培根法哲学和宪政思想研究

发布时间：2018-01-24 00:55

本文关键词： 培根新归纳法绝对君主制国王特权英国法传统　出处：《华东政法大学》2015年博士论文　论文类型：学位论文

【摘要】：培根不仅是英国16世纪末17世纪初一位伟大的法学思想家,同时还长期担任众多重要的司法职务,可谓是一位传统英国法律人的典型代表。培根所处时代的英国,恰逢是社会性质根本转型的重要阶段,新的时代变化对法学的发展提出了新的要求。而在这一历史过程之中,培根从同时代众多法律人中脱颖而出,在英国转型期的法学篇章中留下了浓墨重彩的一笔。本文由导论和正文两部分组成,正文共分为四章内容。导论部分不仅论及本文的选题意义,如弥补国内法学界对培根法律思想系统研究的空白、以培根思想为实例来解释英国法中某些特有现象、以及实现对英国法传统特征的印证效果。而且还对本文主要的研究方法作出解释,尤其是其中的历史视角和阶级分析法,为我们准确理解和评价培根法律思想的地位和成就提供了锐利的理论武器。与此同时,还对国内外关于培根思想的研究状况进行了全面梳理,明确指出国内外学界对培根法律思想研究关注普遍缺乏的通病,为法学界今后的研究领域的扩展指明一个方向。正文第一章论述了塑造培根法律思想的诸多因素,包括大的时代背景以及其个人家庭环境和生平经历。其中大的时代背景包括了英国社会的转型和法律理论的更新,而政治家的父亲和新学者的母亲构成培根良好的家庭环境,大起大落的仕途遭遇也对培根思想的塑造产生重大影响。作者认为,培根法学成就的塑造既是其个人因素的综合产物,比如其个人过人的天赋、优越的家庭环境、良好的教育背景以及丰富的仕途经验等等。更为重要的是,它同时还是对所处时代变革的历史反映。惟有以历史的眼光考察培根的思想,才能准确理解其产生发展,也才能客观评价其意义和影响。正文第二章论述了培根的法哲学思想;其中第一、二节论述了培根的法学方法论——新归纳法,第一节重点探究了培根新归纳法的法学意义。首先详细分析新归纳法提出的法学背景,包括罗马法强势扩张对英国法的冲击、普通法的处境日显艰难以及封建王权借助罗马法大肆集权。进而分析培根对罗马法哲学基础演绎逻辑三大缺陷的指责,即法律覆盖范围的有限性、推理过程的专断性和忽视个案的倾向性。与之对应,有针对性地指出新归纳法的理论优势,如理性和经验的真正结合、对特殊个案正义的关注。最后对培根新归纳法的法学意义进行总结,即面对16世纪罗马法的强势扩张,培根的新归纳法为判例法生存找到了哲学基础,成功树立判例法在理论上的自信,最终抵御了成文法的冲击而捍卫了英国判例法的传统。第二节重点论述了新归纳的实践运用,以培根对25条法律格言的整理为实例,介绍了新归纳法在培根法学实践中的具体运用。就格言内容而言,体现出诉讼法格言远多于实体法格言、重视司法判例、维护法官权威等特点。整体上看,培根25条法律格言的整体内容表达了其理性和经验结合的方法论,以及实证和实用的法律价值追求。在此基础上,指出培根新归纳法乃至判例法所面临的一个理论困境,即以各类法律和司法先例为基础的判例法,如何能够确保法律的正义性。最终指出成文法与判例法各自的优缺长短,以及彼此借鉴互补的法律发展方向。第三节重点论述了培根的人性论,其中主要包括人性二元论和善的二元化分两部分。关于前者,培根认为人性既有作恶的倾向也有为善的可能,在此基础上巧妙地运用奖赏和惩罚规范人们的行为,就能实现社会的法律治理。至于后者,培根将善分为个人的善和社会的善两大类,并将社会善中“个人(特殊)责任”的概念巧妙地运用到国王的责任之上,用以明确国王在享有巨大权威的同时,也要承担诸如依法行使权力、增进人民的福利等相应义务。这无疑为其国王“特权二元论”的宪政思想奠定了哲学基础。第四节以“卡尔文案”为中心着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论的理论轨迹,指出其理论论述上的不充分以及系统性欠缺的特点。其次分析了其自然法的主要内容,如不自由的人类自然状态、以“原始服从”否定社会契约的主张以及对平等价值的极力强调。进而以当时英国著名的“卡尔文案”为实例,具体探讨了培根在具体案件中的对其自然法理论的贯彻。在此基础上,最后对法学家布拉克顿关于英国法学界对自然法关注明显不够的论断进行回应,进而指出英国法律人在自然法理论和实践上独特的民族传统。第五节着重论述培根的实证主义法律思想,首先探究了实证主义法学的两大理论基础,即经验主义的认识论和实用主义的价值追求。其次,归纳总结其实证法学的主要内容,如法律命令说、立法主体为政治优势者以及拒绝法律的道德评判。与此同时,也指出培根实证法学思想的不彻底性,以及判例法传统的影响。最后,作者明确提出实证主义法学是经验主义和实用主义必然推论的论断,并藉此对英国实证主义法学兴盛的现象作出合理的解释。正文第三章论述了培根的宪政思想;第一节着重论述了培根绝对君主制的宪政思想,首先对培根所谓国王“绝对权力”的概念进行界定,明确其与专制主义的不同。进而详细阐释培根绝对君主制理论的内容,主要包括绝对君主权力凌驾于法律之上和规范绝对君主权力的因素。关于前者,体现在君主权力的产生早于法律、适用范围不局限于法律范围及其地位明显高于法律三方面。至于后者,包含了君主权力运行必须依靠法律并借助知识的指引,并且其实施必须以政治善德为目的。最后结合培根时代英国宪政理论和政治现实,以及社会发展的现实和需要,批评了传统学界关于绝对君主制否定、消极的论断,对其作出一个肯定、积极的评价。第二节重点论述了培根的国王特权二元化分理论,首先从英国国王特权二元论的理论背景分析,指出培根特权二元理论的时代必然性。之后,以培根国王的特权“绝对权力”和“有限权力”的二元化分为基础,全面梳理介绍了培根国王特权二元论的具体内容。进而对其历史地位进行客观的评价,如实现由君权神授到王权法定的突破、实现国家主要权力机关间的妥协等等。最后以培根宪政理论中体现的妥协精神为工具,对英国近代化过程中的曲折教训进行了宪政上的反思。第三节重点比较了培根和马基雅维利的帝王术思想,首先归纳出二人帝王术的共通之处,包括政治上都推崇君主政体维护君权、经济上都保护私有财产和发展工商业、军事上都主张加强军事力量。其次总结出二人帝王术的差异之处,包括政治上培根较马基雅维利提出更多善德要求、经济上培根较马基雅维利更强调国家的推动作用等等。在比较分析的基础上,探究了二人帝王术差异形成背后的社会原因,最终得出国家不同的发展阶段对思想家理论塑造有着决定性影响的结论。第四节着重介绍了培根宗教自由的理论,主要包括了有限的宗教宽容和政教分离两部分内容。关于前者,既有倡导基督教内部宗教宽容,反对宗教战争的进步主张,也包含对扩张基督教势力而进行征服异教战争的鼓吹。至于后者,不仅涉及知识层面上信仰与科学的相互分离,也有政治层面上世俗国家与宗教分立的主张。最后以培根关于宗教问题的宪政主张为例,对如何在宗教传统浓厚国家中满足各教派利益,实现社会稳定的宪政之路进行了探讨。正文第四章对培根的法哲学和宪政思想进行了整体评价;首先论述了法哲学思想和宪政理论在培根整体法律思想体系中的地位。基于新归纳法是培根法律思想体系的基本方法、以及其人性二元论贯穿其理论设计的始终等理由,作者认为,法哲学思想建构了培根整体法律思想体系的基石。同时,出于培根宪政思想成功回答了其时代最重要的宪政问题、以及宪政思想因后人密切关注而成为其法律思想的标签等考量,作者认为,培根宪政理论是其整个法律思想体系的核心。其次对培根法律思想与英国法律传统的关系进行了评述。作者初步归纳出英国法律传统的五大特征,即归纳推理的思维模式、经验实证型的法律渊源、实用主义的价值追求、具体非体系化的立法思维以及程序优先的司法理念。并依据此来衡量和评判培根的法律思想,发现培根法律思想完全与英国法律传统相契合,从而得出培根是英国法律人典型代表的结论。在结语部分,作者对培根法学成就的崇高历史地位以及造就原因,进行了简要回顾概括。最后针对培根法哲学、宪政思想与其整体法律思想体系以及培根法律思想与英国法传统的关系,运用两个斑点的比喻恰当进行说明,也对全文的研究价值作出全面总结。综上,培根是一位伟大的法学家,其法律思想不仅有着鲜明的时代性,而且完全契合英国法的传统,是英国法律人的典型代表。深入探究培根法律思想的内容,对于折射英国近代之前的法制风格以及整体的英国法传统,都是一件有价值和意义的事。
[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.

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D909.1

【参考文献】