【作者】 杨阳；

【导师】 易惠莉；

【作者基本信息】 华东师范大学 ， 中国近现代史， 2011， 硕士

【副题名】以1902年盛宣怀主持的中英商约谈判为个案考察

【摘要】 1902年举行的中英商约谈判是一个涉及晚清中国政治、外交、财政改革、商务等多方面的议题,对晚清社会的发展十分重要。本文主要围绕商约谈判的核心——裁厘加税进行论述。实际上,裁厘加税是在关税与厘金之间进行调整,它是清廷中央和地方展开的一场税收争夺战。此次商约谈判,盛宣怀作为中央利益的代表,希望借“裁厘加税”统合地方财政,重建以户部为主导的中央集权式的财政体制。而地方督抚则想继续保持地方财政的独立性,反对中央借加税过度挤占地方厘金收入。中央和地方的利益难以协调,矛盾不断。通过分析该款议商的艰难过程,我们可以看到1900年庚子事变后,清廷中央几乎完全丧失了对地方督抚的控御能力,尤其是在财政方面,地方督抚往往按照地方的利益和意志行事。此次商约谈判,盛宣怀成为中方谈判主角,但其议约内外环境十分恶劣。庚子事变后,中国国势衰弱至极,英国代表马凯凭借八国联军侵华余威,在谈判桌上强势逼人,试图将中国各种利权一网打尽。此外,在议约过程中,中国内部矛盾不断。盛宣怀遭受到来自地方督抚,如张之洞、刘坤一,以及清廷中央,如军机处、外务部、户部等多方的制约。尽管如此,盛宣怀仍然利用自己的才能和毅力,力所能及地在谈判桌上为中国挽回了一些利权。在近代史的研究中,论者多谓“弱国无外交”,但通过本课题的研究,我们可以看到在具体的外交过程中,如果外交谈判人员经验丰富,充分把握己方的谈判目标,充分调查和了解对方的情况,据理力争,步步防护,在谈判桌上维护本国主权,甚至挽回以往丧失的利权,也是有可能的。第一节主要叙述中英商约谈判之缘起。自第二次鸦片战争之后,中英之间在厘金的存撤、内地侨居贸易、内港行轮等商务问题上冲突不断。尤其是厘金,被英商视作阻碍对华贸易的罪魁祸首。英国一直试图除去这些贸易障碍,但都以失败而告终。1899年盛宣怀主张借修改税则之际与英国商议裁厘加税,这是中国第一次主动修改商约,但因义和团运动爆发而告罢。《辛丑条约》签订之后,英国出于巩固在华贸易地位和废除对华贸易障碍的需要,要求中国修改通商条约；而清政府也希望借议约与英国商议增加海关税来筹措赔款。在这样的背景下,1902年中英之间正式举行商约谈判。第二节主要分析清政府任命盛宣怀充任中方议约代表的原因,盛宣怀是如何组建中方议约班子,此次商约谈判中国的议约体制是怎样的。盛宣怀长期经办洋务事业,商务经验丰富,而且他积极开展洋务外交,外交经验丰富。此外,1899至1900年,盛宣怀曾与英国议办裁厘加税,他对各省的厘金收入十分了解,这些因素为他办理商约谈判奠定了基础。商约谈判期间,清政府还任命吕海寰为商约大臣,但通过比较吕海寰和盛宣怀的议约素质和在商约谈判中发挥的作用,可以发现盛宣怀实际上是中方的议约主角。盛宣怀奉命议约后,积极组建议约班子,通过分析中方议约人员的背景和身份,可以发现盛宣怀在议约人员的选择上基本上是以“才干”作为标准。此次商约谈判,中方实际上奉行了一种多元议约体制。盛宣怀虽被任命为商税事务大臣,但遇事须向中央的军机处、外务部、户部和刘坤一、张之洞、袁世凯等地方督抚禀告。第三、四节主要叙述英方的议约班子、英国议约目标以及商约谈判的内容与过程,重点分析为什么裁厘加税成为此次商约谈判的重点。商约谈判期间,中英双方都自发地将裁厘加税视作谈判的核心,但是中英双方和中国内部在裁厘加税的目标、加税的额度和完全裁厘等问题上矛盾不断。正是由于裁厘加税款所具有的矛盾性、重要性、长期性,它成为此次谈判的关键。第五节主要叙述中国内部主要是盛宣怀和张之洞在裁厘加税上代表的不同利益,以及盛宣怀在议商裁厘加税过程中遭遇到的内部掣肘。在裁厘加税上,盛宣怀代表中央利益,主张完全裁厘,强化中央户部的财政权。但是张之洞作为地方督抚的利益代表者,坚持地方财政独立,反对多裁厘金,要求保留地方征抽厘金的权力。张之洞和盛宣怀在裁厘加税立场和目标上的根本对立,导致张之洞对盛宣怀处处掣肘。而盛宣怀为了将谈判继续下去,被迫采取各种应对措施。此外,在裁厘加税议商过程中,中央户部作为盛宣怀裁厘加税方案的直接获益者,不但没能给予盛宣怀支持,反而对其造成了制约。第六节主要叙述裁厘加税款议商的艰难过程。围绕裁厘加税,中国内部和中英之间矛盾不断。在加税的额度和裁厘的程度上,马凯、盛宣怀、刘坤一、张之洞都提出了各自的裁厘加税方案。盛宣怀既要应对内部的质疑,又要抵挡马凯的压力,十分艰难。最终在盛宣怀的积极调和下,中英双方就加税额度和征抽销场税达成一致。但之后中英双方又在盐卡、土药卡的裁撤和加税后如何拨补地方裁厘损失上争论不断。最终在盛宣怀的积极运作下,中英双方签署裁厘加税款。第七节主要通过叙述内港行轮和米谷出口两款的曲折议商过程,折射盛宣怀议约的艰难。商约谈判期间,中英双方就内港行轮和米谷出口展开会商,在议商过程中,马凯处处挤占新的利权。盛宣怀一方面须设法抵制马凯的要求,另一方面还须应付中央和刘坤一、张之洞的指示和指责。最终在盛宣怀的坚持下,在这两款上,中国不断没有损失利权,反而通过条约的形式,挽回了以往丧失的一些利权。更多还原

【Abstract】 In 1902,China and Britain held a commercial treaty negotiations.This negotiations involved China’s politica,diplomatic,financial reform,business,and other aspects.This negotiations is also very important to the development of the Late Qing Dynasty.In fact,abolition of liking and increase tariff rates is adjusted between customs and liking.It was a tax battle between central and local government.In this commercial treaty negotiations,Sheng Hsuan-huai is a representative of the central government interests.He hopes to strengthen the central finance by abolition of liking and increase tariff rates.However, the local governors will want to continue to maintain the financial independence.They oppose the central government to improve customs revenue,at the cost of reduce local’s liking revenue.It is difficult to reconcile the interests of the central and local government.By analyzing the difficult process of negotiating this article,we can see that after the 1900"Boxer Incident",central government almost completely lost the ability to control local governors.Especially in financial terms,the local governors tend to act in accordance with the local interests.It is worth noting that,Sheng Hsuan-huai is the chief negotiators of China,but his situation is very difficult.After the "Boxer Incident",China’s national situation is extremely weak.Mackay,who is the British representative,trying to obtain various privileges.In addition,the internal contradictions in China one after another.Sheng not only suffered from the constraints of the local governors,such as Zhang Zhi-dong,Liu Kun-yi, but also suffered from the constraints of the central government,such as the Grand Council,Ministry of Foreign Affairs,the Board of Revenue.Nevertheless,Sheng still use his talent and perseverance,eventually recovered some sovereignty.The researchers of modern Chinese history generally agreed thaf "No diplomacy for weak countries".But,through the research on the subject, We can see that in the specific process of diplomatic negotiations,if the experienced negotiators can not only fully grasp their negotiating objectives,but also to fully investigate and understand each other’s situation,he may even recover the sovereignty, which is lost in the past. In part 1, I mainly describes the origin of the commercial treaty negotiations between China and Britain.Since the second Opium War, there are many business conflicts between Britain and China,such as abolishing likin,the rights of living in the Mainland and driving ship in inner waters.In particular,British businessmen believe that likin has hindering the British trade with China.Britain has been trying to remove these barriers to trade,but all ended in failure.On 1899,Sheng Hsuan-huai has proposal to take on the revision of the tariff policy.It seemed to him that,China can take advantage of this occasion to make a commercial treaty negotiations with Britain.This is the first time that China take the initiative to modify the commercial treaty,but the outbreak of the "Boxer Incident"suspended it.After the"Boxer Protocol"signed,in order to consolidate the status in China and abolish the trade barriers,Britain requires China to modify the commercial treaty.On the other hand,for the sake of pay the compensation,the Qing government also hopes to increase tariffs by modifying commercial treaty.In this context,the commercial treaty negotiations was held between China and Britain in 1902.In part2, I mainly analyse why the Qing government appoint Sheng Hsuan-huai host the negotiations,Sheng how to set up the China’s negotiation team,research on the the system of China’s negotiations. Sheng Hsuan-huai have rich experience in business and diplomatic.In addition, from 1899 to 1900,Sheng had talks with the British on abolition of likin and increase tariff rates.This experience makes Sheng have a general understanding of the provinces likin income.These factors laid the foundation for he handling of commercial treaty negotiations.During the negotiations,the Qing government also appointed Lv Hai-huan as minister who in charge of commercial treaty negotiations.However,by comparison of Lv and Sheng’s role to play in negotiations,we can find that Sheng is the principal person in China’s negotiations side. Sheng Hsuan-huai spent a great deal of energy on the establishment of the Chinese negotiations team.By analyzing the background and identity of the team members,we can find that Sheng take the talent as a standard for selecting members.This negotiations,the Chinese side actually pursuing a multi-discussing system,Sheng must constantly report to Grand Council,the Board of Revenue,Ministry of Foreign Affairs,Liu Kun-yi,Zhang Zhi-dong,Yuan Shi-kai.In part 3、4, I mainly narrative the members and the targhts of of the British side,focusing on analysis of why abolition of likin and increase tariff rates become the focus of this negotiations.At the period of negotiations,both sides have spontaneously take the article of abolition of likin and increase tariff rates as the core of the negotiations.However, the Chinese and British sides and China’s internal sides have many contradictions on the targets of this article,such as the amount of tax increases,completely abolition of likin.Because of the importance and protracted nature of contradiction, it is become the core article of this negotiations.In part 5, I mainly describes the contradictions between Sheng Hsuan-huai and Zhang Zhi-dong,and research the internal constraints to Sheng.On article of abolition of likin and increase tariff rates, Sheng representing the interests of the Central,he advocates abolish likin completely,and strengthen the financial power of the Central government.But Zhang,on behalf of local interests against abolish of likin,and he request to reserves the rights of collecting likin tax.Because Sheng and Zhang has a fundamental conflict on this article,Zhang constraint Sheng frequently.But the Board of Revenue as the interests of recipients of Sheng’s plan,not only failed to give Sheng any support, instead of restricting he.In part 6, I mainly reveal the difficult process of abolition of likin and increase tariff rates.On this article,there are many contradictions between China-Britain and China’s internal.ShengHsuan-huai,LiuKun-yi,ZhangZhi-dong.Mackay,all put forward their own budget on this article.lt is very difficult for Sheng to deal with internal doubts and resist the pressure from Mackay.Finally, under the mediation of Sheng,China and Britain reached an agreement over the amount of tax and levy sales tax.But soon the two sides have debate over abolish salt-likin and opium-likin agencies.In addition, how to compensate losses of the local is another point of contention.Eventually,the two sides signed the treaty.In part 7, I mainly analyze the article of driving ship in inner waters and traffic grain abroad.By analyzing the difficult process of thse two article negotiations, we can find Sheng’s hardness.In the negotiation process,Mackay often requires new privileges.on the one hand,Sheng try to resist the requirements of Mackay, on the other hand,he have to deal with the Central departments and Liu Kun-yi, Zhang Zhidong’s instructions and criticism.Eventually,under the mediation of Sheng, China and Britain reached an agreement over these articles.Analysis of the contents of the articles,we can find that China has been not only loss of rights, but also through the treaty even recover the sovereignty.更多还原