【作者】 夏秀渊；

【导师】 何勤华；

【作者基本信息】 华东政法大学 ， 法律史， 2010， 博士

【摘要】 拉丁美洲法是罗马法系的一个重要组成部分。拉丁美洲民法典主要由源于罗马法、伊比利亚法、前哥伦布时代的印第安人习惯法三种法组合而成。由于拉丁美洲文化具有一致性,所以,拉丁美洲国家民事法律在理论渊源、表现形式、具体规定等方面具有高度的一致性。拉丁美洲民法典具有不同于欧洲、亚洲和非洲的鲜明特点。拉丁美洲国家民法典经历了100多年的发展,积累了丰富的经验,取得了丰硕的成果,有着较多的创新。拉丁美洲国家民法典在形成和发展过程中,既深受欧洲国家民法典的影响,也受西班牙、葡萄牙殖民统治传统的影响,还受到拉丁美洲社会独特文化的影响,使拉丁美洲国家民法典在发展过程中表现出许多独特性。拉丁美洲国家民法典随着经济和社会条件的改变而处于不断发展、变化和完善的过程中。拉丁美洲国家民法典发展的第一个阶段是拉丁美洲国家民法典的萌芽时期。该阶段既包括西班牙人和葡萄牙人入侵前的印第安人时期,又包括西班牙、葡萄牙统治拉丁美洲时期。在西班牙人和葡萄牙人入侵拉丁美洲前,尚无民法典,甚至还没有成文法,只有印第安人的民事习惯法,但有些民事习惯后来成为拉丁美洲国家民法典的渊源。在西班牙、葡萄牙人统治拉丁美洲时期,拉丁美洲适用西班牙和葡萄牙的民事法律,独立后这些民事法律成为拉丁美洲国家民法典的基础和主要渊源。第二个阶段是独立后拉丁美洲民法法典化时期,拉丁美洲国家在独立后借鉴欧洲国家尤其是法国的民法典,展开了大规模的民法典编纂运动,使拉丁美洲国家有了自己的民法典。第三个阶段是在20世纪以后拉丁美洲国家民法典的再法典化和现代化时期。在这一阶段,拉丁美洲国家民法典紧随世界民法典的发展潮流,或对民法典进行修改,或制定特别法,或重新制定民法典,实现了民法典的更新换代。2002年的《巴西民法典》是当今世界上最新的民法典。本文以民法典为视角,以拉丁美洲民法典的发展演变为基本线索、以罗马法为纽带、以与法国法、德国法、西班牙法以及葡萄牙法的关系为基础,对拉丁美洲民法典的基本问题进行初步的研究和探索。本文较多地利用比较法的方法研究拉丁美洲民法典,比较拉丁美洲国家民法典和法、德等欧洲民法典的异同及其发展趋势;结合民法学与法律史这两门学科的研究方法。既从部门法即民法学的视角,进行民法制度的原理分析;也从法律史的维度进行探究,以19世纪至21世纪拉丁美洲民法典发展变迁为线索,历史地分析拉丁美洲民法典的发展演变历程,力图揭示其规律。本文除导论和结语外,正文共分为七章,主要内容为:第一章,独立前的拉丁美洲民法。这一章作为全文的铺垫,分两个阶段介绍了独立前的拉丁美洲民法。首先分析了西班牙人入侵前拉丁美洲地区印第安人存在的习惯法等民事规范;继而探讨了西班牙和葡萄牙的法律发展史;然后比较清晰地勾勒出独立前西班牙和葡萄牙在拉丁美洲殖民地适用的民法,尤其强调了《七章律》对拉丁美洲民法的影响。第二章,独立后拉丁美洲民法法典化运动。这一章分析了独立后拉丁美洲国家编纂民法典的经济条件、政治条件和学术条件,探究了《法国民法典》成为拉丁美洲民法法典化运动借鉴范例的原因,揭示出1825年—1916年的拉丁美洲法典编纂运动是拉丁美洲民法典发展史具有重大意义的事件。这一章还列举了拉丁美洲民法典的创新和贡献,如首先在民法典规定法人制度等。19世纪中期,拉丁美洲一些国家的政局趋于稳定,为制定民法典提供了政治条件。《智利民法典》、《阿根廷民法典》和《巴西民法典》是拉丁美洲民法法典化运动中产生的三大优秀民法典。尤其是贝略的《智利民法典》是拉丁美洲第一部独立自主完成的、编纂得最好的民法典,被拉丁美洲许多国家采用和模仿。拉丁美洲民法法典化运动标志着拉丁美洲法系的形成。拉丁美洲民法典除受欧洲民法典影响外,还受到融合了普通法系因素的《路易斯安那民法典》的影响,有自己的特色。拉丁美洲国家的民法法典化运动使拉丁美洲国家实现了民法的近代化。第三章,拉丁美洲民法典的原则、渊源、体例和特点。拉丁美洲国家民法典不但规定了近代民族国家法律的几个基本原则,还确立了民法典的原则和精神,即所有权神圣、契约自由和过错责任等。拉丁美洲民法典渊源于罗马法、西班牙和葡萄牙法、《法国民法典》、欧洲民事法律和民法理论以及美国一些州的民法典。拉丁美洲民法典大都借鉴以查士丁尼的《法学阶梯》为蓝本的《法国民法典》的体例和结构。但是,拉丁美洲国家并非完全生搬硬套《法国民法典》,而是根据本国情况和法学理论的发展而有所取舍和变通。一般把过于臃肿的《法国民法典》第三编的一编拆分为二编,把继承法或物权法从该编独立出来。拉丁美洲国家民法典的渊源和体例、内容、编纂方式等方面具有一致性。这一章分析了拉丁美洲国家民法典的体例、结构和特点。揭示出拉丁美洲国家民法典的渊源和体例基本相同、内容基本一致、编纂和修订的方式类似等特点。第四章,拉丁美洲国家民法典的现代化和再法典化。这一章首先探讨了拉丁美洲国家民法典的现代化和再法典化的原因,继而阐述了拉丁美洲国家民法典的现代化和再法典化的过程。随着社会经济的发展、人权保护思想的进步、民法典编纂技术的更新,拉丁美洲国家民法典的不足和缺陷逐步呈现,民法典的现代化和再法典化不可避免。具体的人格、对财产所有权和契约自由的限制、无过错责任等现代民法的原则和精神要求拉丁美洲国家民法典的现代化。进入20世纪,拉丁美洲国家民法典激起了一股改革的潮流,出现了对民法典进行局部或者整体革新的趋势,以适应社会经济与立法的变迁。由于民法典的再法典化往往造成法律的急剧变革,会打断法律发展的连续性,损害法律的稳定性。所以《智利民法典》和《阿根廷民法典》的现代化和再法典化进程极为艰难和曲折。不过,《巴西民法典》的成功再法典化为拉丁美洲国家民法典的再法典化提供了借鉴和参考的范例。第五章,拉丁美洲国家民法典主要内容评述。这一章对拉丁美洲国家民法典内容分六个方面进行评述,首先扼要介绍了拉丁美洲国家民法典的内容,其次对这些内容的来源和优劣做了客观的评述。拉丁美洲国家民法典的序编仿自《法国民法典》,包括法律的概念、法律的颁布、法律的效力、法律渊源、法律的解释、证据规则、裁判规则、基本原则和期间、期日等属于宪法或立法法规定的内容,统率整个法律体系。拉丁美洲国家民法典的第一编一般是人法,包含关于个人和亲属法等关于民事权利主体的规定。拉丁美洲的婚姻、家庭和继承在许多方面继承了西班牙的法律传统,受教会法影响较大。拉丁美洲财产法的内容包括财产及其所有、占有、使用和收益。第六章,拉丁美洲国家商法典的制定及其和民法典的关系。民法和商法是一国私法体系中不可分割的两个部分,这一章探讨了拉丁美洲国家商法典的制定过程,评述了拉丁美洲国家商法典的内容,并对拉丁美洲国家民法典和商法典的关系展开了研究。拉丁美洲国家实行民商分立,既制定民法典,也制定商法典,在民法典和商法典的关系上,先适用商法典,商法典没有规定的则适用民法典,不过,也专门制定特别法加以解决。现在,拉丁美洲国家的商法典虽然已经支离破碎,但是,商法典依然存在,只是调整范围越来越小。2002年《巴西民法典》所确立的在债法和企业法方面实现民商合一的模式不失为一种较为现实的选择。第七章,拉丁美洲国家民法典的发展趋势。这一章分析了拉丁美洲国家民法典的发展趋势,对拉丁美洲国家民法典的发展前景进行了展望。拉丁美洲国家民法典由个人本位转向社会本位,在固守法国传统的同时博采各国之长,更加注重保护人权。由于区域合作的发展,拉丁美洲国家民法典向一体化方向靠拢。在民法典与商法典的关系上,拉丁美洲由民商分立向民商合一转化。更多还原

【Abstract】 Latin America legal system is an important component of Roman law. The civil codes in Latin American countries mainly come from a combination of three kinds of law,which are Roman law, Iberian law and Indian’s customary law. As the culture of Latin American countries is similar, the Civil Codes in Latin American countries are quite resemble in the theoretical origins, sources, specific rules, etc. Different from that in Europe , Asia and African, the civil codes in Latin America have distinct characteristic. The civil codes in Latin American countries have been developed for more than 100 years, and accumulated rich experience and achieved fruitful results, with much innovation.In the formation and development of the Civil Codes in Latin America, they are influenced not only by the Civil Codes of European countries, Spain and Portugal, but also by unique culture of their own. So the Civil Codes of Latin American countries had demonstrated a number of uniqueness. The Civil Codes in Latin American countries are developing and improving with the changes of the economic and social conditions.The first phase of development of the Civil Codes in Latin America is an embryonic period,which not only including the times of the Indians, but also including the period of Spain and Portuguese ruling time. Before the invasion of the Spanish and Portuguese in Latin America, there are no civil codes and statutes, only unwritten law, which later becoming the source of Latin America.During the ruling period of the Spanish and Portuguese, Latin American countries adopted the civil law of Spanish and Portuguese,which becoming the basis and the main source of the civil codes in Latin America countries.The second stage is the post-independence era of codification in Latin America, Latin American countries launched a massive campaign of civil codification after independence, drawing on the European countries, especially the French Civil Code, so Latin American countries have their own civil law Code. The third phase was the recodification and modernization period in Latin American countries since the 20th century. At this stage,Latin American countries followed the development trend of the civil codes of the the world, they have upgraded their civil codes by ways of recodification, renovation and special civil laws. Brazilian Civil Code 2002 is the world’s latest civil code.In this paper, I do a preliminary study of basic questions on the civil codes in Latin American countries from a perspective of the formation and development of civil codes, the relationship between Roman law, French and German law, Spain and Portugal law. I greatly use of the method of comparative law in the research of civil codes in Latin American countries, comparison the similarities and differences of the civil codes among Latin American countries and European civil codes, combination two research methods of civil law discipline and legal history disciplines.I research both from the perspective of civil law and the perspective of legal history to explore the evolution and changes of the civil codes in Latin American countries.Besides the introduction and conclusion of the dissertation, it is divided into seven chapters, the main contents are as follows:Chapter one, the civil law before independence in Latin America. As a base of the dissertation, this chapter explain two stages before independence in Latin America. Firstly, I analysis the civil customary law of Indian before the invasion of Spanish and Portugal and then discusse the legal development in Spain and Portugal. Secondly, I clearly outline the civil law of Latin American countries during the colonial period, particularly emphasis the the impact of the Seven Books of Law on the Latin American civil law.Chapter two, the codification of civil codes in Latin American countries after independence. Firstly, in this chapter, I analyzes the economic, political and academic conditions after the independence of Latin American countries. Secondly, I explain the reasons why the French Civil Code became the examples of civil codes in Latin American countries. Thirdly, I point out that the Civil Code Codification Movement(1825 -1916) is of great significance to the development of civil codes in Latin America.Fourthly, I list the innovation and contribution to civil codes in Latin America,such as the legal person system. During the mid-nineteenth century, the political situation in Latin America countries has been stabilized, so the codification of civil codes is possible.There are three excellent civil codes in Latin America which are Chilean Civil Code, Argentinan Civil Code and Brazilian Civil Code. The Chilean Civil Code of 1855 drafted by Andrs Bello was perhaps the most influential codification in the development of Latin American private law after independence from Spain. Bello’s use of the French Civil Code can be best understood by placing his borrowing of French law into the legal and historical context of Chile. The Code was not only used in Chile, but was later adopted as a whole in El Salvador, Ecuador, Venezuela, Nicaragua, Colombia, and Honduras. Bello’s code was a main source for and influence on the civil codes of Uruguay, Mexico, Guatemala, Costa Rica, and Paraguay. Thus, the Chilean Civil Code was successful not only in Chile, but throughout Latin America. The completion of the Civil Code Codification Movement of the Latin America marked the formation of the Latin American legal systems.In addition to the impact by European civil codes, the civil codes in Latin America are also influenced by the Louisiana Civil Code which mixing the common law factors and has its own characteristics. The Civil Code Codification Movement in Latin America made them modernize their civil law.Chapter three, the principle,source,framework and features of civil codes in Latin America. The civil codes in Latin American countries not only stipulate a few basic principles of law, but also establishes the principles and spirit of the civil code, namely, sacred of ownership, freedom of contract, and fault liability. Latin American civil codes origin in Roman, Spain, Portugal and French civil law and civil law theory, as well as some states of the civil codes in the United States.Most Latin American countries learn from the French Civil Code which modeled on the Institutes of Justinian. However, the Latin American countries do not entirely mechanically copy French Civil Code, they have a choice and adaptation in accordance with national conditions and development of legal theory. In general, they split part III of French Civil Code into two parts, the law of inheritance or property law. The civil codes in Latin American countries are quite similar in source, content, and compilation. In this chapter, I discuss the style, structure and characteristics of civil codes in Latin America.Chapter four, the modernization and recodification of civil codes in Latin America. In this chapter, I examine the the reasons and process of the modernization and recodification of civil codes. With the social and economic development, and the ideas of protection of human rights, the modernization and recodification of civil codes are inevitable. Modern civil law principles and spirit require the modernization of civil codes in Latin America which are specific personality, restriction of property ownership and freedom of contract, no-fault liability. After turning into the twentieth century, in order to meet the socio-economic and legislative changes, the civil codes in Latin America are inspired a wave of reform trend, using the methods of partial innovation or whole innovation. Because the recodification of the civil codes is often caused by sudden dramatic changes in law would break the continuity of legal development and undermine the stability of the law, the modernization and recodification process of the Chilean Civil Code and the Argentine Civil Code are very difficult.However, the recodification of the the Brazilian Civil Code has provided a model to Latin American countries.Chapter five, comments on the civil codes in Latin American countries. In this chapter, I comment on the civil codes in Latin America from six aspect. Firstly, I gave a brief description of the civil codes in Latin America.Secondly, I do an objective commentary on the content and sources of the civil codes in Latin America. The preface of the civil codes in Latin America is imitated from the French Civil Code, which including the concept of the law, the promulgation of the law, the legal effect, the sources of law, the legal interpretation of the rules of evidence, rules, basic principles, duration,date, etc. These content is the head of the entire legal system, which usually is a part of the constitution or legislative law.Part I of the civil codes in Latin American countries generally contains information about person and family law, namely about the subject of civil rights.The marriage, family and inheritance in the civil codes in Latin America inherit the Spanish legal tradition and affected by Cannon law. The content of the Latin American property law include property and its ownership, possession, use and benefits.Chapter six, the codification of commercial codes and the relationship with civil codes. The civil codes and commercial codes is an integral part of the private law system. In this chapter, I discuss the process of the formulating of the commercial codes and review the comment the commercial codes in Latin America.I also study the relations between the commercial codes and the civil codes. Latin American countries both made civil codes and commercial codes.When application of private law, the judge apply the commercial codes first. When there is no rules in commercial codes, the judge then apply the civil codes. Sometimes, the Latin American countries make special laws. Now, although the commercial codes are broken by special laws, the commercial codes are still there but getting smaller and smaller. The Brazilian Civil Code of 2002 establishes a good model to incorporate the commercial codes into civil codes.Chapter seven, the development trends of the civil codes in Latin America. In this chapter, I analyze the development trend and prospect of civil codes in Latin America.The civil codes in Latin America are individual-based,and now are social-based.On one hand the Latin American countries are sticking to French tradition, on the other hand, they learn the advantages of various countries, and pay more attention to protect human rights. As the development of regional cooperation, the civil codes in Latin America are becoming similar and similar. In the relations between civil codes and commercial codes, commercial codes are incorporated into civil codes in Latin America.更多还原