上海道契：法制变迁的另一种表现

【作者】 夏扬；

【导师】 朱勇；

【作者基本信息】 中国政法大学 ， 法律史学， 2004， 博士

【摘要】 由于与社会文化背景、价值观念以及民族传统有着密切的联系，所以法律制度的变迁与发展是一个复杂的过程。将法律制度移植进本国法律体系中是简单的，对固有法进行大规模的改造可能也是简单的，但是法律制度的先进性并不必然代表其具有适应性，无法对现实社会进行有效调整的法律制度，不可能发挥立法者所期望达到的目的。法律的文本与现实制度运行脱节的现象并不少见。法律是可以移植的，这是法律制度这一社会现象本身的性质所决定的，但如何移植，是一个需要进行深入思考的问题。同时照顾到法律制度的先进性与适应性也是一个很难轻易达到的要求，法律制度并不具备合适的计量方法，可以通过准确的计量来完成先进性与适应性的认定。更为复杂的是，先进性与适应性有时还表现出某种互动，法律制度是一种行为规则，通过外界强制力的作用，先进性和适应性在许多情况下取得一致的情况也并不鲜见。所以，进行先进性与适应性的研究需要有相应的方法。 一般意义上的法律制度，是国家强制力保证实施的行为规范，在国家强制力的要求之下，似乎制定出的任何一种规则都可以得到实施，但事实并非如此，一项法律制度能否在一个社会中得到遵守与实施，往往与这个社会的民族传统、文化背景、价值观念等有着很大的关系。这就是法律的适应性问题。评断法律制度适应性的标准，不能仅仅依据其文本特征，更为重要的是要考察其被遵守和执行的情况，再先进的法律制度，如果得不到遵守，也就不能完成立法者的制定该项法律的意图。法律制度的先进性并不必然代表其有着良好的适应性，但是依靠国家强制力保证实施的法律制度并不意味着没有适应性。法律制度是一种行为规则，这种性质决定其需要有一定的外在强制力，原本并不完全适应的法律制度在此外在强制力的作用下可能会变为适应。如果是真正适应，这是法律制度对于社会改造的结果，是以国家强制力作为后盾的改造，但在很多情况下，这只是一种表面的适应，在条件适宜的时候，还会表现出其不适应性。国家强制力有强弱之分，适应性也有程度的差别，因此国家强制力与法律的适应性始终处于一个相对运动的状态，国家强制力发挥较强作用时，则法律制度更多的表现为适应，一项法律制度较为适应某一社会时，贯彻执行这此项制度对国家强制力的需求则相对较少。成功的法律制度的特征应该是，本身具有较强的适应性，为其实施提供了良好的基础，同时因为有着国家强制力的保证，在现实生活中得到很好的贯彻，这是立法的最佳状态，但这种状态并非能轻易达到。 由于受到国家强制力的影响，法律制度的适应性并非能准确加以认识，也就无从判断法律制度的适应性。但是国家强制力在国家政治体制中的分布是不均衡的，内容摘要一般中央较强，地方较弱;对于法律制度的主要部门较强，次要部门较弱。还有一个规律是，法律制度的不适应性往往是在国家强制力较弱的地方首先显露出来。关注这些国家强制力较弱的地方，似乎可以找到更多的有关法律制度适应性的知识。 传统法律的特点为我们进行这种研究提供了可能。中国传统法律是多层次的，国家立法扮演着重要的角色，但国家立法并不是唯一的法律渊源，对于法律关系的调整，需要国家权力之外其他强制力的参与，强制力的来源是多方面的，如来自于地方政权、家族、行会等等。法律制度表现出来的这种多层次性、多渊源性，增加了法律变迁的复杂性，但同时也为研究法律变迁提供了一个绝佳的途径和视角。中央政权制定的法律制度承受着更多的外在强制力，因为这些强制力直接来源于国家，地方政权制定或实际实施的法规、地方的风俗习惯、乡规民约等所承受的外在强制力可能就要小得多，有利于形成外在强制力与实际使用适应性之间的互动，这些规则可能更多地体现社会生活本身的要求，也就是说，更能体现法律制度的是否具有适应性。 深入一步了解这个问题，我们可以看到，法律制度的适应性也是一个复杂的问题。政治、经济形势的变化会引起法律制度的变化，但法律制度也不是被动的，法律制度的变化同样也可能引起社会关系的变化，这是一种互动的关系。社会生活对于法律制度是有要求的，不同的社会关系要求有不同的法律制度进行调整，如果制定的法律制度正好能满足这种需求，便能使所调整的社会关系健康发展，法律制度同时也有着一定的前导作用，可能超出社会关系的当前需求，但可以诱发或是促进某种经济关系的出现，因此法律制度的适应性本身包含有不同的情况。 历史进程的复杂性为我们考察法律制度提供了很好的途径，其中之一就是中国近代的租界法制，本论文就是笔者从租界法律制度对于中国传统法制的影响出发来考察中国法律制度的变迁。租界法律制度内容很多，本论文是以租界土地制度—道契制度作为考察对象。道契是租界建立之后，外人在租界中取得土地的制度，围绕着道契的发放、对道契土地的管理、道契土地的流转等产生了一系列的法律规则与行为规范，其中虽然有着中国方面的参与，但由于道契是外国人取得土地的制度，加上租界的性质，使得法律原则的确立?更多还原

【Abstract】 The evolvement and change of law system of one society is complex, it heavily depends on the background of culture, value and tradition of the society. One of the approaches of law evolvement is law transplant. Law can be transplanted; this is determined by the nature of the law and the society. Law transplant can be easily realized, and the text of law can be easily amended, but the law which is much advanced not always means that it can be fully applicable to the specific society, not always means that it can be easily adopted by the society. How to transplant the law This is a question which is difficult to answer. Law transplant is not math, which has precise calculation and can get comparatively accurate result, and many times it appears that it is difficult to judge which is adaptable, which is not.We always see this vision, because the force comes from regime, the law can be enforced in a country. But the value of law not rest with the text, but with the applicability of the law. Law can not be abided by is not good law. The force which comes from regime and the applicability of law sometimes appears a kind of interactive process. While the force comes from regime is powerful enough, the law can be enforced, but this is just temporary, when the force fade away, the law then can not be enforced. How can we explore the applicability of law? How can we find an appropriate way for law evolvementThe characteristic of tradition law give us one opportunity. In tradition law system, law has many different lays. Law made by regime is the most important one, but not the exclusive one, there are many other sources, and this sources are from local authority, from kindred, from guild. All this sources make up of the tradition Chinese law system. All this sources underwent evolvement and change, and this adds complexity to the evolvement and change of the law. But at the same time, this provides us a good route or angle of view to the evolvement and change. Force on law from local authority, from kindred, from guild is less powerful than that from regime, and they can reflect the applicability of the law truly.After 1840, English get Settlement in China, this dissertation focus on Shanghai settlement, which is notorious in recent China history; focus on the law implemented in it. One of the basic laws of the settlement is the law about Dao Qi. Dao Qi is the system about how to get land in Shanghai settlement. In the beginning, the system only can beused for the foreigner to get land in Shanghai; gradually it also can be used by Chinese. This system comes into being under the treaty between China and Britain, and the system gives us many impressions on recent law. The enforcement of the system can be regard as another kind of evolvements and changes of law.There are 8 chapters in this dissertation. The first chapter is about the appearance of the Dao Qi. After English got settlement in Shanghai, Shanghai Land Regulation gets signed. This Regulation gives birth of Dao Qi. That is, Dao Qi’s appearance is the result of negotiation between China and Britain. The second chapter is about the development of system of Shanghai Settlement and the Dao Qi. This is why Dao Qi can have influence. The nature of Shanghai Settlement changes and these changes bring Dao Qi into Chinese world. The third chapter emphasizes on the operation of Dao Qi. The basic system of Dao Qi comes from China tradition law and English law, but it has development. This development can be regard as a kind of development and change of China tradition law. In the fourth chapter, this dissertation gives a view of change of administration of land affairs in tradition Chinese society. There is a new department appear, that is Land Measure Office. This office is in charge of issue of Dao Qi, and it can be regard as an office has modern character. Land Measure Office then is as an example, and Wusong and Shanghai General Engineering Bureau take the lead of it. The fifth chapter discusses the most powerful impact of Dao Qi on traditional Chinese s更多还原