【作者】 李霞；

【导师】 陈金钊；

【作者基本信息】 山东大学 ， 法学理论， 2007， 博士

【摘要】 成年人监护制度，也称成年监护制度，是与未成年人监护制度相对称的一项私法制度。自罗马法以来就承担着保护成年人中的弱者(如精神障碍者、老弱病残者等)的民事权益的功能。因其兼具公法、私法的两种属性，贯通着私法中的民事行为能力、代理、监护等制度，因而自古至今，成年监护制度一直是私法中的重要内容之一。本论文以“成年监护制度研究”为选题展开的研究，具有以下意义：第一，完善我国私法基础理论。在我国民法，成年人监护制度是指对成年精神障碍者(包括痴呆症)的人身、财产和其他合法权益进行的监督和保护制度。长期以来，我国的理论研究和立法偏重于未成年人监护制度，而成年人监护制度则表现为理论基础研究薄弱、法律规则残缺，制度体系不完整。从近年来陆续公开的有关研究成果来看，一方面缺乏对现行制度运行的社会效果的实证分析，仅限于文本规范和现存制度内容的修补，且个别观点有待斟酌。另一方面，缺乏对域外现代成年监护制度的了解，文献资料的占有不够全面及时。导致对此制度的研究结论偏离当下我国的社会实情，悖离现代理念，因而，对制度的系统研究系我国民事立法的前沿课题。第二，为当下我国正在制定的民法典这项宏伟立法工程提供坚实的理论基础和立法依据。已公开的几种民法典草案试拟稿，对成年监护制度稍作改良，基本照搬传统民法既有的制度，仅仅是对现行制度的阙如之处进行的修补，缺少现代理念价值的支持，对国外成年监护制度的大规模改革未曾报以应有的关注，尤其是该制度与国际人权保护状况的密切关联未作全面观察，尤其是该制度与国际人权保护状况的密切关联未作全面观察，仅仅是对现行制度的阙如之处进行的修补，缺少现代理念价值的支持，本课题即是对此制度全面系统深入的研究，并将理论研究的成果直接外化为具体的法律制度，附有具体法律规范的设计。第三，解决我国面临的严峻的人口老化问题。21世纪人口老化是全球面临的共同社会问题，对发展中国家的影响至深且巨。中国作为发展中国家提前面临与发达国家相同的社会问题，老龄人的财产管理、人身照顾、安养、救治成为综合性社会问题，要求立法与政策创设各种新制度予以化解，当下对老龄问题的研究主要集中在社会学、经济学、人口学、医学等领域，从私法制度层面研究老龄问题尚属空白。对高龄者问题的求解更是民法学不可推却的研究领域。成年监护制度的研究愈加彰显出其对本学科的最新贡献—为高龄化社会提供私法制度供给。第四。为法律适用提供详尽的法律规则。成年监护制度与未成年人监护制度在民法通则中共同规定在四个法条中，最高法院的司法解释仅有11条而且大部分是针对未成年人的监护。自1987年民法通则颁行以来，成年监护制度一直未曾修改。而自20世纪中后期以降，两大法系诸国对成年照护制度从价值理念到制度架构进行了规模宏大的改革。为法律适用带来不便，本课题结合我国社会生活的现实，通过实证研究完善相关司法解释。第五，确保我国成年监护制度顺应现代国际人权保障的标准。随着人权保护的国际化和保护标准的统一化趋势：国际社会对弱者的人权保护由儿童、妇女深入到各类成年身心障碍者(残疾人)和高龄者的人权保障。国际社会认识到残疾人的保护属于人权问题。而成年监护制度的研究，就是对先进诸国成年监护制度及其身心障碍者权益保护的立法动向的呼应。是回复联合国《精神障碍者的权利宣言》及《智力迟钝者的权利宣言》，将《世界人权宣言》等国际人权规约中所倡导的主要内容于我国私法制度上的具体彰显。在身心障碍者权利保护的立法框架中，为全面促进和保障身心障碍者的人权，以确保国内法与国际规范和标准一致。本论文的研究论域涉及私法领域中的主体制度、行为能力制度、代理制度、成年监护等基本制度，同时也将简单论及国际人权保障和程序法律制度等。论文内容共分七部分：序言部分，简要介绍了与本课题研究有关的国际人权法对精神障碍者、智力障碍者、盲聋者、老年人的人权保护标准；第一章，对成年监护制度的内涵、外延进行届定，并与相关制度的关系进行了辨析。通过研究指出：所谓成年监护制度仅是一种学理上的概念，立法上的成年监护制度是指对(成年)精神病人(包括痴呆症者)的人身、财产及其它合法权益的保护和监护的私法制度：第二章对成年监护制度的历史溯源。通过对罗马法监护与保佐制度的回溯，发现该制度经过古代、近代大陆法系的继受和发展，最后经过现代大规模的改革，制度由古代保护财产权、近代保护交易社会到现代保护个人为中心的转向；第三章对现代成年监护制度一般理论予以阐释。包括制度的理念、基本原则、结构等内容。通过研究得出结论，现代成年监护制度的结构由意定监护和法定监护组成。第四章对法定成年监护制度的主要内容进行了比较研究。包括监护制度的实质要件、形式要件、监护人、监护事务、监护措施的类型等，进而结合我国现行制度进行了深入的探讨，并指出了我国成年监护制度的应然方向和将来民法典中成年监护制度的可能趋势。第五章，通过对我国民法通则及相关司法解释中有关成年监护的法律规范的分析，通过与现代成年监护制度的对比，指出了现存制度中存在的若干问题，包括理念、体系、规范等诸方面的缺陷和漏洞、现行制度运行的社会效果。在具体内容上，表现为：第一，过分追求交易秩序而忽略对当事人自由的保护。有关设计为保障交易秩序，对行为能力欠缺者采用了强制性保护即消极保护措施，其通过剥夺行为能力的司法宣告，将当事人隔离于交易社会与民事生活之外，复为其设置法定监护人代其实施民事行为，监护人的意思原则上优先于受监护人。而民法以自由、平等为其终极价值追求，所有障碍者，作为社会成员，渴求进入正常的社会生活并自主决定个人事务，自我决定权乃自由的要义，故现代成年照护制度的理念与价值在目前提出的中国成年监护制度中无从彰显。第二，悖逆意思自治原则。现有制度设计中的成年监护制度，以法定监护为主，不论各类障碍者残留的意思能力如何，一律以他治代替自治，缺少对其剩余意思能力的尊重，而行为能力欠缺司法宣告采定型化的无行为能力及限制行为能力的两分法，无视个人残余行为能力的差异，缺乏妥当性。第三，意定监护的缺席。由于行为能力欠缺者尚残余部分意思能力，因而，在监护人的选定上，应优先适用本人选任的意定监护人，但现行制度(含括民法典建议稿、草案稿等)，对意定监护皆缺少应有的关注与利用。第四，受照护主体的偏狭。现行制度中仅精神病人及痴呆症者两类主体)有资格享受其救济，而众多事实上源自年龄(尤以高龄者为甚)、心理、精神、身体体能(残障者)的行为能力欠缺者备受漠视。我国老年人数量雄冠世界之首，高龄者因身心耗弱而逐渐损耗行为能力，亟待各种保护制度，对此社会问题，我国民法典没有理由视而不见。第五、公权力的虚位。现行制度对成年行为能力欠缺者的保护停滞于私法自治的单纯理念，国家公权力没有进行适当的干预，监护的社会化程度低，随着现代福利国家社会国家的形成，国家介入私人生活以保护弱者为目的的趋势日加明显，此为现代监护法无不加强公权力即司法权立法院对监护的监督的根本原因。从而推断出我国的制度改革的必然性结论。并阐明了改革理路—尊重身心障碍者人权为中心的“尊重自我决定权”和“正常化”理念指导下的制度改革和创设的主要框架。最后，附有试拟的立法条文。本课题研究的重点难点集中在新引进的理念的证成、成年监护制度及相关法律制度的衔接设计。论文的主要创新点如下：(1)制度理念奉行“尊重自主决定权，生活正常化”。即在尊重身心障碍者“自治”基础上，援助其充分融入正常人的社会生活并最终实现“自立”(人性尊严)的基本人权。在理论研究和制度称谓中，应以中性术语替代原制度中的岐视性术语。以国际通行的“身心障碍者”取代原制度中的岐视性术语“精神病人”“残疾人”等(2)制度的基本原则应为“必要性原则”和“补充性原则”。即应在对身心障碍者本人自治(自由)的最小限制基础上，对其进行公力和私力的保护援助。(3)在民法典体系上，成年监护制度宜编排在婚姻家庭篇；(4)民事主体行为能力制度中，取消原制度中的“无行为能力”一级，行为能力由原来的三分法改采两分法，即完全行为能力、限制行为能力。在行为的效力上，限制行为能力为“可撤销”取代原来的“效力未定”；(5)制度的保护援助主体扩及于因精神障碍、智力障碍、年龄、身体障碍等不能处理自己的事务的成年人；(6)监护的设置应有实质要件和程序要件。实质要件为：“成年人，因精神、智力、年龄、身体等原因(障碍)不能处理自己的事务”取代原制度中的“精神病患者”。在监护的程序要件上，监护的开始、变更和终止应由监护宣告。在司法宣告的内容上，取消行为能力欠缺司法宣告代之以“监护(保佐、辅助)宣告”。(7)监护措施(手段)应按照“比例原则”设计，分为监护、保佐、辅助三种类型。三种保护人的职务内容各异，根据本人能力欠缺的不同状态，三种保护类型之间可以互相转换。(8)法院代表公权力机关，通过行使选任权和监督权实现公力的适当干预，取代旧制度中的纯粹家庭自治。(9)注重程序保障，从申请监护的程序启动到选任监护人的所有程序，应充分保障本人的程序参与，真正实现自我决定权(自治)。研究手段与基本方法：本论文运用社会科学的历史、社会学与法学及自然科学的临床精神医学、精神卫生法学等多学科的知识，以成年监护制度为基本思路和主线，并落实到新制度的设计上。一方面，在民法哲学层面研究成年监护制度的一般理论问题。包括成年监护制度的妥当性基础、基本原则、行为能力及其效力制度、意思能力、监护公示宣告与交易安全。发现现行的民法制度与理论中确实存在谬误与悖论。当我们在以效率、交易安全，乃至公共福祉等理由限制身心障碍者的自治权时，应依照基本权利限制的比例原则。利用比民法更为坚实的民法之外的其他学科的知识来研究民法。如采纳自然科学的精神卫生法学与精神卫生医学实证结果和临床结论对，以批判法学中的视角考量现行成年监护制度中的法律规范。另一方面，在形而下的层面，对成年监护制度的结构、体系、实质要件、程序要件、监护人、受监护人、监护事务诸问题予以阐述。在规范民法学之外，本文采用多元化的研究方法，主要采比较法学的方法，以历史分析的方法探讨了成年监护制度的演进过程。采取了分析实证法学等方法揭示了两大法系主要国家成年监护制度的内容，借鉴了社会学、法社会学的方法，对我国现行成年监护制度运行的社会效果进行了剖析。最后结合中国在21世纪的社会现实，对未来成年监护制度提供应然性制度框架。更多还原

【Abstract】 Adult guardianship system, as opposed to minor custody system, is an old private system which has been essential to civil law system since the emergence of Roman Law. According to Chinese civil law, adult guardianship system is only involved in the regime of supervision and protection intended for personal rights, property and other rights and interests of the adults suffering from impaired intelligence, mental disorders or dementia. For a long time, Chinese researchers and legislators have focused on minor custody system and failed to carry out comprehensive and systematic research into guardianship system about special adult subjective. This treatise has the following merits: 1.In the light of Chinese legislation of civil law, it’s a complete new research topic dealing with a thorough and systematic study of the basic theory of Chinese private law and a pioneer research on relevant theories of Chinese private law. Up to now, there has been no systematic research on the said system in China and we lack firm theoretical basis. Accordingly, we don’t boast complete and perfect relevant laws and regulations, which mean we don’t have a consummate system. This treatise is involved in the basis systems of subjective, incompetence, agency and protection of the incompetent adults, all of which are included in private law system. At the same time, this treatise refers briefly to something about social security system, mental hygiene legal system and civil action legal system, which have the characteristics of public law. 2.This research topic has essential and practical significance and can be a useful supplement to the great legislation course of Chinese civil code. Meanwhile, this topic offers firm theoretical and legislative basis. The various preliminary draft of Chinese civil code fail to reform and perfect traditional Chinese adult guardianship system and pay little attention to the reform of adult guardianship system originating in the 1960s and 70s in some other countries. Furthermore, only supplementing the current system with what it lacks, Chinese traditional adult guardianship system overlooks its close connection with the present situation of international human right protection, and therefore loss the support of modern concepts. In consideration of the defects mentioned above, complete, systematic and deep-going research is done into this research topic and the result of the research is reflected by concrete legal regimes, with concrete legal norms in accordance with the design of the regimes, reasons for legislation and legislative examples. 3.The research topic copes with serious social problems of China. The United Nations proclaimed that China became an aging society in 2000. Pressing and global, the rapid aging of population in the 21st century is a serious and complete new problem, which hinder the development of economic, especially that of developing countries. As a developing country, China encounters in advance the same problems, as have taken place in advanced countries, on care, nursing, assistance and cure for the old, as well as the management of their property. These problems are so complicated and comprehensive that, in order to resolve them, we need to constitute various new systems by means of macro-legislation and system policy. However, the research into the aging problems is focused on sociology, economics, demography and medicine while no research on this problem is carried out on basis of private law. Not only does the resolution of the of the aging problem depend on the development of sociology and the science of law, but also it is a necessary research topic of the science of private law. So the research on adult guardian system would be a major contribution towards the science of private law and provide regimes of private law for an aging society. 4.The topic provides detailed and complete legal rules for application of the law. Four articles in General Principle of Civil Law of the People’s Republic of China deal with adult guardianship system and minor guardianship system while only eleven articles in the Judicial Interpretation issued by the supreme people’s court deal with the said systems. This situation makes it inconvenient to apply the law. Moreover, the fact leading to adult guardianship and the responsibility to the guardian have always caused knotty problems with regard to legislation and application of the law. So the research, in accordance with everyday practice among the Chinese people, engage in completing and perfecting the judicial interpretation by means of substantial evidence research. 5.Adult guardianship system complies with the legislative momentum of the advanced countries. The system responds to the documents issued by the United Nations such as Principles for the Protection of Persons with Mental Illnesses and the Improvement of Mental Health Care, Declaration on the Rights of Mentally Retarded Person and World Program of Action concerning Disabled Persons).The completion of this research topic will offer firm theoretical and legislative basis for the formulation of relevant regimes of Chinese Civil Code. Since the promulgation of General Principle of Civil Law in 1987, the adult guardianship system has not been revised while, since the second half of the 20th century, the countries with the two major legal families have effected large-scale reform of adult guardianship system involved with values and constitution of regimes. With regard to the Continental legal system, the reform of adult guardianship system originating in France in 1968 triggered the later reform of Germany, Sweden, Austria, Quebec of Canada, Mongolia and Japan. In the light of the common law system, the reform of the system originating in Australia started a succession of responses of Britain, the United States, Canada and New Zealand while the movement of revising the law even affected Mongolia, Viet Nam and Taiwan region of China. As a result of the creation of the new adult guardianship systems of Germany and Japan, the revision of the laws and regulation together with the promulgation of new ones formed and changed more than 300 articles in either country. Countries with common law system formulate new rules and promulgate senior laws following the example of countries with continental legal system. The reason for this trend is that, with the development of human right movement, the international community has extended the protection for weak groups from children and women to all kinds of disabled adults and the persons of venerable age. The United Nations has treated the protection of the human right of the disabled and the old as human right problems, the report on which are submitted to each general assembly of the United Nations for review. According to the United Nations, the resolution of the problem serves as the criterion for evaluating the situation of human right protection of each country ,therefore, as a key issue of the legislation policy of each state and, furthermore, as private law tactics and corresponding measures with which the human beings will cope with the serious social problem of aging of population in the 21st century.With regard to the system structure, the continental legal family and the common law family are different from each other and have their own characteristics. In the light of continental legal system, the discriminatory legal terms have been left out. The practice of declaring incompetence of the subjects in advance before offering protection has disappeared. Instead, the new institution makes efforts to protect the disabled and help them to stand up in society. Various flexible measures taken to protect the disabled, satisfying their individual needs, have taken the place of the previous inflexible and mechanical measures. As to the common law system, the principle that he, who is incompetent, shall be deprived of his right of agency has been cut out in order to meet the needs of protecting the old. A new regime named "enduring power of attorney" has been formed as the core of the new guardianship system. In short, the new adult guardianship system of the advanced countries focus on maintaining and respecting the autonomy of the principle. In other words, without being deprived of his competence, the principle can live a common and normal life of his own free will with the help of society. The principle’s right to decide his own life is greatly respected, which can maintain their enthusiasm, not only in regard to the protection of their property, but also their personal. That is to say, predicated on the respect to the principle’s self-decision, assistance is offered when necessary.The two major legal families pursue the same goal of respecting and protecting human rights. In the light of adult guardianship system, although the forms of regime of the two legal systems are different, they reach the same goal by different routes. They have the same values and ideas, that is, respecting the right of self-determination, the normalization of the individual’s life and improving their remaining competence. The major idea is always that human rights and the freedom of self-determination of the disabled adult should be protected so that they can take part in normal social life without being discriminated on an equal footing.In China, legislations concerning adult guardianship can be found mainly in the general principles of the civil law. But, limited to the forms of regime itself and to the living conditions of the society and the level of cognition at the time, current adult guardianship system can not meet the demands by many new phenomena and follow the trend of the international legal systems. Along with the approaching of aging society and the heightening concern over the welfare of people with disabled persons and mental disorders, concerning their living conditions, preserving their basic human rights, protecting their personal rights and balancing the safety of trade, reforms of adult guardianship system is becoming necessary.The treatise consists with seven parts: preface of the paper, the first chapter distinguishes and defines connotations and extensions of general concepts, and differences and relationships with other legal systems. In China, namely adult guardianship system is only one doctrinal concept. Adult guardianship system on legislation refers to the private system of protecting and guarding the body, property and lawful rights and interests of people with (adult) mental disorders(including senile dementia); the second chapter deals with the history origins of the adult guardianship system. Through reviewing the guardianship and care and assistance systems, we can root out the conception changes from emphasizing protecting property rights to protecting the person, which enlightens the current adult guardianship system in our country. In addition, it summarizes the theoretical research on the adult guardianship system. Up until now, in China, the systemic study on it is still blank, and the theory basic research is weak. A Relative productions of study are limited to mend the contents of the current system, and is short of systemic and intensive study concerning social backgrounds and trends. Therefore, some conclusions need be identified fully. One or two viewpoints need go behind. In addition, the knowledge about materials of overseas system still need further occupy and introduce; the third chapter introduces and observes the adult guardianship system abroad. Firstly, simply introduces the old system of the two legal families, and analyzes problems of social actual effects when used and the system itself. We use it for reference when making the current system.. As a result, the problems lying in the system leads to the current adult guardianship system directly in our country. Secondly, through generally viewing many countries’ new systems after reforming, perspective new system social backgrounds and reasons of the reform, possible trend will come through an analysis of operation result of the new system. Relative productions of study are limited to mend the contents of the current system, and is The forth chapter focuses on commenting and analyzing the current adult guardianship system in our country. Through contrasting to the systems of two law families in advanced countries, integrating with circs of our current system running, parsing the problems existing in our current system, and further analyzing sticking points of the existing problems, we point out the main problems of our current system: There are only four articles about the guardianship systems in our General Principles of Civil Law; the main limitations lie in theory values which are not renovated. Thus, the idiographic contents can only follow the same old disastrous road of old law of Japan and German, which manifests in two aspects on General characters and idiographic contents:In general, in the design of the adult guardianship system, there is a clear emphasis and neglectance: emphasizes responsibilities of family and neglects responsibilities of country; emphasizes guardianship of relatives and neglects guardianships of society; emphasizes personal autonomy and neglects public interference; emphasizes inherent traditions and neglects successive civilizations; emphasizes relationships of maintenance and neglects systems of guardianships; emphasizes obligations of local units and neglects public interests safeguards of governments; emphasizes body guardianships and neglects property guardianships.In the idiographic contents, that shows in the following aspects:The first, it excessively pursues orders of trade and neglects the free wills of principles. Some designs for protection orders of trade adopt compelled guards to people with deficientlegal competence------passive safeguard. The principle is isolated the society of trade and civillife through the system of declaration of incompetence, where the guardian was authorized to engage in juristic acts on behalf of the principal, furthermore, the wills of the guardian are prior to the wills of the principles. However, pursuing free and equal is the ultimate values of civil law, all disabled people, as social persons, are eager to live in a normal life and make decisions by themselves, and self-determination is the gist of free, thus the truth and value of modern adult guardianship is vacant in the adult guardianship system in China.The second, it disobliges the rules of self-determination. The adult guardianship system existing is mainly statutory guardianship, without considering the capacity of all kings of people with deficient legal competence and respecting. Heteronomy is in the place of autonomy, without respecting for a person’s remaining capacity, and it is not appropriate for the judicial distinction of legal incompetence into no legal competence and partial legal competence.The third, Voluntary Guardianship is vacant. Due to people with deficient legal competence have remaining capacities, so when choosing a guardian, the voluntary guardian that the principle chooses is prior, but the active system ( including preliminary draft and protocols of civil code) is short of concern and utilization of the Voluntary Guardianship.The forth, the principles who are protected are limited. There are only two kings of people with deficient legal competence (senile dementia and mental disorders) who are qualified almsgiving, but can not render to many people with deficient legal competence, due to the aging (especially elder), psychology, lunacy, physical handicap. In China, since the elder is the most in the world and elder are gradually losing the legal competence due to the aging and urgently need all kinds of protection systems, our civil code has no reason to turn a blind eye to the social problems.The fifth, phantom of public rights. The protection of the current system for the adult people with deficient legal competence is stagnated on the simple theory of private law autonomy. The country does not take her obligations. People with deficient legal competence are unlucky of one family, but even are unlucky and natural disaster of one nation, and also are the base of one race remaining, which is the reason why modern guardianship law reinforces the public power-----jurisdiction inspects the guardianship.The fifth and sixth chapters constitute the new system. The fifth chapter, the system designed is about statutory guardianship. The sixth chapter is about the Voluntary Guardianship.New points are mainly as follows:Substitutes dated conceptions with non-discriminating terms. New system respects the rights of self-determination and protects normal life. The character of new system is that it substitutes care and assistance for protection. In the regime of civil subjective, deletes "no legal competence", adopts dichotomy on legal capacity---legal competence and partial legal competence instead of tracheotomy in the old system. On effectiveness, substitutes "efficacy undecided" with "revoke". In the part of civil subjective, in order to protect the privacy as well as security of trade, deletes the judiciary declaration of people with deficient legal competence and adopts case facts examination, and substitutes declaration of care for the declarations of no legal competence and partial legal competence; the contents of adult care system move to the family chapter; the new system of guardianship for adults consists of statutory guardianship and voluntary guardianship. When it is applied, Voluntary care is advocated and statutory guardianship is supplemented.Subjective of care and assistance in guardianship system expand to mental disorders, elder people and people with disabled ability; a guardianship commences when a person in a persistent state of being insufficiently capable of making sound judgments. Of these, a guardianship takes the form of a statutory guardianship, management, assistance, the contents of which are different and the three types can be transferred according to the capacity of dealing with affairs. The court as the public organ interferes appropriately through exertion of rights of expanding guardians and superintendence. The safeguard of procedure, from the guardian chosen to care responsibility performing, guarantees the principle to take part in the procedure and respect the self-determination.The instruments of research and fundamental methods: Taking comparative study as the core, complementing research means of sociology, law sociology, law economics, law science of mental hygiene and medical science, etc, and further examining the current system in the perspective of critical law, we presents the frame of system and general contents of the future adult guardianship, integrating with the native reality in the 21st century in China.更多还原