法治(英語:rule of law)是与人治(英語:rule of man)相反之概念,亦很容易與以法而治或依法而治(英語:rule by law)這概念混淆。後者著重於製訂及執行法律條文,但法治則指以人权保障,和自由保障为前提和基础立法,以严格依法管治国家为核心,以制约权力为关键的社会管理机制、社会活动方式和社会秩序状态[1]。“法治”与“宪政”紧密相关,其內涵不單是要求所有人民守法,更側重於法律對政府權力的控制和拘束。在法治基礎之下,政府只能依法律規定來懲處違法者,不能私自減輕或加重罰則,且即便政府自己違法亦將受罰。[2][3][4]
當中觀念,早於「rule of law」一詞,常見於古代哲學家,諸如亞里士多德在《政治學》說過:「與其讓公民中的一員統治,不如讓法律統治(It is more proper that law should govern than any one of the citizens: upon the same principle, if it is advantageous to place the supreme power in some particular persons, they should be appointed to be only guardians, and the servants of the laws.)」及「所以即使是法律的捍衛者們,也得遵守法律(so even the guardians of the laws are obeying the laws)」[7]:2。
那些贊同「不同意見判決(英语:Judgment (law))(multiple judgments)」和「可反對的自由(英语:Dissent)(freedom to dissent)」者自有其道理,有助於法律之發展,能夠避免勉強妥協,避免產生沒有人全心全意支持之最終判決;只要依照以下兩個至關重要之條件操作,就不會削弱「法治」:一、不論產生多少不同意見,或者有多少法庭成員反對,由法庭(或者是法庭多數成員)制定之法律原則應當清楚明白;二、有關法律發展過程中法官扮演之角色,法官修改法律時不應確立新的刑事犯罪,或者擴大現行犯罪之範圍,導致過去發生時視為無罪之行為變成有罪[7]:54-55。
必須為當事人無法自行解決之真正之民事糾紛提供解決辦法,不應收費過高,不應延誤過長[7]:103。如果勝利只屬於強者(用現代人的話來講,就是能夠派出最彪悍訟棍之一方),就不符合糾紛當事人或整個社會之利益[7]:103-104。從很多方面來講,其中有一個措施是解決民事糾紛最好之辦法,即調解;過程需要一名獨立之調解人參與,調解人負責調查當事人存在分歧之意見和目的,並努力勸說雙方達成彼此都能接受之折衷方案;如果折衷方案最終得以達成,或許雙方都不會完全滿意,因為有可能沒有一方取得希望取得之結果,但同時也沒有一方須承受徹底失敗之痛苦羞辱以及對簿公堂(antagonistic litigation)(英语:Dispute resolution)之不快;同時加給雙方之裁決相比,雙方都接受之和解方案可能更容易贏得尊重;即使最終無法達成折衷方案(這是通常之情況),當事雙方固然浪費一些時間和金錢,但比起訴訟,時間和金錢還算是少[7]:104。調解之外之另一個辦法是仲裁:通常由當事雙方指定一名獨立之仲裁人,仲裁人在當事雙方之授權範圍(英语:Terms of reference)內對糾紛做出裁決;不論在糾紛發生之前或之後,仲裁只能通過協議(英语:Agreement)實現,而在仲裁時,仲裁人有權做出裁決,其裁決對當時雙方均有法律約束力,並可經由法庭程序加以執行[7]:104。但是,在有的案件中,當事雙方雖然努力嘗試解決分歧,仍不能遂願;他們不能就調解程序達成共識,或者調解程序不能得出折衷方案,他們不同意仲裁,而明顯需要公開且權威之法庭裁決;此時,「法治」就要保證人們有途徑提出訴訟[7]:104-105。1949年《法律援助與法律諮詢法案(英语:Legal Aid and Advice Act 1949)》是戰後艾德禮政府之偉大成就之一,只是不那麼出名[7]:106。「法治」之一大敵人是拒絕為無力承擔費用之訴訟當事人提供法律保護,另一個敵人則是延遲提供補救措施[7]:107。延誤不僅本身令人不快,更會加劇開支問題;經驗表明,一宗案子持續時間越長,所需花費越大[7]:108。普通法法院採取之辯護式訴訟程序很大程度上依賴於收費高昂之律師,他們負責為案件準備材料,呈述情況,進行辯護;照公眾想來,律師會將裁決案件所需之所有材料呈交法官,而法官是中立之公斷人,會決定先審理哪宗案件[7]:108-109。在民法國家,律師(由訴訟當事人自費聘請)之作用就小得多,而法官(由國家出資聘請)之作用卻大得多;和普通法體系之下之法官相比,民法體系之下之法官對訴訟程序(英语:Adversarial procedure)擁有更大之控制權;可即使在民法國家,想要找到高效快速且花費合理之糾紛解決辦法也很困難;但是,如果一個國家越近此目標,此國家之「法治」就實現得更多[7]:109。
1215年,《大憲章》第39章:「任何自由人,若未經身份地位合適之人士依法裁判,或經國法判決,不得加以緝捕、拘囚、剝奪權利或財產,或剝奪法律保護權、放逐,或以其他任何形式取消其身份地位,吾等亦不強行,或派人強行起訴他。(No free man shall be seized or imprisoned, or stripped of his rights or possessions, or outlawed or exiled, or deprived of his standing in any other way, nor will we proceed with force against him, or send others to do so, except by the lawful judgement of his equals or by the law of the land. )」[7]:11第40章:「對於任何人,吾等不得出賣、拒絕或延遲法律之公道與正義。(To no one will we sell, to no one deny or delay right or justice. )」[7]:12
馬菲·黑奧(英语:Matthew Hale (jurist))於1671至1676年期間擔任王座法庭之首席大法官,其清單「必須永遠記住的事(Things Necessary to be Continually had in Remembrance)」:「①伸張正義之時,我受上帝、國王及國家之委託,因此——②我必確保,執行時做到⑴正直;⑵審慎;⑶堅決。③不依靠個人之理解或力量,而請求並依靠上帝之指引及力量。④伸張正義之時,我不會受強烈情感之影響,不論遭受何種刺激均會克制。⑤我將全身心處理手頭工作,視其他掛念思慮為不合時宜,不予理會。⑥在全部案情和控辯雙方陳述完畢之前,我不會妄作判斷。⑦在理由陳述之初,我不應受任何影響,而應毫無偏見,直至陳述完畢。⑧審判死刑案時,即使本性使然,產生憐憫之情,亦應考慮到國家之損失。⑨謹慎處理案件,嚴格遵守規定,因為判斷之差異會導致惡果。⑩伸張正義之時,不因憐憫窮人或討好富人而有失偏頗。⑪不應令民眾或法庭之好惡影響我為宣揚正義所做之任何決定。⑫只要按照正義之法則行事,則無須焦慮他人所言所思。⑬對罪犯量刑時,應以仁慈寬恕為懷。⑭若罪犯只以口頭承諾不行傷害之事,對其溫和並非正義。⑮若證據確鑿,應對殺人犯依法嚴懲。⑯案件尚未判定之前,不聽從任何形式、任何人之私下教唆。⑰確保我的下屬⑴不介入任何案件;⑵收取費用時不超出其應得之數;⑶不過分偏好某些理由;⑷不推薦律師。⑱用餐快速簡單,以便更好地處理案件。」[7]:25-26其中規定之準則,作為當今司法職位之行為規範亦當之無愧[7]:26-27。
直至1679年,《人身保護令修正案(英语:Habeas Corpus Act 1679)》在英國上議院以微弱多數通過,具體票數為57比55[7]:28。1689年《權利法案》,重點在於君主應遵守之規條,從此君王再也不能依靠神授之君權凌駕於法律之上;國會之權威和獨立得到聲明,其訴訟程序之完整得到保護,此外未經國會批准和平時期不得設置常備軍;不經國會同意便中止法律之權力視為非法;用某種權力廢止或拒不執行法律,一樣是非法;有賴於禁止過重罰款、禁止超額保釋金和禁止「殘忍且非正常懲罰」,個人自由和安全得以保全;陪審團審判制度亦得到保護[7]:30。1701年,英國國會制定《王位繼承法案》,抓住機會通過保障法官終身職位和薪水之規定,在上下兩院一致通過;加上一則更古老之條例規定,高等司法機關使司法機關行使司法職權時之行動應免受民事及刑事訴訟;如此奠定司法獨立之基礎;一個真正獨立之司法機關是防範執政者無法無天之最佳措施之一,否則司法機關會成為專制政府之犧牲品;即使是掌握國家最高權力者,也應接受法律之約束[7]:31。
英语“法治”(rule of law)在公元1500年前后被首次使用。另一个早期的例子,出现在1610年英国下院给英格兰国王詹姆斯一世的请愿书中:
在王国的列祖列宗,以及陛下和王后的恩泽下,臣民们享有许多幸福和自由,其中尤以通过特定的法治被引导和统治(这种统治形式,国王和王后之下的所有人都得以享有),避免不确定的或专断的政府统治形式最为珍贵。1607年,英格兰首席大法官愛德華·科克爵士在《禁令实例》(Case of Prohibitions,根据他自己的报告)中说:“对于特定事业而言,法律是黄金魔杖和手段;它保卫国王陛下的安全,确保和平:有了法律,国王被大大地冒犯,并且说,他应该位于有权宣布叛国罪的法律之下;对此我说,就像布拉克顿说过的,国王应该位于,且仅位于上帝和法律之下(quod Rex non debed esse sub homine, sed sub Deo et lege.)。”[來源請求]
在现代学者中,第一个阐述主要的理论基础的是卢瑟福在《法律为王》(1644)这部著作中。该书的标题,是拉丁语的“法律为王”,颠覆了传统的规则国王是法律。约翰·洛克也在《政府论》(1690)下篇中讨论了这个议题。孟德斯鸠(1748)在《论法的精神》(1748)一书中也讨论了这一原则。“法治”(rule of law)出现在塞缪尔·约翰逊的词典(1755)中。[來源請求]
正如中國當局聲稱中國實行的是民主制度,中國當局也聲稱中國實行的是法治制度。華人學者稱這種本來就在儒家和法家中存在的思想為「rule by law」,中文則稱為以法而治。[44]中國政法大學教授李曙光曾说:“The difference....is that, under the rule of law, the law is preeminent and can serve as a check against the abuse of power. Under rule by law, the law is a mere tool for a government, that suppresses in a legalistic fashion.”(翻译:区别在于,在法治社会中,法律是最重要的,可以作为对滥用权力的制衡。根据法律规定,法律只是政府的工具,而政府则以法律的方式压制。)[45]
^ 1.01.1The Oxford English Dictionary has defined "rule of law" this way:
The authority and influence of law in society, esp. when viewed as a constraint on individual and institutional behaviour; (hence) the principle whereby all members of a society (including those in government) are considered equally subject to publicly disclosed legal codes and processes.
See“Civil Affairs and Rule of Law”, Dudley Knox Library, Naval Postgraduate School (accessed October 18, 2013) (quoting the OED). (页面存档备份,存于互联网档案馆) The phrase "rule of law" is also sometimes used in other senses. See Garner, Bryan A. (Editor in Chief). Black's Law Dictionary, 9th Edition, p. 1448. (Thomson Reuters, 2009). ISBN 978-0-314-26578-4. The lead definition given by Black's is this: "A substantive legal principle", and the second definition is the "supremacy of regular as opposed to arbitrary power". Black's provides a total of five definitions of "rule of law".
^Raz, Joseph. "The Rule of Law and It's Virtue", The Law Quarterly Review, volume 93, page 195 (1977); reprinted by Culver, Keith. Readings in the Philosophy of Law (页面存档备份,存于互联网档案馆), page 13(Broadview Press, 1999).
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