【作者】 李华；

【导师】 郭世佑；

【作者基本信息】 中国政法大学 ， 法律史， 2009， 博士

【摘要】 关于古代中国的盟约,以往的研究多偏重于春秋战国时期。本课题主要是从法学的角度,对10-13世纪两宋与周边政权辽、西夏、金之间签订的盟约予以解读。从签订盟约的主体来看,这一时期的各个政权都享有或完整或部分缔约能力,在其权力范围内可以签订盟约。至于签订盟约的最终决定权,还是掌握在各国君主手里,一旦双方君主认可,即可派遣使臣进行谈判。当然,在使臣的组成、职位、学识及能力等方面都有一定的要求,只有符合这些要求的大臣才可以通过宰辅推荐或自荐等方式,获得皇帝的任命。使节在出使时,应携带证明身份的凭证,包括国书、表、诏等。关于谈判的原则与意向,也包括在这些文件中。在谈判中,谈判代表非常重视可以体现己方地位的礼仪细节。在约文的起草与议定中,也充分运用外交技巧,以维护本国尊严和利益。誓书是记载双方盟约具体内容的一种外交文书,在双方使者携带国书往来谈判多次,达成一致意见后,各方以誓书的形式将盟约内容写清楚,由使人送往对方国家,意味着盟约开始生效。盟约一旦生效,除了具体约定之事外,并不溯及既往。两宋时期誓书沿用春秋盟书之样式,包括序文、正文、誓言三部分。双方通过向神灵、祖先宣誓的方式承诺遵守盟约,一旦背盟,甘愿接受灭族亡国的重罚。由于誓书在两宋时期的外交中占有非常重要的地位,在起草、誊写、纸张、印玺及存放规格等方面,都有特别的要求。本文以宋辽之间澶渊之盟的实现为中心,从岁币交纳、使节往来及相关规范、榷场贸易、修缮边城及遣送逃亡人、边界遵守等方面,对盟约的实现进行专题考察,进而揭示盟约的执行对缔约双方的政治、经济及法律所产生的重大影响。盟约在执行中由于情势发生变动,会对其进行修订。这一时期盟约修订的提出及修改方式也各不相同。修订后的盟约继续维持其效力。但是,从古至今,没有任何一个盟约会永久生效。导致盟约终止的原因主要有违约行为的出现、新的战争发生或原缔约方的消灭等,盟约的终止包括盟约的暂停施行和永久终止两种形式。总之,各政权之间缔结盟约的基础是实力相当,而盟约得以长期履行的动力是利益刺激。只有在此基础上,所谓的誓言和诚信才能发挥作用。一旦势力不再均衡,通过战争或其他方式能获得更大利益时,约束双方守约的外在力量如神灵、祖先便显得苍白无力,盟约的拘束力也随之而消解。更多还原

【Abstract】 This thesis talks about the covenants between Song Dynasty and other regimes as for Liao(Khitan)、Xi-Xia and Jin. On regimes to covenant, all of them had capacity to covenant. And the emperors would make the last dicision if or not to sign contract. Then, the emperor would dispatch ambassadors to negotiate. Of course , there were some request for ambassadors’compose: position, acqierement and ability. When Ambassadors were to be sent on a diplomatic mission, they should take full powers which was not only to testify their identity, but also included matters concerned and emperors’attitude. During negotiating, representatives took more attentions on proprieties, which embodied nation’s dignity and interests. There were skills and artifice when parties discussed and drafted out treaties. After endorsing covenant, ambassadors sent letter of credence to contracting state, which meant the treaty came into effect. The treaty had no retroactivity.Compared to spring and autumn period, there was no obvious change for the format of covenants, which consisted of preface, text and oath. Contracting states took an oath for gods and their ancestors, no matter what any party violates the covenant, their kindreds would die out and his nation would exterminate. The covenants was so important in 10-13 century that there was lots of criterion for execution and conservation. When covenant became effective, contracting states carried it out sufficiently. The implemantment of Song-Liao Chanyuan Covenant was typical, so by studying it, we can know main knowledge about implementation of all covenants. The implementation of covenant brought far-reaching influence in politics, economy and law of both parties. Along with the change of lay of the land, parties may present different explanation for treaties, which resulted in recension. They were still effective after emending by different measure to alter. Indeed , there was no any covenant which could keep effective forever. There were different reasons reduced invalidation, for example, breach of faith, battle and annihilation. This invalidation may be temporary or perpetual according to different occasion.In a word, the conclusion of covenant was based on equilibrious strength, and the motivity to implementate covenant was to obtain more kingdom’s benefit. When the strength can not keep counterpoise, parties didn’t pay attention to the supervision from gods and ancestors. If they can gain more benefit by war and other means, the sanction of covenant would clear up.更多还原