【作者】 武航宇；

【导师】 霍存福；

【作者基本信息】 吉林大学 ， 法律史， 2014， 博士

【摘要】 古中国与古罗马的生产、生活都离不开契约实践，也正是契约实践的不断开展，创造了两国古代曾经繁荣的经济和灿烂的契约文化。但是，古中国与古罗马所处地域不同，决定了两国经济走向的差异；古中国与古罗马文化背景的不同，决定了两国主流话语体系的不同；古中国与古罗马政治体系的不同，决定了两国公权力行使方式的差异，也就造就了契约保障性措施的不同；古中国与古罗马社会结构的不同，决定了两国民间契约救济途径的差异。正因为有着这样的一些不同，两国契约法律制度发展的路径与方向就有很大的差异。但同时,古中国与古罗马民间都有着丰富的契约实践，在契约观念的某些方面，两国又有着某种契合，所以对古中国与古罗马契约实践进行比较研究，希望能够找寻出契约文化的根本内涵与观念，完善中国民法史的理论体系，重新认识古中国契约观念与文化对当代的影响，为当代法治的本土化提供重要的资源。一、契约观念与实践的概况经济越繁荣，契约的实践就越频繁，与之相关的制度与观念也在不断的制定和践行。在古中国与古罗马，契约实践的种类主要有买卖契约（包括不动产买卖、动产买卖）、借贷契约、租佃契约。通过对比发现，两国租佃契约文书有同有异，反映了两国契约文明的状貌及契约文化的各自特色。通过对契约文书基本条款或意项进行比较，发现不同历史时期、不同文化背景下契约的形式、内容及话语体系有其特异性，并能从中总结出契约发展的一些共性特征，能够更好的帮助我们考察我国古代契约文书的发展历程及其特色。二、契约文书格式及话语体系比较古中国与古罗马生产、生活实践不同，文化背景的不同，决定了两地契约文书格式和主流话语体系的不同。在古中国，无论是民间，还是官府，对待土地都是非常重视的，因为土地不仅关系到国计民生，而且，土地作为不动产，其价值较大，所以在签订有关土地租佃、买卖的契约文书时，民间、官府都非常慎重。其具体表现就是在契约文书中，有关土地的契约文书，其格式规范，条款内容都非常详尽。就话语体系而言，主要从一份古罗马的“马克西曼及其妻贝莉格卖地契”入手，结合古罗马法学家对于土地买卖的相关论述，以及记载当时土地交易情况的书信内容，与古中国从西周至清末的土地买卖文书，进行系统的比较。在古罗马的这件土地买卖文书当中，对于价金的交付、权利转移条款、土地所有权的保证条款等方面都充分体现出了一种权利观念，这在古中国的土地买卖契约文书当中是看不到的。这就说明一个问题，即关于“权利义务”的观念与表述，是属于古罗马的话语体系，古罗马围绕“权利义务”这一话语体系构建了他们的契约保护体系，进而形成了与之相适应的诉讼体系，形成了整个古罗马的法律制度。但是通过以上的仔细对比，不难发现，在土地买卖契约文书当中，古中国虽然没有运用“权利义务”这套话语体系说明所有权的流转与保障，实际上古中国的这套“国家公权力”与宗族或个人“私权利”共同作用的多重保证也能起到很好的作用。总之，古中国与古罗马在土地买卖契约实践当中确实存在差异，比如语言方面、寻求权利救济的途径、违约处罚、地役权的规定等，但其最终目的都是为了满足当时民间百姓的需要，维持正常的土地所有权流转秩序，减少民间纠纷。三、契约实践的保障性措施比较古罗马的普通百姓具有“维权”的意识，并且是“依法”来保证自己的权利不受侵犯；而古中国百姓则在契约的实践过程中，会约定一些预防性的保障条款，同时国家公权力在后台保障“契约实践”的顺利进行，其目的是为了保证契约的顺利履行。在众多种类的契约中，动产买卖契约因为双方当事人流动性大，交易种类多等因素，其保障性措施体现尤为明显。当然，其他种类的契约也有保障性措施，如广泛存在于不动产买卖、人口买卖、租佃等契约文书中的担保条款。四、契约实践的救济途径比较在东西方不同的法文化背景之下，古中国与古罗马契约纠纷的救济途径，无论是公力救济还是私力救济，都存在很大差异。为了优化我国目前契约纠纷的救济途径，应从根源上探究两国契约纠纷救济途径产生差异的历史根源及法文化内涵，以探寻适合我国的契约纠纷救济途径。但是，契约种类不同，其救济途径殊异。无论古中国还是古罗马，借贷行为广泛存在，因高利贷而起的债务纠纷屡禁不止。国家法律规定了利率、限制了主体，同时有公权力的救济方式，民间有道德约束、和解、保证、私刑等私力救济的方式，但是却总不能解决根本的问题，所以两国都在探寻最终的解决方案。古罗马的解决方案是细化契约规则，与之相比较，古中国的解决方式是强化“公正”观念。在古中国从国家，到民间，对于民间资金融通问题都在积极探索符合经济发展规律的方式，无论那种方式，都是围绕着“公正”的观念而展开的。五、契约观念与实践的情理化内涵比较契约实践是在人与人之间进行的，不可避免的存在一定的情理化内涵，从宋代开始，古中国的契约文书当中就有这方面的体现。与之相比，古罗马在契约文书当中并没有这方面的内容，但是当时的人在进行契约实践的时候也会考虑这方面的因素，比如，在土地买卖的交易过程中，古罗马的双方当事人对于价钱问题也要考虑常情因素、常理因素，小普林尼在其《书信集》第7卷中收录了一封向其妻子的祖父法巴图斯说明出卖地产和地价问题的一封信，其中所记载的内容即反映了地产买卖中的情理化内涵。古罗马民间当事人在购买土地的时候除了价格考虑情理之外，购买的途径也会考虑情理。小普林尼曾为了帮朋友特兰圭卢斯买一座合意的小农庄，就曾写信给另一位朋友白比乌斯帮忙。通过以上分析，我们暂时可以得出一个结论，古中国与古罗马在土地买卖契约实践当中确实存在差异，但都存在情理化内涵。综上所述，古中国与古罗马契约实践中的差异，以及导致差异形成的多重因素，尚须继续探讨。但毋庸置疑，古中国契约实践中所蕴含的契约观念，作为一种法律精神，它完全可以与西方契约观念相衔接，成为构建新型法治的“中国元素”。更多还原

【Abstract】 Contract practice is an indispensible part of production and life in both ancientChina and ancient Rome, and its consistently development created the two ancientcountries’ once prosperous economy and splendid culture. But, due to the differentregions the two ancient countries located, the economy of the two countriesdeveloped in different patterns and directions. Different cultural backgrounds ofancient China and ancient Rome means the discrepancy of their mainstreamdiscourse systems; the different political systems of ancient China and ancient Romedetermine the differences of execution of civil rights as well as the guaranteemeasures of contract; Furthermore, the social structures of ancient China and ancientRome are different, which introduce the distinction of ways of folk contract reliefbetween the two countries. All the discrepancies mentioned above lead to differentways and directions of the two countries’ legal systems of contract. But at the sametime, both ancient China and ancient Rome have rich folk contract practice, andcertain aspects of the contract idea of the two countries have something in common,which lay a consolidate foundation for comparison and contrast. This dissertationattempts to figure out the essence, connotation and concept of the contract culture,improving the theory of the history of Chinese civil law system, having a furtherunderstanding of the influence of the ancient Chinese contract idea and culture onthe contemporary law system, providing important resources for the localization ofmodern rule of law.First, an overview of the concept and practice of contractThe more thriving the economy, the more frequent the practice of the contract is.Consequently, the related system and the idea has been developed and practiced. In ancient China and ancient Rome, the main contract practice includes transaction ofreal estate, human beings, movable property as well as lending and tenancy. Thecomparison and contrast shows that there exist some differences in the two countries’tenancy contract documents, reflecting the civilization of contract and their respectivecultural characteristics. By comparing basic items of contract document, thedissertation tries to explore specialty of form, content and discourse of contract withindifferent historical and cultural backgrounds, and sum up some common features ofthe development of contract, which would facilitate the investigation of thedevelopment of Chinese ancient contract documents and its characteristics.Second, the formats and discourse systems of contract documentsThe formats and mainstream discourse systems of contract documents of ancientChina and ancient Rome are different, because the ways of production, life as well asthe cultural backgrounds are quite different. In ancient China, both the folk andgovernment attach importance to the land, because the land did not only relate topeople’s livelihood, but also was of great value as real estate. Therefore, wheneversigning a land tenancy, or buying and selling contract documents, both folk andgovernment were very cautious. It mainly manifested in the contract documents, inwhich the contract documents relating to the land written in a thorough and formalformat. This section focuses on land tenancy and the contract documents, comparingthe contract formats and discourse systems of ancient China and ancient Rome.The dissertation elucidates the discourse system mainly from a “sale of the landcontract document” of ancient Rome, combining Roman jurists’ relevant studies onland transaction, and content of letters during the transactional process, andsystematically compares it with land sales documents from the western Zhou dynastyto the Qing dynasty in ancient China. In the land sales documents of ancient Rome,the payment, provisions of right transference, guarantee provisions of land ownershipgave full interpretation to the concept of right, which were absent in the land sales contract documents of ancient China. It further proves that the expression of “rightsand obligations” belongs to the discourse system of ancient Rome. Ancient Romeconstructed their contract protection system focused on the rights and obligations ofthis discourse system, so as to form a corresponding system of litigation and thewhole of the Roman law system. However, through more careful comparison, it is notdifficult to find that there is no “rights and obligations” in discourse system of ancientChinese land sales contract documents, let alone be used to explain the transferenceand guarantee of ownership. Actually, ancient China’s combination of the guaranteeof “national public power” with their families or individuals”,“private right” canalso have very good effect. All in all, the ancient Chinese and ancient Roman practiceof land sales contract, such as language, measures of right remedy, default penaltyand the provisions of the easement, do exist differences. But the ultimate goal is tomeet the needs of private citizens at the time, maintaining the normal order of theownership of land circulation, and reducing the civil disputes.Third，the comparison of protection measures in contract practiceThe common people of ancient Rome had the consciousness of “maintaininglegal rights”, and “in accordance with the law” was to protect their rights frominfringement; While the ancient Chinese people would have some preventiveagreement as guarantee in the process of the practice of the contract and thepower of government at the same time backed up the smooth implementation of the“practice of contract” aiming at ensuring that the contract be fulfilled smoothly.Among various contracts, protection measures of movable property salescontracts are obvious due to many factors, such as high mobility of both parties andvariety of transactions. Other types of contracts also have some protection measures,such as some prevailing guarantee provisions in the real estate buying and selling,sales of human beings and tenancy, etc.Fourth, comparison of the relief ways of contract practice Under different legal cultural backgrounds of east and west, the relief ways aredifferent regardless of public remedy or private remedy in ancient China and ancientRome. In order to optimize the current contract dispute remedy in China, we shouldexplore the causes of discrepancies of the contract dispute between the two countriesand have a further understanding of their respective cultural connotation of law,which will help us figure out contract disputes relief in China. However, the differenttypes of contracts depend on various categories of relief ways.Lending practices were widespread both in ancient Roman and ancient China,due to which debt disputes recurred. The national law formulated interest rates,limiting the body, proposing public authority remedies. Though among the folks,there were civil and moral constraints, reconciliation, guarantee of private relief andlynching, etc., yet those ways could not always solve the fundamental problem.Therefore, both countries were seeking for effective solutions. Roman’s solution wasto refine the contract rules, comparison, while ancient China’s solution was toreinforce the notion of “justice”. In ancient China from the government to folk,private financing problems were actively explored in line with law of economicdevelopment, centering the concept of “fair” regardless of approaches they adopted.Fifth, the comparison and contrast of the rational connotations of contractconcepts and practicesContract practice is conducted between person and person, so it isinevitable to adopt certain connotation of emotion. And this situation has been reflectedin contract documents of ancient China since the Song dynasty. Though there was nocounterpart in ancient Rome, such factors would be taken into account. Forexample, in the process of land transaction, both parties would also consider theelements of emotion and relationship while discussing about the price. The seventhvolume of Younger Pliny’s Letters included a letter with the content that he explainedthe problems concerning sell real estate and price of land to his wife’s grandfather Fabatus. Ancient Rome folk parties not only considered emotional elements andrelationship in the process of transaction of land, but also in the process of choosing aproper way of purchasing. For instance, in order to help his friend Tolanguluispurchase a farm, the younger Pliny once wrote a letter to his friend Bobius. Theabove analysis would contribute to the conclusion that while certain differences doexist in contract practice in ancient China and ancient Rome, there are also somecommon features like both the two countries’ contract practice in ancient timecontaining certain connotation of emotion.To sum up, there is still necessity of exploring the differences ofcontract practice between ancient China and ancient Rome, and various factors maycontribute to these differences. But it is undoubted that the concept of contract containsin contract practice in ancient China should be regarded as a kind of the spirit of thelaw, which bridges the eastern and western views of contract. It should be consideredas “Chinese elements” during the process of construction of brand-new model of ruleof law.更多还原