元代官营工商业法律制度研究

发布时间：2018-06-23 15:58

本文选题：元代 + 官营经济　；参考：《西南政法大学》2011年博士论文

【摘要】：中国是一个有着五千年历史文化传统的国家,官营工商业法律制度作为中国封建社会经济结构中最具特色的经济制度,是中国历史文化传统的一部分。它代表的政府控制、干预经济的经济管理理念与西方自由主义经济理论有着本质的差异和冲突。今天,我国走的是具有中国特色的社会主义道路,公有制经济在国民经济中占有举足轻重的主导地位。虽然其政治经济学基础与中国古代官营工商业法律制度完全不同,是建立在马克思科学社会主义的政治经济学理论基础之上,但借古鉴今,仍然具有特别重要的现实意义。公有制经济在富国强兵,集中力量办大事,增强国际竞争力,节制私人资本,限制贫富分化,促使国民经济健康稳定发展等具多领域可以发挥与古代官营工商业法律制度类似的作用,但元代官营工商业法律制度的百般弊病,尤其是权贵经济的祸患、贪官污吏的肆虐,足以引起世人的警惕。这也是笔者选择元代官营工商业法律制度进行探索研究的主要目的。根据笔者的研究目的和元代官营工商业法律制度体系结构的内在逻辑,论文主要分为三个部分,共五章: 第一部分即第一章,元代官营工商业法律制度的建立。主要是对元代官营工商业法律制度建立的政治经济背景、思想文化冲突、产权基础以及立法过程进行分析。第二部分是实体分析部分,共三章,即第二章元代官营造作手工业的法律规制,第三章元代官营课程手工业的法律规制,第四章元代官营商业的法律规制。本部分在充分占有翔实的法律史料基础上,首先,从静态的角度,对元代官营工商业法律制度进行全面、系统地文献分析,考证元代官营工商业法律制度的主要内容,包括具体法律制度、经营模式、管理规范和管理过程中存在的主要问题及法律措施;其次,从历史的纵向角度运用比较分析等方法考察元代主要官营工商业法律制度的产生、形成及其嬗变的历史过程;再次,通过典型案例的补充研究,揭示元代官营工商业法律制度的运行情况和法律规制效果。第三部分是总结评析部分,即第五章元代官营工商业法律制度评析。主要是在分析中国古代官营工商业法律制度的政治经济学基础及功利价值、主要流弊的基础上,总结元代官营工商业法律制度的主要特征和历史个性,反思元代官营工商业法律制度的利弊得失,以期为社会主义国有经济法制建设提供历史借鉴。官营工商业法律制度的研究一直是法史研究的一个重要的薄弱环节,尤其是元代官营工商业法律制度的研究,还只能说处于起步阶段。就国内外的研究现状而言,本文具有开拓性。除此之外,本文可能的特色和创新之处还包括以下几点: 首先,就研究的意义来说,本文将研究的目的置于西方经济私有制与中国传统经济公有制、西方自由经济与中国政府干预经济的法文化冲突背景之下,不仅凸显了本文研究的理论与实践价值,而且为笔者研究本文提供了原初的动力和勇气。而就研究的对象而言,本文选题定位具体,十分务实,且直指要害。中国传统封建经济是政府干预经济,政府干预、主导、管理国家经济的最主要、最根本的手段和制度就是官营工商业法律制度。因此,本文选题以元代官营工商业法律制度为研究对象,其“以小搏大”“知微见著”意蕴十分明显。其次,本文十分注重对“社会生活中的法律”、“社会运行中的法律”进行研究。笔者在本文的研究过程中,不仅关注有关元代工商业法律制度的立法及体现于一定文本的法律制度,而且把法律看作一种社会现象,更关注社会中的法律,即法律在社会中应用与运作过程及社会效果,法律与政治、法律与经济等的相互关系。也就是说更为关注元代官营工商业“活法”的研究。其具体体现如下: 一是本文不仅注重对元代法史文本如《元典章》、《大元条格通制》的研究,而且注重搜集和分析元人留下的大量奏章、笔记、戏曲、诗歌等文献资料,挖掘元朝社会生活中的“法律事实”。二是本文不仅研究元代官营工商业法律制度的法律文本和法律条文,而且关注元代官营工商业法律制度的立法目的、运作状况及法律效果,也即法律的具体运作情况。三是本文极为重视对法律的调整对象——社会关系本身进行研究。过去,在法律制度史的研究中,往往总是就法制谈法制,而对法律的调整对象——法律所调整的社会关系漠不关心,结果是法律条文罗列了不少,但人们对法律所调整的社会关系仍然知之不多。本文十分关注元代官营工商业经济的运行过程,从生产资料的产权属性到劳动力的来源与法律地位,从官营工商业经济的生产经营方式到产品、收益的分配制度都纳入了本文的研究视野。四是本文不仅研究元代官营工商业法律制度产生、形成、演化的社会、政治、经济基础,而且还注重研究元代官营工商业法律制度对经济发展、社会进步的作用和影响,试图对元代官营工商业法律制度的社会效果、利弊得失给出合理的评价。再次,本文将元代官营手工业分为造作手工业和课程手工业,将其作为两种不同手工业类型分别进行研究,分类更合理,逻辑更清晰。以往的官营工商业研究成果中,要么将官营课程手工业与官营造作手工业统称为官营手工业进行研究,由于两者的职能、目的及具体法律制度存在明显的差异,将它们混为一谈,很不合理;要么将官营课程手工业法律制度与专卖制度合并在一起进行讨论,但结果往往只关注官营课程手工业产品的流通制度即专卖制度,而对官营课程手工业的宏观调控制度、生产管理制度、产品分配制度不作重点研究,甚至留下空白,这是很不完整的。中国古代官营工商业法律制度有着深厚的历史文化底蕴。它起源于西周的“工商食官”之制,经秦汉,历唐宋,制度历备,内容代丰,可谓一脉相承。然而,其历史功过、价值利弊,自古也是人们争议的焦点。言利而害义,富国而伤民,溢上而损下,官营工商业法律制度因此累遭世人诟病。本文以元代官营工商业法律制度作为标本,对其立法背景、规制内容、运行状况、社会效果等方面作了比较系统的考析和论述。通过这些考析和论述,可以看出: 元代官营工商业法律制度基本上沿袭了唐、宋旧制。官府直接经营管理大量工商业经济,其主要目的仍然是为皇室贵族和各级政府提供各种消费品和奢侈品,为国家财政节约货币开支并获得大量利税收入。然而,由于其独特的政治、经济及民族文化背景,就官营工商业法律制度的价值意义而言,元代的官营工商业法律制度挫长扬短,将官营工商业法律制度的百般弊病暴露无遗。究其具体原因,既有法律运行的政治、法治环境的原因,也有其制度本身缺陷的原因,总体上可以归纳为以下几点: 其一、蒙古少数民族的权贵政治重利轻义。元代是一个蒙古少数民族强势统治中原汉地的朝代。由于元政权在政治上过度依赖蒙古权贵,在经济上处处维护蒙古权贵的经济特权,在文化上重利轻义,因而他们经常将官营工商业法律制度作为榨取人民超经济利益的实用工具,只知取之于民,不知用之于民,急敛暴征,岁司羽鸠。其二、产权基础家族性导致的分配不公。元代官营工商业,只是在经营管理法律制度上继承了前代的管理模式和方法,而事实上因产权基础不同,其代表的生产关系是一种完全与唐宋不同的生产关系,其分配制度是“取天下了呵,各分地土,共享富贵”原则的具体化。这必然导致元政府泛赐滥赉,财政入不敷出,疯狂地榨取汉地民众。第三、“各依本俗”的法治差异。基于“各依本俗”的法治原则,元代蒙古权贵仍然适用大汗国时期的自由工商业法律,可以肆无忌惮地兴办投下工商业,甚至部分禁榷工商业。这种不一致的法治制度,使官营工商业法律制度打击地方豪强势要及节制富商大贾的政治、经济作用大打了折扣。第四、直接劳役制经营模式的落后。元代官营工商业手工业劳动者最初就是来源于“唯匠屠免”的战争俘虏,其使主将他们称为“驱口”。入元之后,直接劳役制一直是元代官营工商业的主要生产经营形式。元代官营工商业劳动者虽然不是奴隶,但在国家强制下几与奴隶无异。相较于宋代的召募制、承买制,元代的劳役制无庸置疑是历史的倒退。第五、经营管理的监督机制不完善。从纯粹经济学分析来看,官营工商业法律制度的最大问题是控制问题,因而建立一种有效的监督机制是十分必要的,但这种监督机制肯定是既昂贵而又不完善的。中国历史上的历代官营工商业法律制度都没有很好地解决这个问题,元代更是如此。贪污成风、非法盘剥严重、生产成本高昂、经营效率低下,诸如此类的制度弊端,都在元代官营工商业经营过程中暴露无遗。元代的官营工商业法律制度,在恢复和促进元初的国民经济发展过程中发挥过重要作用,但由于官营工商业发展成果被少数蒙古权贵攫取,广大中原民众沦为官营工商业法律制度的受害者,被无情地剥削和压榨,最终导致官贪民穷,民穷则国也不富,国民经济陷入民不聊生,经济崩坏的境地。这种历史教训值得人们认真总结和反思。总之,本文集法学、史学、经济学的研究方法和研究成果为一体。本文研究的是过去,思考的却是现在,因为笔者一直有一种信念:任何一个国家和民族都是背负着过去走向未来的,过去与现在不仅不可割裂,还能共同构筑一个美好的未来!
[Abstract]:China is a country with a historical and cultural tradition of 5000 years. As the most distinctive economic system in the Chinese feudal social and economic structure, the official business law system of the government is part of the Chinese historical and cultural tradition. It represents the government control, the economic management and Western liberal economic theory are essential. Today, our country is taking the socialist road with Chinese characteristics, and the public ownership economy occupies a decisive leading position in the national economy. Although its political and economic basis is completely different from the commercial legal system of Chinese ancient official workers, it is based on the theoretical basis of the political economy of Marx's scientific socialism. On the other hand, it still has a very important practical significance. The public ownership economy can play a similar role with the ancient official business law system in many fields, such as enriching the country and the army, concentrating on big events, strengthening the international competitiveness, controlling the private capital, restricting the differentiation of the rich and the poor, and promoting the healthy and stable development of the national economy. It is also the main purpose of the author to choose the commercial legal system of the official workers in the Yuan Dynasty to explore the commercial legal system of the official workers, especially the scourge of the powerful economy and the ravaging of the corrupt officials.
According to the author's research purpose and the internal logic of the system of official business and business legal system in the Yuan Dynasty, the paper is divided into three parts, five chapters:
The first chapter, the first chapter, the establishment of the commercial legal system of the official camp workers in the Yuan Dynasty, mainly analyzes the political and economic background, the ideological and cultural conflict, the foundation of the property rights and the legislative process of the establishment of the commercial legal system of the Yuan Dynasty officer's camp workers.
The second part is the entity analysis part, altogether three chapters, namely the legal regulation of the official handicraft industry of the official camp of the Yuan Dynasty, the third chapter and the legal regulation of the official business of the official camp in the Yuan Dynasty, and the legal regulation of the official business in the Yuan Dynasty in the fourth chapter. On the basis of full and accurate legal historical data, this part first, from the static point of view, to the business of the Yuan Dynasty. The legal system carries out a comprehensive and systematic literature analysis to examine the main contents of the commercial legal system of the Yuan Dynasty officer's camp workers, including the specific legal system, the management model, the management standard and the main problems and legal measures in the process of management. Secondly, the main official business business of the Yuan Dynasty is examined from the historical perspective. The emergence of the legal system, the formation and evolution of the historical process; thirdly, through the supplementary study of typical cases, it reveals the operation and legal regulation effect of the commercial legal system of the official camp workers in the Yuan Dynasty.
The third part is the summary and analysis part, that is, the evaluation and analysis of the commercial legal system of the fifth chapter of the Yuan Dynasty, mainly on the basis of the analysis of the political and economic basis and utilitarian value of the commercial legal system in ancient Chinese official camp workers, and on the basis of the main malpractices, summarizing the main characteristics and historical personalities of the commercial legal system of the Yuan Dynasty official camp workers, and reflecting on the camp workers in the Yuan Dynasty. The advantages and disadvantages of the commercial legal system in order to provide a historical reference for the construction of socialist state owned economic legal system.
The research on the commercial legal system of the official workers has always been an important weak link in the study of legal history, especially in the study of the commercial legal system of the official workers in the Yuan Dynasty, which is still in its infancy.
First, in terms of the significance of the study, the purpose of this study is to put the purpose of the study in the western economic private system and the public ownership of Chinese traditional economy. Under the background of the legal culture conflict between the western free economy and the Chinese government intervention in the economy, it not only highlights the theoretical and practical value of this study, but also provides the original motivation and courage for the author to study this article. As far as the object of research is concerned, the topic of this article is specific, very practical, and directly refers to the key. The Chinese traditional feudal economy is the most important of the government intervention in the economy, the government intervention, the leading, the management of the state economy, the most fundamental means and system is the commercial legal system of the official camp workers. Therefore, this article is selected as the commercial legal system of the Yuan Dynasty official camp workers. As the research object, its "small stroke" and "knowledge and micro understanding" are very obvious.
Secondly, this article pays great attention to the study of "law in social life" and "law in social operation". In the course of this study, I not only pay attention to the legislation of the legal system of the commercial legal system and the legal system embodied in a certain text, but also regard the law as a social phenomenon, and pay more attention to the law in the society. That is to say, the relationship between the application and operation of the law and the social effect, the law and politics, the law and the economy.
First, this article not only pays attention to the study of the Yuan Dynasty's historical texts, such as the Yuan Dynasty, and the great yuan bar system, but also pays attention to the collection and analysis of a large number of memorials, notes, operas, and poems by the Yuan people to excavate the social life of the Yuan Dynasty.
The "legal facts" in life. Two is not only the legal text and legal provisions of this article, but also the legislative purpose, the operation situation and the legal effect of the commercial legal system of the Yuan Dynasty officer's camp workers, that is, the specific operation of the law.
The three is that this article attaches great importance to the study of the object of the adjustment of law, the social relationship itself. In the past, in the study of the history of the legal system, the legal system was often talked about, and the law adjusted object of law was indifferent to the social relations adjusted by law. The result was that the legal provisions were listed, but the law has been adjusted. The social relations still don't know much. This article pays great attention to the operation process of the commercial economy of the official workers in Yuan Dynasty, from the property property of the production data to the source and legal status of the labor force, from the production and operation mode of the commercial economy to the product and the distribution system of income.
The four is that this article not only studies the formation, formation, evolution of the social, political and economic basis of the commercial legal system of the Yuan Dynasty, but also pays attention to the study of the role and influence of the commercial legal system on economic development and social progress in the Yuan Dynasty, and tries to give a reasonable evaluation to the social effects of the legal system of the official business law system in Yuan Dynasty and the advantages and disadvantages.
Thirdly, this paper divides the official handicraft industry into the handicraft industry of the Yuan Dynasty and the handicraft industry, and studies it as the two different types of handicraft industry. The classification is more reasonable and the logic is clearer. Because of the functions of the two, there are obvious differences between the purpose and the specific legal system, and it is not reasonable to confuse them. Either the legal system of the official curricula handicraft industry and the monopoly system are combined to be discussed, but the result is often concerned only with the circulation system of the industrial products of the official course hand industry, namely the monopoly system, and the handcraft of the official camp course. The macroeconomic regulation and control system, production management system and product distribution system of the industry do not focus on research, or even leave blank.
The commercial legal system of official camp workers in ancient China has a profound historical and cultural background. It originated in the system of "industrial and commercial food officer" in the Western Zhou Dynasty. It can be described as the same succession through the Qin and Han Dynasties, the Tang and Song Dynasties, the preparation of the Tang and Song Dynasties, the system and the content. However, its historical merits and advantages and disadvantages are the focus of the people's controversy since ancient times. In this paper, the commercial legal system of the official camp workers has been criticized by the world. This paper makes a systematic analysis and Discussion on the legislative background, regulation content, operation status and social effects of the commercial legal system of the Yuan Dynasty officer camp workers.
The commercial legal system of the official workers in the Yuan Dynasty basically follows the Tang Dynasty and the song and the old system. The government manages a large number of industrial and commercial economy directly. Its main purpose is to provide all kinds of consumer goods and luxuries for the Royal aristocrats and governments at all levels, to save money and gain a large amount of tax revenue for the state finance. As far as the cultural background of the national culture is concerned, in terms of the value and significance of the commercial legal system of the official camp workers, the commercial legal system of the official camp workers in the Yuan Dynasty is short and short, and the various disadvantages of the commercial legal system of the generals are revealed. The specific reasons are the political operation of the law, the cause of the rule of law environment, and the reasons for the defects of the system itself. The following points are summed up.
First, the political power of the minority nationalities in Mongolia has a heavy profit and light meaning. The Yuan Dynasty was a dynasty in which the minority nationalities of Mongolia dominated the Central Plains in the Han Dynasty. Because the Yuan Regime overly relies on Mongolia's power and power in politics, it maintains the economic privileges of the power of the power of Mongolia in the economy and pays the light meaning in the culture. Therefore, they often make business legal system for the officials. As a practical tool to squeeze people's super economic interests, they only know that they are taken from the people, and do not know how to use them for the sake of the people.
Secondly, the distribution of the property right base was unfair. The Yuan Dynasty official business, only inherited the management model and method of the former generation in the legal system of management and management, but in fact, because of the different property rights foundation, the production relationship represented by the government was completely different from the Tang and Song Dynasties, and its distribution system was "taking the world, all the parts of the land." The concretion of the principle of sharing the rich and the rich will inevitably lead to the oversupply of the Yuan government, and the financial squeeze on the Han people.
Third, the rule of law difference according to the popular custom. Based on the rule of law of "according to the vulgar", the power of Mongolia in the Yuan Dynasty is still applicable to the free industry and Commerce Law of the period of the Great Khan country. It can unscrupulously run and invest in industry and Commerce, even part of the industry and commerce. This inconsistent rule of law system has made the commercial legal system of Government Camp workers fight local hows. The political and economic role of a strong and restrained businessman is discounted.
Fourth, the operation mode of the direct labour system was backward. The industrial and commercial workers of the official business industry of the Yuan Dynasty originally came from the war prisoners of "only craftsmen," which made them call them "exemptions". After entering the yuan, the direct labour system was the main form of production and operation of the Yuan Dynasty official business. It is not slavery, but it is almost the same as slavery under state compulsion. Compared with the Song Dynasty's recruitment system, the labor system in the Yuan Dynasty is undoubtedly a retrogression in history.
Fifth, the supervision mechanism of management is not perfect. From the purely economic analysis, the biggest problem of the commercial legal system of the official camp workers is the control problem. Therefore, it is very necessary to establish an effective supervision mechanism, but this supervision mechanism is certainly expensive and imperfect. Degree is not a good solution to this problem, the Yuan Dynasty is the same. Corruption, serious illegal exploitation, high cost of production, low operating efficiency, and so on, and so on, all of the defects of the system in the Yuan Dynasty official camp workers exposed.
The commercial legal system of the official camp workers in the Yuan Dynasty played an important role in restoring and promoting the development of the national economy in the Yuan Dynasty. However, as the achievements of the official business industry were snatched by a few Mongolia power, the majority of the Central Plains people were reduced to the victims of the commercial legal system of the officials, which were exploited and squeezed without feeling, and eventually led to the poor people and the people. Poor countries are not rich, and the national economy is plunged into poverty and economic collapse. This historical lesson deserves careful review and reflection.
In a word, this article is a combination of law, history, economics and research results. This article studies the past, thinking is now, because I always have a belief that any country and nation are carrying the past to the future, the past and the present not only can not be separated, but also to build a good future together.
【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：K247

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