中美 Emily 號事件及其歷史印象 1821-1844

The Emily Incident between China and the United States, and Its Historical Impression, 1821-1844

李立凡(Li-fan Lee)

指導教授 ： 黃一農

國立清華大學/人文社會學院/歷史研究所/碩士(2012年)

摘要

本論文分析一起事件的歷史印象形成過程。
1821年發生的 Emily 號事件向來被視為早期中美關係期間 (1784-1844)，極具代表性的衝突事件，甚至是影響西方人對中國法律之印象的重要案件。本論文首先考訂事件發生過程，發現被告水手 Francis Terranovia 應確實投擲瓦罈砸中死者，惟動機仍難確定。內部分歧的美國人則透過串供等策略抵抗中國執法，最終被封艙禁運，而水手也在美國人將他交給中國官府後，按照清律和通商口岸慣例，迅速絞刑處死。不過，英美人士的相關看法與措施其實違反當時國際法的慣例，而審訊、定罪的過程，亦包含中外的觀念衝突。
事件發生之後，各種訊息傳回美國、英國，在兩國社會引發不少討論。美國方面的消息傾向強調中國司法的暴力野蠻，而事件過程中的種種法律操作，則並未廣泛流傳。英國方面流傳的消息則同時批評中國司法野蠻並指控美國人立場不穩且懦弱無能，正當化英國在華措施。英美的共通點則是傾向認為該名水手是被無辜陷害。在之後約二十年間，此事不時被英、美出版品提起，甚至經常被英國方面援引為例，批評中國人和美國人，由此逐漸奠定印象，認為該事件是中國殘暴法律迫害所致。
這個印象便成為美國在鴉片戰爭期間以及之後，考慮與中國簽訂條約的基礎。但是關於這類法律衝突所引發的領事裁判權問題，直到指派顧盛為簽約特使時仍未成為正式議案，而是顧盛在得知英國已在中國獲取相關權利時才具體談論。中美協商訂約期間發生的徐阿滿事件則成為顧盛可利用的例子，在實證主義的基礎上，創造了類似領事裁判權的實例，打破了 Emily 號事件所設下的先例。

關鍵字

中美關係 ； 法律衝突 ； 資訊傳播 ； 歷史印象 ； Emily 號 ； Terranovia

並列摘要

This thesis studies the formation of the historical impression of an incident.
The Emily Incident in 1821 has been generally regarded as a significant event during early history of Sino-American relations (1784-1844), and an important case affecting Western impression of Chinese Laws. This thesis studies firstly studies the proceedings of the incident, discovering that the accused sailor Francis Terranovia did throw a pottery jar and hit the deceased, but his motive cannot be determined. The self-splitted Americans manipulated the testimonies and so on to ressit the Chinese from law enforcement, and their trade was later stopped, before the sailor was handed over to Chinese authorities and punished by death penalty very quickly. On the other hand, the Anglo-American views and acts were contradictory with the contemporary international convention, and the Sino-Foreign conflict of concepts did appear during the trial and conviction.
After the event, all kinds of messages were transmitted to the United States and England, arousing some discussions. Information in America tended to emphasize the barbarity of violent Chinese jurisdiction, and the legal manipulations during the indicent were not widely spreaded. In England the information both criticized the Chinese barbarity and accused the pusillanimity of the wavering Americans, justifying British policy in China. Generally, both English and Americans regarded the said sailor as innocent and was persecuted. This case was frequently mentioned by Anglo-American publications in the following two decades, and was more cited by the English to exemplify the state of the Chinese and Americans, thus formed the impression that the case was a result of barbarous Chinese laws.
This impression then became the conceptual foundation of the Americans when considering making treaties with China. But the issue of consular jurisdiction which connected with these legal conflicts was not formally discussed until Caleb Cusing was sent to China as commissioner and learning that the English had acquired similar rights in their treaties with China. The Su-Aman case, which happened during Sino-American negotiation for treaty, became an immediate asset for Cushing to overthrow the Emily precedent, acutallizing the right similar to consular jurisdiction on the ground of positivism.

並列關鍵字

Sino-American Relations ； Legal Conflict ； Spread of Information ； Historical Impression ； The Emily ； Terranovia

參考文獻

Cornell University Library Making of America Cornell: MOA

陶希聖，《清代州縣衙門行事審判制度及程序》，臺北：食貨，1972。

游博清、黃一農，〈天朝與遠人――小斯當東與中英關係(1793-1840)〉，《中央研究院近代史研究所集刊》，期69(2010)，頁1-40。

黃一農，〈印象與真相――清朝中英兩國的覲禮之爭〉，《中央研究院歷史語言研究所集刊》，第78本第1分(2007)，頁35-106。

Ellis, Henry. A Series of Letters on the East India Question: Addressed to the Members of the Two Houses of Parliament. London: John Murray, 1830 [GB: GB].