的進步主張,也包含對擴張基督教勢力而進行征服異教戰(zhàn)爭的鼓吹。至于后者,不僅涉及知識層面上信仰與科學(xué)的相互分離,也有政治層面上世俗國家與宗教分立的主張。最后以培根關(guān)于宗教問題的憲政主張為例,對如何在宗教傳統(tǒng)濃厚國家中滿足各教派利益,實現(xiàn)社會穩(wěn)定的憲政之路進行了探討。正文第四章對培根的法哲學(xué)和憲政思想進行了整體評價;首先論述了法哲學(xué)思想和憲政理論在培根整體法律思想體系中的地位�；谛職w納法是培根法律思想體系的基本方法、以及其人性二元論貫穿其理論設(shè)計的始終等理由,作者認為,法哲學(xué)思想建構(gòu)了培根整體法律思想體系的基石。同時,出于培根憲政思想成功回答了其時代最重要的憲政問題、以及憲政思想因后人密切關(guān)注而成為其法律思想的標(biāo)簽等考量,作者認為,培根憲政理論是其整個法律思想體系的核心。其次對培根法律思想與英國法律傳統(tǒng)的關(guān)系進行了評述。作者初步歸納出英國法律傳統(tǒng)的五大特征,即歸納推理的思維模式、經(jīng)驗實證型的法律淵源、實用主義的價值追求、具體非體系化的立法思維以及程序優(yōu)先的司法理念。并依據(jù)此來衡量和評判培根的法律思想,發(fā)現(xiàn)培根法律思想完全與英國法律傳統(tǒng)相契合,從而得出培根是英國法律人典型代表的結(jié)論。在結(jié)語部分,作者對培根法學(xué)成就的崇高歷史地位以及造就原因,進行了簡要回顧概括。最后針對培根法哲學(xué)、憲政思想與其整體法律思想體系以及培根法律思想與英國法傳統(tǒng)的關(guān)系,運用兩個斑點的比喻恰當(dāng)進行說明,也對全文的研究價值作出全面總結(jié)。綜上,培根是一位偉大的法學(xué)家,其法律思想不僅有著鮮明的時代性,而且完全契合英國法的傳統(tǒng),是英國法律人的典型代表。深入探究培根法律思想的內(nèi)容,對于折射英國近代之前的法制風(fēng)格以及整體的英國法傳統(tǒng),都是一件有價值和意義的事。
[Abstract]:Bacon is not only the end of sixteenth Century early seventeenth Century a great legal thinker, also served as many important judicial functions, is a typical representative of a traditional British law. Bacon's period is an important stage in Britain, coincides with the social nature of fundamental transformation, puts forward new requirements for the new changes of the times development on the law. In this historical process, at the same time, Bacon from the generation of many people in the UK legal talent shows itself transformation of legal discourse, the period left a thick and heavy in colours. The paper consists of two parts: introduction and text, the text is divided into four chapters. The introduction part not only deals with the significance of this topic, such as make up for domestic scholars to study Bacon's legal thought system blank, with Bacon thought as an example to explain some phenomena in English law, and the realization of the traditional features of English law confirm But also on the results. The main research methods of this paper to explain, especially the historical perspective and class analysis method which provides a theoretical sharp weapon for us to accurately understand and evaluate the status and achievements of Bacon's legal thought. At the same time, the domestic and foreign research status about Bacon thought comprehensively reviewed, pointed out common domestic and foreign scholars generally lack of research on Bacon's legal thoughts, specified as extended areas for future research in legal circles in one direction. The first chapter discusses the shaping factors of Bacon's legal thoughts, including the background of the times and the individual family environment and life experience. The background including the UK the social transformation and legal theory update, who the father and mother of the new scholars Bacon good family environment, career experience also change radically Have a significant impact on the shaping of Bacon's thought. The author thinks that the product shape is Bacon law achievement of personal factors, such as the individual talent, excellent family environment, good education background and rich political experience and so on. More importantly, it is also on the times of changing history reflect. Only in the historical perspective to study Bacon's thought, in order to accurately understand its origin and development, but also to evaluate its influence and significance. The second chapter discusses Bacon's philosophy of law; the first, second section discusses the theory -- a new method of Bacon's law of induction, the first section focuses on the significance of Bacon's new law the inductive method. The first detailed analysis of legal background put forward a new induction method, including Rome strong expansion of English law, common law becomes more and more difficult situation as well as the feudal monarchy by Rome law wantonly centralization. And then analyzes Bacon of Rome law philosophical basis of deductive logic three defects of the accused, the limited coverage of the legal reasoning process, arbitrariness and neglect case tendency. Correspondingly, the theoretical advantage of that new induction, such as the real combination of reason and experience the special case of justice attention. Finally legal significance of Bacon's new inductive method is summarized, which is facing the strong expansion in Rome in sixteenth Century, a new induction Bacon found the philosophical basis for the case law of survival, successfully establish case law in theory of self-confidence, ultimately resist the impact and defend the law the British case law tradition. The second section focuses on the practical application of the new induction, with Bacon on 25 legal maxims arrangement as an example, introduces the concrete application of the new inductive method in Bacon law practice. On the grid Words reflect the content, far more than the substantive law procedural law Maxim aphorism, pay attention to the judicial precedent, the authority of the judge maintenanceetc. On the whole, the overall content of Bacon 25 legal maxims expressed its rationality and experience with theory and empirical and legal value of the pursuit of utility. On this basis, pointed out a the new Bacon induction and theoretical difficulties faced by the case law, case law in various legal and judicial precedent as the foundation, how to ensure the justice of the law. Finally pointed out that the length of their respective advantages and disadvantages of statute law and case law, and learn from each other's legal development direction complementary. The third section focuses on Bacon's theory of human nature, including two yuan of dualism of humanity kind is divided into two parts. The former, Bacon believes that human nature is evil tendency is also good, on the basis of skillfully using reward And the punishment to regulate people's behavior, can realize the law governing society. As for the latter, Bacon will be divided into good personal goodness and the goodness of the society in two categories, and personal social good "(special) concept of responsibility" skillfully to the king's responsibility to clear the king in the enjoyment of great at the same time also must bear the authority, such as exercising power, improve people's welfare obligations. This undoubtedly laid the philosophical foundation for their king "privilege dualism" constitutionalism. The fourth section in "Calvin case" as the center focuses on Bacon's ideas of natural law, firstly reviews the theory of trajectory theory works of Bacon the discussion on the theory points out the insufficiency and the lack of systematic characteristics. Then analysis the main content of the natural law, such as freedom of human nature, "the original submission" denial of social contract To advocate and strongly emphasized on the value of equality. Then at the time of the famous "Calvin case" as an example, discusses Bacon in the specific case of the theory of natural law implemented. On this basis, at the end of the meal on the British jurist Braque law of natural law that does not pay much attention to respond then, the British people pointed out that the law is unique in the natural law theory and the practice of the national tradition. The fifth section focuses on Bacon's thought of legal positivism, first explores the two basic theory of legal positivism, namely empiricism epistemology and pragmatism and the pursuit of value. Secondly, the main contents are summarized in the law, such as the legal order that the legislative body for political advantage and reject moral judgment law. At the same time, Bacon also pointed out that the incompleteness of positivism thoughts, and judgment Effect of the traditional method. Finally, the author put forward legal positivism is empiricism and pragmatism is inevitable deduction judgment, and the British legal positivism prosperous phenomenon to make a reasonable explanation. The third chapter discusses Bacon's constitutional thought; the first section emphatically discusses Bacon's absolute monarchy constitutional thought, firstly the concept of the so-called Bacon the king of the "absolute power" to define, with clear despotism. Different and a detailed interpretation of Bacon's absolute monarchy theory, including the absolute power of the monarch to override the law and regulate the absolute power of the monarch of the above factors. The former is reflected in the power of the monarch emerged earlier than the law, the scope is not limited to the legal the scope and status of law was significantly higher than that in three aspects. As for the latter, including the power of the monarch and the operation must rely on legal knowledge Guidelines and implementation must be based on the political virtue for the purpose. Finally combined with the Bacon era of the British constitutional theory and political reality, and the reality of social development and needs, criticized the traditional academic circles on the absolute monarchy, negative, negative judgment, make an affirmation of the positive evaluation. The second section focuses on the king privilege two yuan of Bacon's theory, first from the theoretical background of the king of England privilege dualism analysis, pointed out the necessity of Bacon privilege two yuan theory. After that, the king Bacon the privilege of "absolute power" and "limited power" of two yuan is divided into the foundation, comprehensively introduces the specific content of King Bacon the privilege and dualism. An objective evaluation on its historical status, such as by divine kingship to legal breakthrough, realize the main organs of state power between compromise and so on. At last Bacon Constitutionalism Embodies the spirit of compromise in the theory as a tool of modern English lessons twists and turns in the reflection on constitutionalism. The third section mainly compares Bacon and Machiavelli's imperial art thought, firstly summed up the common people of the two emperors, including political advocate maintaining monarchy monarchy, protection of private economy the property and development of industry and commerce, military advocate to strengthen military forces. Secondly summarize the differences between two people in the imperial art, including Bacon Machiavelli put forward more than political virtue, economic Bacon Machiavelli stressed that the national role and so on. On the basis of comparative analysis, explores the two emperors of the difference the formation of the social reasons behind, finally obtains the countries in different stages of development have a decisive impact on the shaping of the conclusion theoretical thinker. The fourth section focuses on Bacon Freedom of religion theory, mainly including limited religious toleration and the separation of church and state. The two part is about the former, advocate within Christianity religious tolerance against religious war progress claims, but with the expansion of Christianity and preached pagan forces to conquer war. As for the latter, not only relates to the knowledge level between faith and science separation, also has advocated political secular state and religious division. Finally by Bacon about the religious problems of the constitutional politics as an example of how to meet the various sects in religious tradition in the national interests, to achieve social stability in constitutionalism is discussed. The fourth chapter of Bacon's philosophy of law and the constitutional thought of the overall evaluation; first discusses the status of philosophy of law and constitutional theory in Bacon's whole legal system. The new system is based on the induction of Bacon's legal thought The basic method and its dualism throughout its theoretical design and other reasons, the author thinks that the thought of philosophy of law construct the cornerstone of Bacon's overall legal thought system. At the same time, for the success of Bacon's constitutional thought to answer the most important constitutional issues of the era, and the thought of Constitutionalism because the posterity pay close attention and become the legal thought of the label such considerations, the author thinks that the constitutional theory of Bacon is the core of the legal system of thought. The relation between the legal thought of Bacon and the British legal tradition were reviewed. The author summed up the five characteristics of British law tradition, namely inductive reasoning mode of thinking, legal sources of empirical model, the value of the pursuit of pragmatism specifically, non systematic legislative thinking and procedural priority concept of justice. The legal thought on which to measure and judge Bacon, found Bacon's legal thought Want to completely fit with the British legal tradition, so that Bacon is a typical representative of the British legal conclusion. In the conclusion part, the author of Bacon's legal status lofty historical achievements and the cause, are briefly reviewed. Finally, according to the summary of Bacon's philosophy of law, constitutional thought and the whole system of legal thought and legal thought and Bacon the traditional method, using two spots analogy appropriate to explain, also summarizes the research value of comprehensive summary. In conclusion, Bacon is a great jurist, his legal thought not only has the distinct characteristics of the times, but also accord with English law tradition, is a typical representative of the legal person in the UK. Explore the contents of Bacon's legal thought, the legal style in modern England before the refraction and the overall English tradition, is a valuable and meaningful thing.

【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2015
【分類號】：D909.1

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