【作者】 王巨新；

【导师】 陈尚胜；

【作者基本信息】 山东大学 ， 专门史， 2007， 博士

【摘要】 清朝前期是中国古代涉外法律的成熟时期。这一时期随着中外交往的增多和涉外冲突的频仍，清政府规范调整中外关系的法律制度也表现出由简单到系统、由缺漏到完备的发展态势，逐渐形成了包括朝贡法律制度、涉外经济法律、涉外民商法律、涉外刑事法律、涉外诉讼法律等在内的涉外法律体系，可以说清朝前期涉外法律是中国古代涉外法律发展的顶峰。清朝前期，广东地区是来华外国人最多的地区，也是清朝前期涉外法律最为集中的地区，因此本文主要以广东地区为中心，深入探讨清朝前期针对来华外国人的涉外经济法律、涉外民商法律、涉外刑事法律、涉外诉讼法律等。论文分为绪论、正文和结语三个部分。绪论部分主要阐述了研究清朝前期涉外法律的学术价值与现实意义。研究清朝前期涉外法律既有利于把握中国古代对外政策和中国古代涉外法律的基本精神和主要特征，又对我国当前加入世贸组织后的涉外法律建设具有深刻的历史借鉴意义。同时，绪论中总结了中外学术界已有的研究概况，并指出研究不足主要是缺乏对涉外法律的专题研究，缺乏对法律制度的案例分析，缺乏对中外史料的对比互证。据此，本论文将采用案例分析、互证研究、比较研究的方法，对清朝前期涉外经济法律、涉外民商法律、涉外刑事法律、涉外诉讼法律等展开专题研究。正文部分分为五章。第一章主要叙述清朝前期对广东地区来华外国人的政策与涉外法的渊源。其中第一节介绍清朝前期广东地区来华外国人概况，主要叙述了清朝前期来到或经过广东的使节、商人、士兵水手、西洋教士、飘风难民、驻澳葡人等六大群体的规模、特征及发展变化。第二节以广东地区为中心探讨清朝前期对来华外国人的政策与涉外立法情况，具体以乾隆二十二年实行广州一口通商为界限分两个阶段展开叙述。第三节论述清朝前期涉外法的渊源，指出皇帝谕旨、成文法典、判例成案、习惯法和双边条约等都是清朝前期涉外法律的重要渊源。第二章主要论述清朝前期涉外经济法律。其中第一节讨论清政府对来华外商的管理法令，分对外国商船之管理法律、对外国商民之管理法律、对进出口商品之管理法律三个方面进行论述。第二节阐述海关法律，介绍了粤海关的口岸和人员组成，探讨了海关的主要职权，包括征收关税、稽查走私、管理贸易及其它管理职权，论述了海关法的法律责任，包括走私行为的法律责任、其它违反海关管理行为的法律责任、海关人员违法行为的法律责任等。第三节论述涉外税收法律，包括海关税则的演变，海关税的组成即商税、船料、附加税三个部分，海关税的减征与免征等。第三章主要探讨清朝前期涉外民商法律。其中第一节介绍涉外物权法律，指出清朝前期广东地区的涉外物权法律并不健全，其对涉外所有权关系的调整主要集中在规范不动产即土地和房屋所有权方面，对涉外用益物权和担保物权的调整以涉外典权、涉外质权和涉外抵押权较为常见。第二节叙述涉外债权法律，清朝前期广东地区的涉外债权法律较为完善，特别是调整涉外合同之债的法律是非常发达的，据此，本节着重探讨清朝前期广东地区的涉外合同之债，对最为常见的涉外合同关系如涉外买卖关系、涉外租赁关系、涉外承揽关系等展开详细论述，还专门讨论了涉外合同之债中影响重大的商欠问题。第三节论述涉外婚姻与财产继承法律。总的来看，清朝政府关于涉外婚姻与财产继承的法律政策并不多，且经常与查禁天主教纠合在一起，呈现出不同时期不同地点采取不同法律政策的特点。第四节论述涉外民事诉讼法律，探讨了涉外民事案件的管辖、起诉、审理、判决、执行情况，也分析了涉外民事诉讼与国内民事诉讼的异同之处。第四章主要考察清朝前期涉外刑事法律。其中第一节依据犯罪主体、犯罪对象不同对中西方档案文献记载中的涉外刑事案件分三类进行叙述：外国人对中国人的犯罪案件，中国人对外国人的犯罪案件，外国人对外国人的犯罪案件，在叙述中特别注意对中西方档案文献的记载进行比较考证。第二节研究涉外刑事案件的司法管辖，分别讨论了上述三类犯罪案件的司法管辖情况。清政府一直强调对外国人杀死中国人案件的司法管辖权，但随着历史的发展却越来越多地遭到西方国家的抵制和反对，到19世纪上半期清政府已经很少能够对外国国籍的杀人凶手进行审判处刑。与此相对比，清朝政府对几乎所有中国人对外国人的犯罪案件都积极实行司法管辖并严格审判、认真执行。另外对纯粹外国人之间的犯罪案件，清政府更多的是调解干预，而不是审判处刑。第三节介绍涉外刑事案件的审判执行，论述了涉外刑事案件中的诉讼参加人，涉外刑事案件的立案、审判、执行情况，也注意考察涉外刑事诉讼与国内刑事诉讼的相同与区别之处。第五章主要是从中西法律文化比较看清朝前期涉外法律。其中第一节是从中西法律观念比较看清朝前期的涉外法律，中国古代历史上形成了以“天下共主”为核心的天下观，而在近代欧洲则形成另外一种完全不同的主权国家平等意识，这种天下观和主权观的差异在礼仪之争中表现得最为突出。另外，义务本位观是古代中国法律的重要特征，而近代欧洲则形成强烈的权利本位观念，这就造成中西法律在个人权利保护方面的必然冲突。通对中西方法律观念比较，可以看出清朝在法律观念方面存在的缺陷与问题。第二节是从中西实体法律冲突看清朝前期涉外法律，清朝前期中西法律文化冲突中最突出的是刑法中关于外国人犯罪刑事责任的问题。连带责任原则是中国古代法律中的重要原则，而近代西方则孕育出个人责任原则和法律面前人人平等的精神。另外清朝法律虽然规定防卫杀人和意外事件可以减免刑事处罚，但在涉外案件中却极少适用。第三节是从中西程序法律冲突看清朝前期涉外法律，清朝法律继承了中国古代法律中的重实体法轻程序法的传统，西方传统诉讼文化中则一直强调通过程序上的公正实现公平和正义。中西诉讼程序法律之争主要集中在对外国被告人的辩护权、上诉权和刑讯问题上。结语部分是对全文的总结和对清朝前期涉外法律的思考。首先总结了清朝前期涉外法律的总体特征，指出清朝前期涉外法律经历了由缺乏到完备、由简单到系统的发展过程，但也表现出发展的不均衡性和国别地区差异性。其次，在涉外经济法律方面，清朝政府对来华外商制定的法律政策表现出强烈的限制与防范特征，但与清政府对本国商民的限制措施比较，对外国商民的限制措施是相对宽容的。这些说明，清廷对于来华外商既持有防范限制的一面，也抱有“怀柔远人”的一面。第三，在涉外民商法律方面，清廷对破产行商进行严厉制裁，对行商欠外商债务积极予以偿还，但却对外商欠华商债务不闻不问，说明清朝政府对本国商民和外国商民政策的不平等。第四，在涉外刑事法律方面，大清律例虽然规定了“化外人有犯，并依律拟断”的法律原则，但在实践中却遭到严重的挑战与反对。这一方面是由于以英国人为首的西方人自始就不想服从于东方国家的司法管辖权，另一方面也是因为清政府缺乏竖持涉外案件司法管辖权的意识。第五，尽管清朝前期涉外法律在许多方面形成了相对完备的法律体系，但法律的执行状况却非常糟糕，虽然有法可依，但经常是有法不依、执法不严、违法不究。第六，从中西方法律文化比较看，以清朝前期涉外法律为代表的中国古代涉外法律与西方法律的区别与冲突并不在于形式，而在于基本的价值理念。西方国家对清朝涉外法律乃至整个大清律例的意见与批评有其深刻与合理的一面。这些深刻与合理的东西，是西方法律文化长期历史积淀的精华所在，对于我们今天进行法制建设是有借鉴意义的。更多还原

【Abstract】 It was in early Qing Dynasty that ancient Chinese foreign-related law went towards mature and reached its climax. Along with the communications between China and abroad developed, the laws that Qing Dynasty imposed to adjust relations between China and abroad increased. Not only was Canton the most densely populated region for foreigners, but also it was the most intensive district that Qing Dynasty legislate on foreigners. So this thesis will focus on the laws that Qing Dynasty imposed on foreigners in Canton. The dissertation consists of three parts: introduction, main part and conclusion, of which the main part includes five chapters.Introduction mainly illustrates the academic value and realistic magnificence of research of the foreign-related law in Canton during early Qing Dynasty. It not only helps us to reveal the principles and characters of ancient Chinese foreign-related policies and ancient Chinese foreign-related laws, but also helps us promote the foreign-related legislation in nowadays. Meanwhile, on the basis of the research history of this subject, it summarizes the extant achievements and points out the problems of previous studies. Since there were little research on special issues and actual cases, even little comparative study, I will adopt the methods of cases analysis and comparative analysis in studying the foreign-related economic law, civil and commercial law, criminal law and procedure law.Chapter one inspects the foreign-related policies and sources of foreign-related law in early Qing Dynasty. The first section introduces the scales, characters and development of six main foreign groups in Canton: embassies, merchants, soldiers, western missionaries, refugees and Portuguese in Macro. The second section introduces the foreign-related policies and foreign-related legislation in Canton before and after 1757 when Emperor Qianlong determined to confine the foreign trade to Canton. The third section discusses the sources of foreign-related law in early Qing Dynasty, pointing out that the emperor’ edicts, statute law, case law, customary law and treaties were all sources of foreign-related law in early Qing Dynasty.Chapter two discusses the foreign-related economic law in early Qing Dynasty. The first section inspects the regulation law on foreign merchants. It specifies the laws on foreign ships, on foreign businessmen, and on importing and exporting goods. The second section studies the customs law. It discusses the agency and staff, authority and power, law responsibility of Canton Customs. The third section studies the foreign-related tax law. It introduces the development and contents of customs tariff, abatement and exemption of customs tax.Chapter three specifies the foreign-related civil and commercial law in early Qing Dynasty. The first and second sections respectively introduce the foreign-related property law and the foreign-related debts law in early Qing Dynasty. There was only a little foreign-related property law, while there was a lot of foreign-related debts law which centered on foreign-related relations such as buyer-seller, landlord-tenant, employee-employer. It also pays emphasis on the happening and settlement of Hong debts. The third section discusses the foreign-related law of marriage and succession. There was not so much law about foreign-related marriage and succession, which was usually connected to the prohibiting of Catholic. The fourth section discusses the foreign-related civil procedure law. It inspects the jurisdiction, trial, execution, and the application of law in civil and commercial cases.Chapter four discusses the foreign-related criminal law in early Qing Dynasty. The first section introduces the foreign-related criminal cases in Canton. It classifies these cases into three kinds: the cases that foreigners committed crime on Chinese, the cases that Chinese committed crime on foreigners, the cases that foreigners committed crime on foreigners. The second section discusses the jurisdiction of foreign-related criminal cases. For the first and third kinds of cases, Qing government paid only attention to those serious cases. However, for the second kind of cases, Qing government was always active and effective in investigation and arresting the criminals. The third section inspects the foreign-related criminal procedure law, which mainly discusses the participants, trial, and execution of foreign-related criminal cases.Chapter five studies the foreign-related law through the comparation between Chinese and western law culture. The first section inspects the foreign-related law through the comparation between Chinese and western law conception. The "Tianxia conception" and "liability-first conception" were the most important legal principles in ancient China, while the Sovereignty conception and "rights-first conception" were popular in modern Europe. The second section discusses the foreign-related law through the conflicts between Chinese and western entity law. The most intense conflict between Chinese and western law culture was the criminal responsibility of foreign criminals. Another question was whether the foreign criminals could lessen or relieve punishment when he or she committed crime in special conditions. The third section specifies the foreign-related law through the conflicts between Chinese and western procedure law. Ancient China formed the tradition of neglecting the rights of citizens. However, modern Europe developed conception of "procedure justice".Conclusion is the synopsis of whole topic. Firstly, it summarizes the main characters of foreign-related law in early Qing dynasty. Secondly, it puts forwards that although the law to regulate western merchants was acrimonious; it was moderate contrasting to the policies that Qing dynasty made for domestic merchants. And this illustrated that Qing dynasty’ foreign attitude was "cherishing men from afar". Thirdly, Qing government penalized all the Chinese debtors when they went bankrupt, and required other Hong merchants to pay off the debts, but paid no attention to foreigners in debt to Chinese merchants. Fourthly, the foreigners especially Englishmen did not intend to obey the jurisdiction of orient countries from the beginning, while Qing government did not have the concept of jurisdiction. Fifthly, although there was so much foreign-related law in early Qing dynasty, they were not executed well. Sixthly, there were a lot of reasonable and beneficial aspects in western criticism to the law of Qing dynasty which we may absorb and learn from in nowadays.更多还原