自贡盐业契约研究

发布时间：2018-05-09 06:29

本文选题：盐业 + 契约　；参考：《西南政法大学》2014年博士论文

【摘要】：随着综合国力的增长,中国社会日渐进入艰难的世纪转型,契约理念与契约价值的双重缺失却导致社会转型步履维艰——资源与利益、公与私、官与民的矛盾激增,竭泽而渔式的纯功利考量不再鲜见,资源垄断与腐败催生着大面积的社会矛盾,更内在地限制了中国在转型期的纵深发展与平稳过渡。剧增的GDP固然令人振奋,但振奋之余应为光环背后的身份型权益分配机制与物质至上的价值观念而感到担忧。当此之际,契约理念的培育与契约文化的弘扬远比资本的引进、技术的更新与管理水平的提升更加迫切。滋生于中国传统社会与文化背景下的契约不仅在内在信念上形成了本土化的静态价值体系,而且在外在行为范式上形成了本土化的动态社会结构,于内聚集了资本、凝聚了人心,于外促进了社会经济的跨越式发展。与同时期西方社会相比,基于信任、荣誉与利益的中国传统契约不仅体现出国人的精神面貌,更见证了中国社会的“从身份到契约”运动的蜿蜒发展。相关区域文化研究已经彰显中国本土固有文化的深厚底蕴及强大内生力量,譬如晋商文化、徽商文化。但到目前为止,在历史上具有极高辨识度的自贡盐业契约却鲜有学者涉足。法学基础薄弱、规模小、影响力弱、史料分析片面、方法论陈旧构成了自贡盐业契约研究的瓶颈。自贡盐业契约是在地主、投资人、承首人之间基于合意缔结的,以盐井开凿、卤水开采、食盐冶炼为内容的,以买卖、租佃、借贷、合伙为形式的,以给付、作为或不作为为义务的,受到法律保护的债的协议。它以盐业租佃契约、盐业合伙契约为主要形式,凝聚了大量的资本、资源、劳动力,见证了盐业产业的起步、挫折和繁荣。自贡盐业契约代表了中国十九世纪的荣耀与辉煌,它所孕育的自贡盐场及其资本集团的实力与盛名内达清廷,外及各国考察团与探险队。不仅当代著名学者许涤新、吴承明将自贡盐场及其资本集团誉为“十九世纪中叶中国最大的手工业工场”与中国“最大的手工资本集团”(《中国资本主义发展史》),美国探险家弗吉尔·哈特亦曾在其著作《自流井考察记》中将其称之为“中国独一无二的”、“巨大的贸易中心”。延及今日,自贡盐业契约及其传承仍然具有如下优势。第一,唯一性。自贡盐业文化圈是通过契约的构建与传承助力民族工业自主自强发展并成功实现近代化转型的唯一区域,其所采取的“契约+市场”发展模式不仅培育了中国工商业发展的新力量和新网络,而且强有力地推动了中国社会的近代化转型。自贡盐业契约的理论体系具有唯一性,本文第二章至第四章所展开的自贡盐业契约类型化研究的着力点正在于此。本文所研究的自贡盐业契约是出现在清朝末年的契约,它代表着中国古代契约发展的最成熟阶段,也代表着传统契约从古代向近现代转变的阶段。自贡盐业契约不仅在契约种类方面是中国古代契约的集大成者,有包含盐业生产资料的买卖契约、借贷契约、租佃契约等；在不动产交易方面亦形成了较为成熟的流转制度,通过盐井井基、盐井井灶的买卖和租佃促进了盐业产业相关不动产的流转；而且还出现了近现代才发展成熟的契约种类,比如盐业合伙契约、盐业凿井投资契约等,并形成了以动产和不动产为综合标的物的契约,比如形成以盐井的井灶、井基、股份为综合标的物的买卖契约、租佃契约等。第二,国际性。既为中国社会近代化转型的典范,自贡盐业契约的国外影响力自然毋须赘言。它是一个新的研究视域,通过它不仅可还原历史,更重要的是可引导我们从历史的原型中发现助力中国社会近代化转型的必备因素,为中国当前的转型方向与转型价值理念提供借鉴与启示,本文第五章至第八章所展开的自贡盐业契约制度创新研究的着力点正在于此。庞大的盐业契约体系围绕着盐业产业资本的集聚和集中而运行,自贡盐业契约所构建的价值体系与制度创新也因此而具有国际性。盐业合伙契约产生了厉以宁先生盛赞的中国第一张“股票”,年限井开凿契约产生了当时世界上唯一的原始BOT运作模式(即俗称“客来起高楼,客走主人收”),上中下节契约则通过资本接力解决了高投入高风险产业的资本维持难题,承首人契约产生了能够既促进资本流动性又实现盐业生产稳定性的承首人制度。可见,无论是在国际汉学研究领域还是在民法史学研究领域自贡盐业契约研究均有可能继“敦煌学”与“徽学”之后成为显学。此外,研究自贡盐业契约无论是从技术层面,还是从社会经济发展层面都可有力矫正国外学界、文化界、政界对中国社会发展所持有的根深蒂固的偏见与谬论,破除西方中心主义论者的盲目优越感。就技术层面而言,通过年限井契约与子孙井契约得到发展的凿井技术使自贡盐商在未受到所谓西方先进技术的影响下开凿出世界最深的千米盐井,约3300英尺的深度领先当时美国宾夕法尼亚州最深钻井记录3230.5英尺,被西方学者称为可与中国四大发明相媲美的第五大发明；就社会经济发展层面而言,自贡盐商通过契约集聚资本,通过契约调整私人之间的关系,更通过契约实现了无政府介入状态下的行帮自治,创造了辉煌的盐业文明。可见,自贡盐业契约所铸就的商业经济发展模式极大的挑战了西方主流文化对中国近代社会工商业发展所持有的偏见,譬如缺乏现代银行系统、官方过分榨取等。但是,虽自贡盐业契约的兴盛之期距今已达两百余年,除却零散的学术研究之外,真正对其进行全方位、深层次、系统化整理的学术研究却始于上世纪九十年代,并且竟以外国学者为先声。譬如美国学者Samuel Adshead所著《盐业文明》("Salt and Civilization")、美国学者Madeleine Zelin与Hans Vogel分别著之《自贡商人：中国早期的产业家》("The Merchants of Zigong:Industrial Entrepreneurship In Early Modern China")和《中国伟大的井》("The Great Well of China"),日本学者Tora Yoshida所著之英文版《古中国盐业生产技术》("Salt Production Techniques in Ancient China")等。遗憾的是,上述著作多专注于盐业产业的发展,并没有从法学的角度对盐业契约档案作梳理,亦未能结合国情分析契约对社会转型的影响力。第三,时代性。自贡盐业契约所展示的并非仅是盐业产业的交易活动,而是资源与资本的可持续结合、盐商阶层的逐渐崛起,以及对当时社会转型的推动作用。本文第九章所展开的自贡盐业契约现时价值研究的着力点正在于此。一方面,经由自贡盐业契约所建立的盐文化圈不论是在农业产业结构转型上、农民职业转型上,还是在农业社会结构转型上都有值得现代社会转型借鉴之处：年限井开凿契约中土地所有权人和投资人之间建立的“客来起高楼、客走主人收”的原始BOT模式可为我国集体土地制度所借鉴,不仅有利于引进社会资本建设现代化农村,也有利于回避在社会资本大力进驻下集体资产可能面临的流失风险；上中下节契约和承首人契约中建立在租佃基础之上的份额合作模式亦可为我国集体土地制度改良所借鉴,不仅有利于明晰村集体和土地承包经营权人之间的平等合作关系、将土地承包经营权人从零碎化经营与自给自足式经营的困境中解脱出来,而且有利于借助股权在村集体和农民之间建立土地财产性利益分享机制,促进“农村三结构”的转型；自贡盐业契约缔约主体对身份依附性的突破以及土地所有权人在合伙中控制性地位的确立更提示了我国如何利用土地资产来强化村集体对农村经济发展的导向力。另一方面,自贡盐业契约反映了盐商阶层如何形成并成为推动社会经济形态转型的中坚力量、如何通过共同体的缔结强化民众对平等和自由的追求,以及如何利用习惯法在同公权力的角力中取得优势并形成自治。总之,一切历史都是当代史,中国传统文化中拥有关于国家现代转型的资源。自贡盐业契约中所反映出来的盐业社会是农业文明向工业文明发起冲击的一次尝试。本文希望通过研究自贡盐业契约挖掘民法本土资源对现时的借鉴价值,通过还原自贡盐业契约对当时社会各方面的影响,把握发展规律、创新发展理念、破解发展难题,从而树立道路自信、理论自信和制度自信。全文采用“总-分-总”结构。第一章盐业契约概论承担总论的角色,第二章至第八章对自贡盐业契约作类型化研究,第九章揭示自贡盐业契约对当前中国社会转型的借鉴意义与启示价值。各章主要内容如下：第一章以盐业契约概念为内容,并就其历史地位、定义、性质,与特征展开探讨；第二章以盐业买卖契约为内容,并通过对其性质展开“买卖合同vs典当合同”之辩得出买卖契约中所转移的“业”的特殊性以及所有权保留的原因；第三章以盐业租佃契约为内容,在对当事人双方权利义务分析的基础上梳理出判断盐业预佃契约和盐业转佃契约的标准,并对当前自贡盐业契约研究中对盐业租佃契约相关理论的误区进行了澄清：第四章以盐业借贷契约双方权利义务为内容,并就其担保方式的独特性、对借贷双方各自倾斜的力度作详细分析；第五章以盐井(年限井)开凿契约及其向子孙井开凿契约的过渡为内容,并在对其运作模式的分析中得出其是原始BOT模式的结论；第六章以上中下节契约为内容,在上节中节与下节彼此权利义务、盐井日份基础理论、份额重组、共有关系等方面作具体研究；第七章以承首人契约为内容,重点描画承首人、地主、投资人三者之间的权利义务分配,并在对其自身权利义务演变中得出承首人是早期经理人的结论；第八章以盐业合伙契约为内容,论证盐业合伙方式的灵活性、盐业合伙财产的广泛性以及盐业合伙关系的先进性；第九章以盐业契约的现时价值为内容,揭示了当前社会转型所要依靠的“人力”与“物力”,即不仅应当注意培育一二三产业中市民阶层,而且应当注意借助农村土地的资本化,采用“股份制+永久使用权+市场”的农地股份制模式助力社会转型。
[Abstract]:With the growth of the comprehensive national power , the Chinese society is increasingly entering the difficult century , and the dual lack of contract concept and contract value leads to the gradual development of social economy .

The self - tribute salt industry contract , which is based on the agreement between landlords , investors and bearer , is based on the combination of salt - well drilling , brine mining and salt smelting . It is a kind of debt which is protected by law in the form of business , lease , borrowing and partnership . It is a kind of debt which has been protected by law in the form of lease - lease contract and salt - industry partnership .

First , uniqueness . The cultural circle of the Yong Salt Industry is the only area of the development of the Chinese industrial and commercial development through the construction of the contract and the successful realization of the modernization transformation . The self - tribute salt industry contract is the most mature stage of the development of the ancient contract in China .
In terms of real estate transactions , a more mature circulation system is also established , and the circulation of relevant real estate related to the salt industry is promoted through the sale and lease of the well base and the salt well .
Moreover , there has also been the development of mature contract types , such as salt trade partnership contract , salt industry sinking investment contract , etc . , and the formation of contract with movable and immovable property as comprehensive subject matter , such as formation of well gas range , well base and shares as comprehensive subject matter , lease contract and so on .

Second , international . It is an example of the transformation of Chinese society modernization . It is a new research field . It is a new research field . It is a new research field . It can be used as the first " stock " in the world . It can be used to promote the capital fluidity and realize the stability of salt industry .
In terms of the social and economic development level , the self - government salt merchants gather capital through the contract , adjust the relationship between the private parties through the contract , and realize the self - government under the state of non - government intervention through the contract , which has created a brilliant salt industry civilization . However , the research on the development mode of the self - government salt industry has greatly challenged the development of the western mainstream culture on the development of modern Chinese social workers , such as the lack of modern banking system and official excessive extraction . However , the author has not combed the salt industry contract file from the angle of law , and has failed to analyze the influence of the contract on social transformation in combination with the national conditions .

Third , the time nature is not only the trading activity of salt industry , but the sustainable combination of resources and capital , the gradual rise of salt quotient stratum and the promotion of social transformation at that time .
It is not only beneficial to clear the equal cooperative relationship between village collective and land contract management , but also to realize the transformation of " rural three structure " by means of establishing land property interests sharing mechanism between village collective and peasant by means of equity .
On the other hand , the self - government salt industry contract reflects how to use the land assets to strengthen the guiding force of village collective to rural economic development . On the other hand , the self - government salt industry contract reflects how the salt business class forms and becomes the backbone of the transformation of the social economy form , how to strengthen the pursuit of equality and freedom through the conclusion of the Community , and how to use the customary law to obtain the advantage in the angular force of the same power and form self - government .

In short , all the history is the contemporary history , the Chinese traditional culture has the resources about the modern transformation of the state . The salt industry society reflected in the contract of Yong Salt Industry is an attempt to launch an impact on the industrial civilization .
The second chapter deals with the contents of the contract of salt trade and the reasons for the particularity of the " industry " transferred in the contract of purchase and sale and the retention of ownership through the debate on the nature of the contract .
The third chapter , based on the analysis of the rights and obligations of the parties , sorts out the criteria for judging the contract of salt business tenancy and the contract of salt industry , and clarifies the misunderstanding of the theory of the contract of salt industry lease contract in the study of the contract of salt industry .
The fifth chapter is the conclusion of the original BOT model in the analysis of the operation mode of the contract and the transition of the drilling contract to the descendants well .
In chapter 6 , the contract is the content , and in the last section , the joint and the next section are rights and obligations , and the basic theory , the share reorganization and the shared relation of the salt well date are studied in detail ;
Chapter 7 focuses on the distribution of rights and obligations among the first , the landlords and the investors , and concludes that the first person is the early manager in the evolution of its own rights and obligations .
Chapter 8 demonstrates the flexibility of the salt business partnership , the universality of the partnership property of salt industry and the advance of the partnership of salt industry , taking the partnership contract of salt industry as the content ;
Chapter 9 , based on the present value of salt trade contract , reveals that the " manpower " and " material resources " depend on the current social transformation , that is , not only should we pay attention to the cultivation of the public stratum in the second three industries , but also pay attention to the capitalization of rural land , and use the " joint stock system + permanent right of use + market " to assist the social transformation .

【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D913;D929

【参考文献】