【作者】 刘高勇；

【导师】 刘广安；

【作者基本信息】 中国政法大学 ， 法律史， 2008， 博士

【摘要】 对传统中国民事法律的深入研究离不开对中国古代社会留下来的大量契约为基本对象的全面探讨。在中国传统社会,订立书面的买卖契约不仅是一种很普遍的民间交易形式,而且还和封建国家利益存在着千丝万缕的联系,这就为我们多视角全方位地考察清代的民间契约秩序并对契约文本背后的经济、社会、文化意义做出初步的阐释提供了可能。本文以清代的买卖契约为主要研究对象,力图将其置于国家成文法、司法实践、民间习惯的多重视角,对清代的买卖契约进行静态和动态的考察和分析,在对清代买卖契约秩序立体描述的基础上进行法学的、社会学的甚至是文化学的归纳和阐释;同时,在细致分析比较的基础上,归纳中国古代买卖契约文本在其最后的“烂熟”阶段所显现的一些特征。除了导论和结语之外,本文按照清代买卖契约的标的分类,主要内容也分为相应的四个章节,即田宅买卖契约、奴婢买卖契约、畜产买卖契约和除此之外的其他财产买卖契约。由于田宅买卖契约是国家成文法关注的焦点,也是民间最为重要的一类买卖契约,可供我们利用的史料也最为丰富,因而自然也是本文的重点。因为篇幅的缘故,将其分为两个章节进行论述。同时,自清末修律以来,国家成文法层次上关于买卖契约的相关规定已经发生了很大变化,但民间契约实践则显然要滞后得多。因此,本文也用了一章的内容对清末修律背景下的买卖契约进行了简要的阐述。“导论”部分主要是对清代契约及相关问题研究的学术史回顾、本选题的研究意义和方法以及对材料使用和文中重要概念的范畴的简要阐述。第一章以比较简练的笔墨梳理了中国古代买卖契约的历史源流并总结了其特点,结合清代的社会状况对买卖契约的主要类型进行了划分,以此为后文各种类型的买卖契约的阐述提供必要的说明并为比较归纳清代买卖契约的特征提供不可或缺的背景。第二、第三章对清代田宅买卖契约的论述是本文的核心内容。这部分共分为四节,主要内容是以买卖契约的程序为线索对清代的买卖契约进行细致的论述和分析。文章第一节首先对清代买卖契约的国家成文法规制进行了梳理,并指出:由于完全以国家利益为导向,清代国家成文法对买卖契约的相关规定不仅苛刻,而且也不太切合实际,在操作的过程中带来的是买卖交易成本的上升。以此为重要的观察视角,第二节在对清代社会中的契约主体资格进行了系统考察后,以浓重的笔墨对实践中的田宅买卖契约进行了比较详尽的论述,在此基础上,结合国家成文法及其司法实践、清代社会田宅买卖交易发生的宏观和微观“场景”以及田宅买卖契约实践中人们对交易的便利、安全可靠、低成本的诉求等诸多因素展开对清代田宅买卖契约从程序到文本形式、内容的分析和阐述。并在这一过程中,对“红契”和“白契”的效力及其对整个清代契约秩序运行的意义等问题进行了比较分析。第三和第四节具有一定的补充性质。由于清代社会广泛存在“一田两主”的情况,因此,该部分的第三节在和一般的土地买卖契约对比的基础上,对“田皮”买卖契约进行了专门的论述,说明了其和一般的土地买卖契约的不同及其原因。第四节则是对清代田宅买卖契约中的“活卖”的性质问题进行的理论上的分析说明,通过将标识为“卖”的“活卖”契和标识为“典”的契约的细致比较分析,我们可以看出“活卖”和“典”存在一些本质上的差异,因而在性质上具有更接近于“卖”的交易属性。第四章对清代奴婢买卖契约的概念使用以及奴婢买卖契约的形式特点进行了分析和归纳。我们可以看到,由于清代国家法主要是从严厉打击略卖人口的角度规范奴婢的买卖的,因而民间的奴婢买卖契约为交易安全起见,特别注重对卖方的担保责任。而中国人的“面子”观念在以子女为标的的买卖契约中也有形式上的体现。对于畜产买卖契约,虽然官方法律对其契约格式和内容也没有任何规定,但从民间契约实践来看,明清以来成熟的田宅买卖契约样式也延伸到了这类买卖契约上。但交易程序则显然要比田宅买卖交易简单得多。文章第五章对这类买卖契约进行了简要的论述。对其他财产买卖契约,清代国家法只是对买卖的标的的种类进行了必要的限制,其他则一概委之于民间自由进行。而人们在社会生活中,是否就买卖交易订立书面契约除了和标的物的价值以及交易可能持续的时间长短存在密切关系外,还受到地区经济文化的发展程度以及民族、宗教习惯等因素的影响。文章第六章对此进行了简洁的论述。文章的第七章主要是对清末修律背景下的买卖契约进行分析说明。清末的《大清民律草案》全面引进了西方的法律概念和法律体系,而和契约相关的内容也是其核心部分。不过,当时的中国现实显然还不能与此很好地切合。因此,清末无论是买卖契约文本还是整个契约秩序都还无法清晰地感受到法律大变革的气息。文章的结语部分立足于整篇文章的主要内容,从动态多维度的角度和静态的方面对清代国家成文法及司法实践的特点及其对清代买卖契约实践的影响进行了比较全面的归纳和总结,并在此过程中对清代民间买卖契约秩序运行情况进行了初步说明。最后,文章还从清代买卖契约文本出发,指出了中国传统买卖契约在其“烂熟”阶段所出现的概念使用统一化的趋势、内容出现形式化的迹象等诸特点。更多还原

【Abstract】 In order to have a comprehensive study on traditional China civil law, it is necessary to have a research on the abundant ancient memorandums as basic object.It was a all-pervading bargaining style to make written contact on important property in traditional society,remained plenty of memorandums,so that it is possible for us to explore the contact system and make a elementary explanation on the cause of economy,society and culture hidden behind the memorandums from a mul-visual angle for they were connected with the interest of the country complicatedly.The thesis tries to make not only a static study but also a dynamic one,subjecting the memorandums to the statute,fulfillment and folk custom.Based on the meticulous description of the bargaining contact system,the thesis makes an analysis on it from a nomological,sociological and cultural view. Additionally,the thesis concludes the features of the ancient memorandums during the full-blown phase on the basis of analysis and comparison.The main content of the thesis was divided four primary parts according to the categories of the object in the bargaining,namely land-house memorandum,bond-servant memorandum,livestock memorandum and other property memorandum,besides the instruction and the conclusion.The part on land-house contact is the most important one in the thesis for it was the focus in the statute as one most valuable contact, provided most abundant historical materials for us to utilize.There are two chapters on the land-house contact for the chapter’s length of this part.The practice of the contact in society lagged behind the statute which had great revision since the law was revised a lot in the end of the Qing Dynasty.So there is a succinct investigation on the bargaining contact in that backgrounds above mentioned in the last chapter.The present study situation of the contact in Qing Dynasty is mainly introduced in the instruction,also including the meaning of the research on the topic,the method during the study and the explanation of the important concept,beside the material used.The first chapter briefly describes the historical development of the ancient China bargaining contact and draws the dominated characteristics, classifying the bargaining contact according to the social situation of Qing Dynasty.So that the necessary explanation and indispensable grounds are offered to the exploration of all sorts of bargaining contacts and the conclusion of the features based on the comparison.The second and the third chapter are focus on the land-house bargaining contact in Qing Dynasty,the dominate part of the whole thesis, comprised of four segments which dissertated and analyzed according to the procedure.After outlining the regulation to the bargaining contact in the statute in the Qing Dynasty firstly,the thesis points out that it is both rigorous and unrealistic and it also caused the cost of the bargaining to ascend because the regulations were almost absolutely oriented to the country’s interest.Regarded as one perspective view,the thesis makes an overall description on the land-house contact in the practice.An analysis and interpretation is made from the procedure to the style and content of the memorandums on land-house bargain,in which many factors are thought of,such as the statute,the judicatory practice,the macroscopical and microcosmic scene of the land-house deal in rural society.At the same time,the thesis demonstrates that people’s pursuit of convenience,security and low cost during the deal was a critical factor which had great influence throughout the land-house deal.During the course,the effect and the significance following of the Red Memorandums and White Memorandums, an important issue,is discussed through the research on the judicatory cases and contrast with each other.The third and the fourth segments,in some sense,are compensatory to the main content on the land-house deal. For the phenomenon,One Land Two Owners,who had the Skin of the land and the Bone of the land respectively,existed extensively in Qing Dynasty, it is necessary fix eyes on it.The third one specially is concentrated on the bargain of the Skin of the land.Based on the contrast with the ordinary land deal,the author interprets the people’s notion to the property through finding out the differences with the common land bargain and the explanation on them.The fourth one attempts to have a meticulous discussion on the attribute of the Live-sale in-depth theoretically.The thesis pointes out that the Live-sale’s attribute is rather closer to the sale than to the pawn and the both have some bitter difference in essence through a subtle comparison the memorandums labeled as selling and those labeled as pawning.The fourth chapter’s content is concentrated on the memorandums of bond-servants.The thesis explores the characteristics of the concept and the style in bond-servants in Qing Dynasty.It is demonstrated that the people putted special great emphasis on the sellers’ responsibility of hypothecating in order to secure the safety as possible as they could in the deal,since there were severe measure to the unlawful deal of persons in the country’s statute.Meanwhile influence from Chinese notion of Face reflected a bit,to some extent,on the style of the bond-servants memorandums on which the objects were the offspring.There was nothing about the style and the content on livestock memorandums but necessity in the statute in Qing Dynasty.The mature style of land-house memorandums since Ming and Qing Dynasty had extended to the livestock memorandums in the practice of the deal in the society in Qing Dynasty,while the procedure during the course was much simpler than that during the land-house sale.The fifth chapter makes a brief investigation on the issue as mentioned.The sixth chapter’s primary content is on the rest property memorandums except for those mentioned above.It was almost entirely free in this field,except that the categories as objects were restricted necessarily of this kind deal in the statute in Qing Dynasty.In practice, making a written form contact or not was related with plenty of factors, such as the value of the object,the duration of the deal,the degree of the social development of economy and culture in a specific area,besides the ethical and religious customs.The sixth chapter makes a concise explanation on the issue.The seventh chapter analyzes the sale contact briefly while the law was revised in the end of Qing Dynasty.The legal concept and system were completely introduced into the Draft of Civil Code of Qing Dynasty in that time,the content of contact being a core component certainly.The influence of the law revolution had not taken place from written form contact and the order of bargaining because it did not keep pace with the reality in that time.On the entirely demonstration about the overall investigation,the thesis concludes the characteristic of the statute on the bargain and its influence on the practice of contact in the society,at the same time points out the relationship between each other from a dynamic view.And from a static angle,the traits of the memorandums were induced in the conclusion too.更多还原