【作者】 梁红光；

【导师】 李剑鸣；

【作者基本信息】 南开大学 ， 世界史， 2010， 博士

【摘要】 在美国建国初期,制度与观念桴鼓相应,相辅相成。联邦制理念的形成和变化就鲜明地体现了美国早期政治文化的这一重要特征。本文旨在通过考察和分析美国建国一代的联邦制理念,阐释美国早期的国家构建路径的探索,即以联邦制理念为核心,说明美国建国者要建立一个什么样的国家,以及为什么或只能建立这样的国家。美国早期联邦制理念肇端于独立战争爆发前的政治大辩论。为了维护殖民地议会的权益和殖民地居民的自由,除了一些保守派之外,包括温和派和激进派在内的大部分殖民地人士都强烈反对英国的“新殖民地政策”。温和派和激进派的主权观念和对帝国内部关系的认知,拉开了美国早期国家构建的序幕。美国建国一代要面对、思考和处理在新国家中主权的性质和归属、共同政府与州政府的关系和各自的权责等类似的问题。温和派和激进派对这些问题的解答,为美国建国者的理论探索和制度设置奠定了一定的基础。在对英战争的过程中,美国建国者开始最初的国家构建。他们在欠缺管理国家的实践经验的情况下,不仅要应付战争,而且还要解决13个州长期历史发展所造成的分歧。他们制定《邦联条例》,构建了一个邦联制国家：各州保留主权,几乎不受限制地进行内部治理；邦联国会处理整体性和外部性事务,其存在和运作都依赖各州的支持。这一国家形式基本上勾勒出美国联邦制国家的轮廓,成为此后美国建国者进行改革的基础。邦联时期,美国建国者不断改革邦联体制,试图赋予邦联国会必要的权力,使其能够更好地治理国家。由于各州的利益分歧和邦联体制的局限,改革未获成功。1787年费城制宪会议为美国起草了一部新的国家宪法。在各种不同的观点和利益的交锋博弈中形成了一种新的联邦制理念,这种理念成为新宪法的基本理念。在依据联邦制理念建立的国家中,联邦政府和州政府的权力都来源于“人民”,它们各代表“人民”行使部分主权；州政府处理各州的内部事务,并在一定程度上参与联邦政府的运作；联邦政府处理整体性和外部性事务,并具有履行职责所必要的权力。在新宪法提交各州审议和批准的过程中,反联邦主义者抨击和抵制新宪法,认为新宪法要建立一个不适合美利坚的集权政府。在反驳反联邦主义者的过程中,联邦主义者更为清晰地表述了新宪法背后的联邦制理念。最终,新宪法获得各州批准,成为联邦宪法,联邦主义者的联邦制理念也就在竞争中取得了优势。联邦主义者的联邦制理念之所以能够获得优势,这取决于多方面的因素：时人都承认改革的必要性,联邦主义者拥有体现他们联邦制理念的新宪法,而反联邦主义者却没有一套改革方案；联邦主义者的联邦制理念有诸多创新和可取之处,在主权的性质和归属、共和政体以及联邦政府的治理能力等方面都实现了重大的理论突破,赋予联邦政府更坚实的基础和更有效地治理国家的能力；新宪法设计的批准程序有利地推动了新宪法的批准,从而使联邦主义者的联邦制理念获得优势。然而,不能简单地将美国联邦制国家的建立视为联邦主义者的“胜利”,他们只是在美国早期国家构建中取得了“优势”而已：在批准新宪法的过程中,存在人数众多的反联邦主义者,他们的势力和影响不容忽视,他们对联邦主义者联邦制理念的形成有很大的影响；联邦主义者的联邦制理念尚存不少缺陷；在1865年之前,联邦主义者的联邦制理念本身在发生变化,而且还反复遭到挑战。总之,在美国早期国家构建的过程中,存在多种体现不同观点和利益的联邦制理念,这促使美国构建的联邦制国家能够容纳和包容不同的群体和利益,使不同群体的利益诉求基本上都能在既定的联邦制框架内获得解决,而轻易不需脱离这种体制,这就使这个国家是稳定的、可行的。由于存在多种联邦制理念,美国的联邦制国家视需要不断地进行改革,使这个国家是一个能够自我调整从而能够有效治理的国家,而这正是国家构建的重要目标。由于存在多种联邦制理念,美国也要为此付出一定的代价,在国家构建的过程中要经受一些挫折。更多还原

【Abstract】 There was complex interplay between institutions and ideas during the early America. The forming and evolution of Federalism reflected this characteristic of the political culture in early America. By researching founding generation’s federalism, this dissertation tries to probe into the state-building paths in early America. That is to say, this dissertation will focus on federalism, illuminates what kinds of state the American founding generation wanted to construct, and why they wanted or had to create this kind of state.Early American federalism sprung from the constitution debates prior to the War of Independence. In the colonies, except some conservatives, most doves and radicals, in order to protect the power of the general assemblies and the liberty of the colonists, rebutted the British government’s principles and policies. The doves and the radicals quested for the nature and location of sovereignty, and redefined the internal relations of the Britian Empire. Their ideas had important impacts on the founding generation, who had to meet with, probe into, and solve similar problems.American founding generation entered into state-building during the War of Independence. They had to make the war, settle differences among the states, moreover, they were short of practical experience of governing a state. They drafted and ratified the Articles of the Confederation, and created the Confederacy. In this Confederacy, the states explicitly retained their sovereignty, and managed their internal police almost without limit. The congress regulated the general and foreign concerns, but its existence and action depended on the states. This Confederacy had the outline of the federal system. During the confederation period, the founding generation tried to reform the confederation, make the congress have governing capacities, but they failed because of interest differences among the states and the limit of the confederate system.In the Philadelphia convention of 1787, the delegates from 12 states drafted a new national constitution. A new Federalism brought into being during the contest and negotiation among various ideas and interests. According to this federalism, the power of the federal government, like state governments, originated from the people, and exerted partial sovereignty for the people. State governments managed their internal matters, and had agency in the federal government in some aspects. The federal government concerned general and foreign objects, and had capacities of performing its functions.In the ratifying debates, the antifederalists attacked and rejected the new constitution, and argued that it tried to construct a consolidated government which did not suit for the United States. The federalists, during their refuting the antifederalists, more clearly expressed the federalism under the new constitution. Finally, all states ratified the new constitution, and the federalists’federalism obtained the superiority.There were many factors for the superiority of the federalists’federalism. Firstly, almost every founder admitted the need of reform, the federalists had a new constitution which reflected their federalism, while the antifederalists had no reform plan. Secondly, there were many innovations in the federalists’ federalism. The federalists obtained important breakthroughs with respect to the nature and location of sovereignty, the republican form of government, and the capacity of the federal government, therefore, made the federal government more stable and efficient. Thirdly, the new ratifying procedure was in favor of the ratification of the new constitution, and the superiority of the federalists’federalism. Of course, it is wrong to consider the construction of American federal state as the victory of the federalists. They merely had superiority during early American state-building. In the ratifying debates, there were so many antifederalists, whose agency and impact could not be ignored, and they had important effect on the federalists. The federalists’federalism had some shortcomings, changed itself, and always met with challenges before 1865.Therefore, there were various versions of federalism during the early American state-building. These versions impulsed the founding generation to create a state, which could accommodate and admit different groups and interests, by and large settle the interest claims from different groups within the federal system. So this state is steady and practical. Due to various versions, American federal state had to reform at different times, so it was an efficient state, which is the vital object of state-building. Just due to various versions, the United States had to pay some costs, and experienced some setbacks.更多还原