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那麼，在 1841 年 1 月 26 日起至《南京條約》簽訂前，香港是否屬於約開商埠？嚴格來說，由於香港在 1 月 25 日已被英軍佔領，並在翌日完成升旗禮之後，隨即象徵正式接管香港，香港成為英國海外領土。因此香港初期的開埠，並非基於不平等條約。 4 b7 l: o) V8 G1 l! b3 Ftvb now,tvbnow,bttvbtvb now,tvbnow,bttvb0 W! O6 d3 d/ h! N Y. E
琦善和義律沒有就《穿鼻草約》達成協議，而雙方君主亦沒有批准草約，因此草約本身只是一紙空文，並不具法律效力 [2] 。即使有，香港割讓和開埠都並非以草約的法理為依據，而是建立在後來 1 月 26 日英軍的實際佔領之上。故此，在史學上一般認為，香港開埠為英軍舉行升旗禮的1月26日開始，而非義律宣佈《穿鼻草約》的 1 月 20 日。事實上，草約的宣佈，只是義律在追加法律確認之前，將佔領變為既定事實的手法。而這種經驗主義的行事方式，是英國殖民主義慣用解決問題的方法 [3] 。 & n' \& b. X' Z5.39.217.76 / U* H- q; u% }# h公仔箱論壇《Convention of Chuenpee》原文 [4] ：tvb now,tvbnow,bttvb3 E& r# f" N# m. ^2 _' j
“Her Majesty’s plenipotentiary has now to announce the conclusion of preliminary arrangements between the imperial commissioner and himself involving the following conditions: ; F* G3 `" W& v8 ~8 V8 J公仔箱論壇
The cession of the island and harbour of Hongkong to the British crown. All just charges and duties tot the empire upon the commerce carried on there to be paid as if the trade were conducted at Whampoa.
An indemnity to the British government of six millions of dollars, on million payable at once, remainder in equal annual instalments ending in 1846.
Direct official intercourse between the countries upon equal footing.
The trade of the port of Canton to be opened within ten further arrangements are practicable at the new settlement."
5.39.217.76, F [1 T) a) [5 o% Y4 P1 s
由17世紀開始，英國為了壟㫁貿易，一般都會透過獲得海外領土，來擴張盎格魯撒克遜在當地的商貿權力 [5] 。按此經驗來看，從義律和後來接任的砵甸乍銳意割讓香港之目的可見，假如英國成功取得香港作為海外領土，香港便成為了其在華鴉片和其他貿易的據點。因此，割讓香港的其中一個重要原因，便是要將香港開辟為自由港，成為對內通市的通商口岸，而草約便是使「開辟」合理的法律工具。7 \: @8 Q& V# u: J; R4 s' g
8 n4 j' a) O- `& [# K. K" j9 e5.39.217.76可是，當時《穿鼻草約》沒有簽訂和承認，香港割讓只是建立在英軍的實際佔領和升旗禮之上，因此草約亦不能成為使「開辟」商埠合理的法律工具。對於類似國際間的強佔行為， 19 世紀初的國際法能夠產生約束力嗎？國際法又是如何詮釋條約效力的？ + V1 S1 g* }+ X! ntvb now,tvbnow,bttvb - i% V- {9 Q* L# L5 s: i, h) w現今泛指國際法這一詞，在 19 世紀後半葉一般稱為歐洲公法 (droit public de I’Europe, European public law) 。當時歐洲公法的特徵，主要都是圍繞著保障歐洲國際社會利益，例如歐洲中心主義、擴張主義等的法律秩序。歐洲認為公法是「文明國家之間的法律」，世界亦因而給劃分為歐洲文明國家、中國等半文明國家，和野蠻國家。為了要將侵略世界非文明國家的擴張行為合理化，歐洲公法乃成為一種帝國主義的法律工具 [6] 。 $ H( A6 l9 ^0 }' |公仔箱論壇 5 E3 O9 M% V8 C ( r1 j% l7 p1 T; g- d% \tvb now,tvbnow,bttvb為証明自己是公正無私的文明國家，並要迫使不文明國家遵循他們的價值觀和法理規範來行事，以維護其特權和利益，在 18 世紀初，國際法著作便成為這種擴張主義的白手套。而國際法作者的國藉，便顯得尤其關鍵 – 列強爭相出版國際法。而當中的焦點，便是那個國家更有資格代表普世價值。因此， 19 世紀最著名的國際法著作，1836年分別在倫敦和費城出版的《Elements of International Law》（中譯為《國際法原理》），能夠在 1864 年由美國傳教士丁韙良 (W. A. P. Martin, 1827-1916) 翻譯為漢語版《萬國公法》，美國政府對翻譯的推動，包括時任中國海關稅務司司長赫德 (Sir Robert Hart, 1835-1911) 的支持，實在不可或缺 [7] 。因此，當時國際法的約束力，較為適用於列強間的秩序維繫和利益分配，多於對國際間的無限擴張。 ' g: N8 b" M+ d# z8 LTVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。" V' ~5 h( O1 b
在過去一個多世紀，世界各地在國際法和平條約的領土割讓實例中，一般劃分為因征服而割讓 (subjugation) ，和因條約 (treaty) 買賣而割讓兩種，而兩者均必須以條約為法律依據。那麼，條約基於什麼條件才產生法律效力？《國際法原理》第二章第五節中指出，有效的條約必須首先由君主賦予全權的代表，在達成協議之後，雙方代表簽署才能正式生效 [8] ： 7 X: ^/ S, b/ E& m: n0 L& g4 `tvb now,tvbnow,bttvb
As to other public treaties: in order to enable a public minister or other diplomatic agent to conclude and sign a treaty with the government to which he is accredited, he must be furnished with a full power, independent of his general letter of credence. Grotius, and after him Puffendorf, consider treaties and conventions, thus negotiated and signed, as binding upon the sovereign in whose name they are concluded, in the same manner as any other contract made by a duly authorised agent binds his principal according to the general rules of civil jurisprudence.公仔箱論壇6 H: Q% {% M5 n- `
the sovereign is bound by the acts of his ambassadors, within the limits of his patent full-power, although the latter may have transcended or violated his secret instruction. But if the minister exceed his authority, or undertake to treat points not contained in his full-power and instructions, the sovereign is fully justified in delaying, or even refusing his ratification.TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。/ j: E9 F- G; W3 m0 T; `
換言之，假如全權大臣越權商議，君主是有權拒絕公約。5.39.217.766 @! x" u% Y. c- u
那麼，君主能夠如何拒絕呢？即使全權代表已經同意條約，只要君主能夠証明全權代表偏離了其意旨，君主是有權拒絕條約的：$ r' _5 V9 _5 ^0 x* k
before a sovereign can honourably refuse to ratify that which has been concluded in virtue of a full power, he must have strong and solid reasons, and, in particular, he must show that his minister has deviated from his instruction.公仔箱論壇( q: b' u/ y& a; |, I; P
另外，《國際法原理》第四節又指出，假如全權代表擅自立約，在沒有得到君主准許或授權的情況下作出超越其權力的約定或承諾，最終仍必須得到（君主）的准許：$ D5 K( S& l' T+ l
Such acts or engagements, which made without authority, or exceeding the limits of the authority under which they purport to be made, are called Sponions. These convention must be confirmed by express or tacit ratification. ( r5 A, j0 A9 u% `TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。
此外，假如條約中包含了領土割讓，還需要得到被割讓一方的同意 [9] ： * ?6 a, |1 O7 N! M
the assent of the chambers, clothed with the forms of a legislative act, is considered essential to the ultimate validity of a treaty ceding any portion of the national territory. 4 N, F( z! e$ g' B+ K2 K- d
By the general principles of private jurisprudence, recognized by most, if not all, CIVILIZED COUNTRIES, a contract obtained by violence is void. Freedom of consent to the validity of every agreement, and contracts obtained under duress are void, because the general welfare of society requires that they should be so.（大寫為筆者所加）TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。& c% }3 g. _; l' o2 Y% T
Her Majesty’s plenipotentiary has now to announce the conclusion of preliminary arrangements between the imperial commissioner and himself involving the following conditions:公仔箱論壇: V$ |* ^- k! ~$ O& K7 x
The cession of the island and harbour of Hongkong to the British crown. All just charges and duties tot the empire upon the commerce carried on there to be paid as if the trade were conducted at Whampoa.
An indemnity to the British government of six millions of dollars, on million payable at once, remainder in equal annual instalments ending in 1846.
Direct official intercourse between the countries upon equal footing.
The trade of the port of Canton to be opened within ten further arrangements are practicable at the new settlement.
根據草約所指，義律與琦善已達成「達成初步安排」 "the conclusion of preliminary arrangements between the imperial commissioner and himself" 。然而，這個「達成初步安排」的文據究竟是什麼呢？在義律發佈公吿後的第六天，即1841年1月26日英軍佔領香港這天，伯麥照會大鵬協副將賴恩爵，內容如下 [2] ：TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。+ a! ?4 `# S3 J/ I# l
Bremer, Commander-in-chief, and Elliot, Plenipotentiary, etc., by this proclamation make know to the inhabitant of the island of Hongkong, that that island has now become part of the dominions of the Queen of England by clear public agreement between the High Officers of the Celestial and British Courts….. # O& O0 x5 v5 v( v- P- @% `7 Y
The island of Hongkong having been ceded to the British Crown under the seal of the Imperial Minister and High Commissioner Keshen, it has become necessary to provide the Government thereof, pending Her Majesty’s pleasure…… + X' T- M% ?) j5.39.217.76
兩份公告目的在於曉喻香港居民，英國已經成為香港的新統治者。即便如此，民眾亦毋需惶恐，因為中國傳統禮儀習俗、宗教儀式、風俗習慣等個人權利不但會繼續保留，而且基於引入一種華洋分治，一島兩制的二元化法律體系 (a dual legal system) ，即華人將繼續依從中國法律及習慣，英國及其他各國人士則接受英國法的統治 [4] 。* |1 f; C: I% l. h. e# ?
根據中國社會科學院研究員劉存寛教授，在其著作《香港史論叢》第二章<英國強佔香港島與所謂「穿鼻條約」>中指出，這兩份公告的基礎，是以 1 月 20 日的通知為依據。換言之， 2 月 1 日公告中的 "clear public agreement between the High Officers of the Celestial and British Courts" ，和義律 2 月 2 日公告中所指的 "The island of Hongkong having been ceded to the British Crown under the seal of the Imperial Minister and High Commissioner Keshen" ，都是以義律在通知中的「達成初步安排」為依據。而這個有「達成」「安排」的「文據」，便是琦善在《穿鼻草約》蓋上的關防。& m- R6 b i/ c! m3 w; r9 g
{. g# y/ A' U2 ]& k可是，這兩份極重要的公告中，存在三個問題：TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。% A6 S$ r6 a9 o T
假如公告的基礎是以通知為依據，那麼通知又什麼作依據？琦善有否就割讓香港與義律達成協議並蓋印作實？
巴麥尊否定條約；以及
義律在港權力和公告法律效力
劉存寬教授、前香港歷史博物館館長丁新豹博士、香港嶺南大學香港與華南歷史研究部名譽研究員蕭國健教授等多名學者均認為，琦善從來沒有在任何關於割讓香港的文據上蓋關防作實 [5] 。公仔箱論壇0 H! ?( C6 \+ o0 U$ v
那麼，義律聲稱琦善蓋了關防的文據，究竟是怎麼一回事？筆者嘗試從時序、策略、琦善和義律心態三方面全方位分析「達成了初步安排」和「已有文據在案」可能性。tvb now,tvbnow,bttvb# r/ {- v& F+ `0 a( C
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時序篇究竟「達成了初步安排」和的「文據」是如何發生的？筆者嘗試將琦善和義律在廣東談判中，由 1 月 7 日至 2 月 26 日這段關鍵的香港割讓歷史過程，重現眼前。公仔箱論壇0 u2 M, i7 ]" f; z; u3 d+ S1 I
1841 年 1 月 7 日，英軍攻陷沙角和大角，清軍大敗。一星期後，義律於1月14日給琦善照會，要求琦善將香港給予英國「主治」以作「寄居」，而條件是歸還沙角和大角兩地 [6] ：tvb now,tvbnow,bttvb n/ ]. T) s' O0 @- a' w
…姑為急則治標之計，則暫示羈糜于目前，即當備剿于將來也 [20] 。5 B2 e G& @+ _3 Z2 V4 F
截至 2 月 16 日，琦善仍沒有蓋印，明顯地，莫說 1 月 20 日義律在澳門發出通知中「達成了初步安排」，或是 2 月 1 和 2 日兩份公告中聲稱 "clear public agreement between the High Officers of the Celestial and British Courts" 和 "under the seal of the Imperial Minister and High Commissioner Keshen" 均不可能提前發生，假如義律說早已於 1 月 20 日已與琦善簽訂了《穿鼻草約》，那根本毋需此後多次發出最後通牒脅迫琦善蓋印（最後的通牒死缐是 3 月 1 日。然而，義律早已急不及待，於 2 月 23 日已揮軍再攻虎門）。並且，既已簽約，琦善亦毋需分別在 1 月 31 日擬出《酌定章程》和 2 月 11-12 日重新提出《酌擬章程底稿》四條與義律再次洽談，而律義亦毋需於 2 月 13 日向琦善提出《善定事宜》作最後商議（關於上述兩章程的細節將於下篇《心態上》詳述）。tvb now,tvbnow,bttvb/ J$ q5 q2 z7 B5 o) I
8 c1 g' m: R+ @/ B事實上，所謂「安排」，只是義律要做成既定事實，來逼使清政府作出承諾的計策。那麼義律所指的「已有文據在案」，實際上是啥什麼？ ! S' c }2 n4 s) u義律所指的「文據」，其實是雙方就自沙角退兵、繳還定海、代奏寄居香港及釋放拘留人士等協議的磋商和照會文件 [22] 。然而這些協議都沒有簽字作實，亦沒有蓋上關防。在 2 月 1 日義律發布公告的同日，義律給琦善的照會中便說道 [23] ：TVBNOW 含有熱門話題，最新最快電視，軟體，遊戲，電影，動漫及日常生活及興趣交流等資訊。! ?/ z, y. X+ d9 l. h7 o, E
You have obtained the Cession of Hong Kong, a barren Island with hardly a House upon it; and even this Cession as it is called, seems to me, from the conditions with which it is clogged, not to be a cession of the Sovereignty of the Island, which could only be made by the signature of the Emperor, but to be a permission to us to make a Settlement there, upon the same footing on which the Portuguese have an establishment at Macao. : j( T- {8 i& ]6 x( p
另外，再於 5 月 14 日致函義律的第九號文件中，巴麥尊詳細重申一遍他否定協議和公告的原因 [2] ：5.39.217.76* c' N4 U; |9 @0 p# p$ [( C* p
With reference to the Proclamation which has appeared in the Newspapers of this Country, issued by you to Her Majesty’s Subjects in China, in which you declare the Island of Hong Kong to be annexed forever tot the British dominions, I have to observe to you that no part of the Territory belonging to one Sovereign can be ceded and made over to another Sovereign, except by a formal Treaty, ratified by the Sovereign by whom the cession is made, and that no Subject has the power to alienate any portion of the territory of his Sovereign. Consequently, the agreement made by Keshen that Hong Kong should be ceded to the British Crown, EVEN IF THAT AGREEMENT HAS BEEN RECORDED IN THE FORMAL SHAPE OF A TREATY, would have been of NO VALUE or force until it had been ratified by The Emperor of China. Your Proclamation was therefore ENTIRELY PREMATURE, inasmuch as it does not appear that any formal Treaty for the cession of Hong Kong had been signed between you and Keshen; and that all events, it is certain that at the time when you issued your Proclamation, no such Treaty, even if signed by Keshen, had been ratified by the Emperor.（大寫為筆者所加） 4 y( y S/ B) y. S* S! A$ n5.39.217.76
In ignorance of Captain Elliot’s proposals of Jan 8, 1841, it is impossible to state clearly what was agreed to on this point; but it would appear that the Island of Hong Kong had been ceded as a place of settlement; clogged, however, with a condition that all duties are to be paired there in the same manner as they have hitherto been paid at Whampoa; that is (it is presumed) that they should be assessed and collected at Hong Kong by Chinese officers. In fact, IT DOES NOT CLEARLY APPEAR THAT HONG KONG IS CEDED TO GREAT BRITAIN IN ABSOLUTE SOVEREIGNTY.（大寫為筆者所加） & T4 B5 s9 ?% w( o, Y公仔箱論壇
The government of China is perfectly convinced that the Island of Hong Kong will not be yielded up, and if it suited the purposes or character of Her Majesty’s Government to accept it under any such modification as would save the appearance of its formal cession, and declaration were made that we were satisfied with that extent of territorial possession, they would be well content to adjust affairs at once.5.39.217.763 a' M9 S2 g+ `: O; l+ l& n! y6 H
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