【作者】 任海涛；

【导师】 何勤华；

【作者基本信息】 华东政法大学 ， 法律史学， 2011， 博士

【摘要】 狭义“政治法”是指由宪法学界所称的“宪法性法律”1构成的法律部门,广义“政治法”是指由宪法、行政法和“宪法性法律”三部分构成的法律部门。承认“政治法”同时具有狭义和广义两个层次的含义,就是综合的“政治法”观。“政治法”研究的核心是政权根本问题、民主、限制权力、保护权利四方面内容。成熟形态的“政治法”现象是近代西方才产生的,但是具有“政治法”现象特征的类似规则、实践活动和思想古已有之。在原始社会、奴隶社会(古代近东地区、古希腊和古罗马时期)、封建社会(中世纪),都出现过不成熟形态的“政治法”规则、实践活动和思想萌芽。因此,“政治法”现象有成熟形态和不成熟形态之分,这就是“政治法”形态论。中国春秋战国时期的社会条件为“政治法”思想萌芽的产生创造了适宜的土壤。在先秦诸子的思想中,可以发现许多有关“政治法”核心内容的思想萌芽,这就是本文研究的中心。秦汉之后,中国进入了专制主义中央集权制社会,像先秦“诸子百家”那样思想活跃的盛况再没有出现过,后世零星出现的“政治法”思想萌芽都是对先秦“政治法”思想萌芽的继承和发展,明清启蒙思想家的思想也是从先秦“政治法”思想萌芽中吸取了大量养分。因此,研究先秦诸子思想中的“政治法”思想萌芽能够反映出中国古代“政治法”思想萌芽的基本面貌,是该研究领域应该首先解决的问题。“人性善恶”的问题关乎“政治法”思想的许多方面,值得研究。先秦诸子思想中出现了丰富的“人性论”思想萌芽,孔子思想中最先产生了“人性善”思想萌芽,孟子将“人性善”思想进一步理论化。荀子首先提出“人性恶”思想萌芽,而其学生韩非子将“人性恶”思想理论化。这些内容丰富、价值多元的人性论思想,都与各家各派的治国方略紧密相联。人性既有善的一面,又有恶的一面,善的一面加以合理引导可使人步入良好轨道。人性恶的一面,就要求我们要对所有的权力行使者制定完善的监督制度,避免因为过于信任“人性善”而失于防控。通过比较可以发现,东西方的“人性论”思想并非水火不相容,如果能够形成良好互动,都可以为研究“政治法”及其思想提供助益。政治权力合法性何在?政治权力如何产生、如何变更?什么样的治国方略才是最好的治国形式?这些是“政治法”思想需要回答的问题,先秦诸子思想中已经出现了对这些问题的思考。面对“旧的社会秩序失范、新的社会秩序尚未建立”的局面,诸子百家著书立说阐明各自主张。对现实政权组织形式进行否定的,有老子的“无为而治”和庄子的“无政府主义”思想;对现实政权组织形式提出改良建议的,有儒家的“德治”、法家的“法治”以及墨家的“代表平民利益”的治国主张。《吕氏春秋》一书兼容并蓄,在综合以上各家思想的基础上提出了“新德治”理论,该理论确实对以前的思想进行了有益的扬弃。中国先秦时期不可能产生现代意义上的“民主”思想,但是这个时期“民本”思想并非与民主思想完全对立。发展现代民主事业,我们需要从更加宽广的视野中来吸取“民本”思想中的精华。“民主”作为一种与“专制”相对的国家形态,包括三个内涵,即价值理念、制度规范和操作程序,其中价值理念是决定性因素。不管哪种形态的现代“民主”,其首要的价值理念应该是“对人的价值的发现与尊重”,即把人当做人来看待,否则就不可能有真正的民主。先秦儒家早在两千多年前就提出尊重人的价值、把人当作人来看待的一系列观点。人民与政府有两个基本关系,第一层关系是政府的产生、决策、行动应该符合“民意”,第二层关系是政府一切决策与行为都应该符合“民利”,“民本”思想在这两方面都有所体现。其中第一层关系中还包含了人民对政府“监督”和政府诚信问题。中国文化十分强调对传统秩序的尊重,这样更有利于维护社会的稳定。“民本”与“尊君”虽有矛盾,亦有沟通,从尊君角度来讲,也可以给我们今天研究“政治法”问题提供思路上的(而不是具体制度上的)启示。此外,中国传统文化重视和谐、注重执政者的道德品质的思想也能为我们思考“政治法”问题提供有益借鉴。西方民主是以“个人主义”为基石,中国“民本”思想是以“集体主义”为根基,二者迥然相异。西方民主理论及实践与中国“民本”思想各自内部都有其不可克服的缺陷,二者相互借鉴融合,才是全人类“民主思想与民主制度”的最终走向。先秦“民本”思想中提供的关于集体主义(社群主义、社团主义)的思想,为人类民主思想的发展提供了宝贵财富。成熟有效的“限制权力”思想是近代西方的产物,但是先秦诸子思想中已经出现了限制权力的思想萌芽。限制权力既包括对最高权力的限制,又包括对其他权力的限制。先秦时期,虽然没有产生限制最高权力的有效制度,但是,已经产生了限制最高权力的思想。春秋战国时期,统治者连年混战造成民不聊生,而各级统治者残暴人民、鱼肉百姓的行为也比比皆是,于是诸子各家的言论中产生了许多“限制权力”的思想萌芽。这些思想萌芽虽然不能从根本上解决专制和权力滥用的问题,但是,其对于权力限制问题的思考是具有积极价值的。对权力的限制既可以通过和平方式来实现,也可以通过暴力革命方式来实现,前者是常规方式,后者是特别方式。保护人民权利的思想萌芽也是先秦诸子著作中重要的内容。保护人的权利前提是要承认“人”的主体地位,先秦各家分别出现了对“神”的价值的批判、对“个人”价值的肯定、对“人民”主体性的思考以及对“民为国本”的思考。这些思想为思考“保护人的权利”问题奠定了坚实的理论基础。在此基础上,各家都提出了本学派“保护权利”的思想体系。更为可贵的是,这个时期还产生了有关保护人民平等权、自由权、民主权、生命权的“政治法”思想萌芽。先秦诸子传世文献中丰富的“政治法”思想萌芽并不是凭空产生的,它们从前代思想中继承了非常宝贵的思想精华,它们在后世也并非完全销声匿迹。它们对后世的人性论思想、平等思想、民主思想、保护权利思想和限制权力的思想都产生了重要影响,许多思想在明清启蒙思想家那里得到了极大发挥。同时,如果抛开成熟形态下“民主、限权、保权”的刻板印象,而从这些制度的最本质要求来看,先秦“政治法”思想萌芽对后世“民主、限权、保权”相关的政治和法律制度也产生了影响。综上,对于先秦诸子“政治法”思想萌芽的全面研究能够反映中国古代“政治法”思想萌芽的基本面貌。而对于中国古代“政治法”思想萌芽的研究是具有开创性意义和价值的,这个研究刚刚开始,还需要不断完善。更多还原

【Abstract】 The Law of Politics, in a narrow sense, is a legal department confined only to Constitutional law. While from a broad perspective, it includes not only the Constitutional law, but also the Constitution and Administrative law. With the above two concept could come easily the so called Comprehensive understanding of The Law of Politics.The core of Law of Politics includes four parts as following: the fundamental issues related to state power, the problem of limiting the power, ensuring the basic rights of citizens as well as the democratic decisions. It has been widely recognized that the mature pattern of Law of Politics and its thoughts emerged from the modern West. But the similar regulations, practice and theory which could be compared with Law of Politics can be traced back much earlier. During the primitive society,the slave society and the feudal society,there has been such kinds of elements with a less mature pattern. In this sense, the Law of Politics could be separated into mature and less mature pattern, which is the so-called Patterns Theory of Law of Politics. The social environment in pre-Qin times has provided good conditions for the development of the early thought of Law of Politics.Lots of rudiment of Law of Politics ideas could be found in the works of various schools of thought and their exponents in pre-Qin times, which is exactly the core of this thesis. China has become an absolutism society since Qin Dynasty and the blooming time of A hundred schools of thought contending in Spring and Autumn has ended thereby. The later Law of Politics theory was inherited from the rudiment in Spring and Autumn, especially true for philosophers in Ming and Qing Dynasty. Therefore, the research of the works of various schools in Spring and Autumn, is quite meaningful for the theoretical framework of Law of Politics in Ancient China.The theory of human nature is an important issue for the research of the thought of Law of Politics, which is worthy to be emphasized on. In Spring and Autumn time, there was no consensus among philosophers. It firstly came from the Confucius thought that the humanity is good, and got development from Mencius. On the other hand, Hsun Tzu thought that the humanity is evil, and his student Hanfei advanced the theory. All of these theories on humanity in Spring and Autumn tried to serve for state-governing wisdoms. In fact, humanity has two faces in terms of good and evil. With the good sides, it will be useful to lead people to better, and with evil,it will therefore to remind of devising effective system to limit power, in case of losing control. After good comparisons of the human nature theory between West and Ancient China, we find that they can draw lessons from each other. This kind of research is helpful for the study of Law of Politics.Where is the legitimacy of the political powers? How do the powers come into existence and evolve? Which is the best state-governing way? All of these could find answers in Law of Politics. Concerned with the social environment that the old social order is losing control while the new one has not been established yet, A hundred schools in Pre-Qin Dynasty have discussed these issues and brought up different theory of governing society, in which some hold negative opinions towards the existing ruling ways, such as letting things take their own course without interference from governing from Taoism, anarchy from Zhuang Zhou, while some suggested improving governing ways, such as Confucianism, Legalism and Mo Tzu thought.Lv Shi Chun Qiu, based on the above ideas, constructed a New Theory of Ruling, with a way of developing what is useful and discard what is not.The democracy theory with a modern sense could not appear in Pre-Qin Dynasty. But People-based thoughts in Pre-Qin Dynasty did not contradict the theory of democracy.There is a need to draw lessons from People-based thoughts in Pre-Qin Dynasty for developing modern democracy.Democracy as a opposite of autarchy has three different meanings: the core value, the rules and the procedure, in which the core value is the decisive factor. The top sign of all kinds of democracy is the concept Taking Human Beings as the Essential. Confucianism in Pre-Qin Dynasty brought up a series views which took Human Beings as the Essential. There are two different relationships between the government and People. on the one part, the emergence, decision and deeds should fit in with wishes of people.On the other part, all the decision and deeds of the government should accord with interest of people. People-based thoughts contain those two aspects. Furthermore, the first part also contains supervision on the government and the integrity of the government.The Chinese culture put great effort on social order, which is good for social stability.Although there is contradiction between ideas of People-based thoughts and obey monarchy’commands, some inspiration also could be found to study the Law of Politics.Moreover, the traditional Chinese culture think highly of harmonious order and the morality of government officials ,which also is beneficial to the Law of Politics study.The theory of western democracy base on individualism, while, People-based thoughts in Ancient China base on collectivism.Both of them have its own flaws which can not be overcome by itself. Only learning from each other can meet the final ends for all.The collectivism from People-based thoughts in pre-Qin times has provided great value for the development of the democracy.The mature thoughts of limiting powers came out in modern times, but the rudiment of limiting powers could be found in the works of the schools in pre-Qin times.Limiting powers not only includes limiting the uppermost power but also limiting common powers.In the pre-Qin Dynasty, there were not effective rules to limit uppermost power, but, the thought of limiting uppermost power could be found.During the Spring and Autumn Period, the war among vassals made the people homeless. And all kind of officeholders made the people poorer and poorer. Facing this kind actuality, all the schools brought up different theories of limiting powers.All this rudiment of limiting powers could not emit the phenomenon of autocracy and misuse of power, but all this considerations were valuable. The ways to limit powers could be a peaceful one or a violent one, and the first is the common way and the second is special way.The rudiment of the thoughts of protecting people’s rights could be found from the works of the schools in pre-Qin times.The premise of protecting people’s rights is Taking Human Beings as the Essential. Most ideologists in pre-Qin times thought that human beings is more valuable than supernatural beings, and some ideologists believed in that people but not the monarch is the host of the state.All of these thoughts has furnished firm ground for protecting people’s rights.Every schools brought up its own theory.Furthermore, the thoughts of equality, liberty, democracy, against-war and protecting life could also be found in the works in pre-Qin times.So plentiful thoughts of the Law of Politics were not out of the void, these thoughts succeed quite a lot ideas from predecessor and affected later generations.All these thoughts affected greatly the development of theory of human nature, equality, democracy and protecting peoloe’s rights, some of which were achieved in Ming dynasty and the beginning of Qing dynasty.Besides, if we can emit the stubborn impression of the mature form of the Law of Politics in modern times, it will not be too difficult find its influence on the system of protecting rights, limiting powers and democracy.In a word, through the research of the rudiment of the thought of Law of Politics in pre-Qin times, the fundamental framework of the rudiment of the thought of the Law of Politics in Ancient China would come out. However, since this kind of research is just a beginning, and there is a long way to go.更多还原