法律视野下两宋与周边政权盟约研究

发布时间：2018-09-05 13:35

【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。
[Abstract]:About ancient China's covenant, the previous research is mostly focused on the Spring and Autumn period and warring States period. From the angle of law, this paper interprets the covenants signed between the Song Dynasty and the neighboring regimes of Liao, Xixia and Jin in the 10-13 th century. According to the subject of signing the covenants, all regimes in this period had either complete or partial contracting capacity and could sign covenants within the scope of their powers. As for the final decision to sign the covenant, it is in the hands of the monarchs, once the monarchs agree, they can send envoys to negotiate. Of course, there are certain requirements in the composition, position, knowledge and ability of envoys. Only ministers who meet these requirements can obtain the appointment of the emperor by means of recommendation or self-recommendation. Envoys shall bring with them certificates of identity, including letters of state, tables, edict, etc. The principles and intentions of the negotiations are also included in these documents. In the negotiation, the negotiator attaches great importance to the etiquette details which can reflect their position. Diplomatic skills are also fully used in the drafting and negotiation of the treaty to preserve the dignity and interests of the country. An affidavit is a kind of diplomatic instrument that records the specific contents of the two sides' covenants. After the Messengers of the two sides have carried letters of state to each other for many times to negotiate and reach an agreement, the parties clearly write down the contents of the covenants in the form of affidavits, and send people to the other country by sending people to the other country. It means that the covenant will enter into force. Once the Covenant enters into force, it shall not be retroactive except in matters specifically agreed upon. In the Song Dynasty, the vows followed the style of the Spring and Autumn Union, including the preface, the text and the oath. By swearing to the gods and ancestors, the two sides promised to abide by the covenant, and were willing to accept heavy punishment for the subjugation of the nation. Due to the very important position of affidavit in the diplomacy of Song Dynasty, there are special requirements in drafting, transcribing, paper, seal and storage specifications. This paper focuses on the realization of "Chanyuan League" between Song and Liao dynasties, and makes a special investigation on the realization of the Covenant from the aspects of annual currency payment, diplomatic exchanges and related norms, trade in the field, repair of border towns and deportation of fugitive persons, border observance, etc. Furthermore, it reveals the great influence of the implementation of the Covenant on the politics, economy and law of the contracting parties. The Covenant will be amended as a result of changes in circumstances in its implementation. During this period, the amendment of the Covenant was proposed and amended in different ways. The revised covenant continues to be in force. But no covenant has ever been in force since ancient times. The main reasons leading to the termination of the Covenant are the occurrence of breach of contract, the occurrence of a new war or the elimination of the original contracting party, etc. The termination of the Covenant includes the suspension of the operation of the Covenant and the permanent termination of the Covenant. In short, alliances between regimes are based on equal power, and long-term performance of the covenants is motivated by incentives of interest. Only on this basis, the so-called oath and integrity can play a role. Once the forces are no longer balanced and greater benefits can be obtained through war or other means, the external forces that bind the parties to the covenant, such as the gods, appear powerless and the binding power of the covenant is dispelled.
【学位授予单位】：中国政法大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：D929;K244

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