【作者】 游腾飞；

【导师】 谭融；

【作者基本信息】 南开大学 ， 中外政治制度， 2013， 博士

【摘要】 美国联邦制是指由联邦政府和州政府共同组成并分享权力的制度。从美国建国伊始,关于联邦政府与各州之间“合理”分配权力、职能和责任的争论从未停止。美国联邦政治的发展过程中,联邦政府在政策过程中日益居于主导地位,美国的纵向分权体制出现集权化的趋势。然而,权力的集中并不能真正克服美国联邦主义的天然“缺陷”,即分散的政治结构常常导致政策的不一致性和政策实施过程中的低效率、以及联邦资源分配的不平衡所造成的地区间矛盾,使美国的联邦政治遭遇新的危机。本研究运用历史制度主义的理论方法,追溯美国联邦制纵向权力关系的历史演变和发展脉络,从司法、财政和行政三个方面对之进行解读。美国联邦制是建立在美国政治传统与文化基础上的“秩序模式”。美国独有的自然生态环境、北美殖民地时期政治实践、地方自治传统和民情是美国联邦主义思想产生的渊源。宗教圣约观、社会契约论、限权理论和主权可分论成为美国联邦主义的思想来源。美国联邦制在形成过程中有其特有的制度变迁和发展路径,表现于美国联邦制历史演进的不同时期。美国的联邦主义政治以联邦宪法为基本依据,限定了美国联邦政府和州政府所拥有的权力,包括固有权力、列举权力、暗示权力和共享权力。这些权力在不同层级权力主体间的相互关系,形成了美国联邦制下的复合性宪政结构、以及复合行政运行机制和复合司法体系。美国联邦制的纵向权力关系历经双重联邦主义、合作联邦主义和新联邦主义。1789年至1865年是美国双重联邦主义政治时期,这一时期州政府较之联邦政府拥有着更多权力,强调各州宪法的“保留权力”和对联邦政府权力的限制,联邦政府权力的扩大受到各州强有力的抵制。1860年至1930年美国的双重联邦主义受到挑战,联邦主权和高于州的权力地位为联邦最高法院所确认,联邦政府在金融监管、财税征收和州际贸易管理等领域权力得以延伸。1930年以后,美国的联邦政治进入合作联邦主义时期,罗斯福“新政”时期联邦政府开始大规模地干预和调节社会经济生活。联邦政府的权力扩张在此后约翰逊的“伟大社会”政策中达到顶点。对社会经济的大规模干预导致联邦财政支出急剧膨胀和联邦政府的巨额财政赤字。尼克松上台后,开始推行以联邦和州分享税收为中心的新联邦主义,努力恢复联邦政府和州政府之间的权力平衡关系,力图在二者间建立一种新的伙伴关系。里根上台后,进一步推行“新联邦主义”,采取“整体拨款”和“税入分享"等政策,力求“还权于州”。此后的几任总统延续了这一政策。奥巴马上台后,恰逢美国金融危机,他重拾“新政”政策,大幅度提升联邦政府对金融领域的援助力度,直接干预社会经济,再次打破联邦政府和州政府间权力的平衡,使美国联邦制纵向权力关系再次呈现权力向联邦政府大幅度倾斜的趋势。美国自建国以来,联邦政府和州政府间权力关系呈周期性变化、权力逐渐向联邦政府集中、保持二者间权力相对平衡性等特点。影响此种权力关系的主要因素包括：美国政治文化的二元性、美国的复合性权力结构设计、美国的政党政治、以及美国人的政治理想与其政治体制间的裂痕等。分析美国联邦制纵向权力关系的基本理论框架为美国联邦复合权力结构理论,包含三个维度：第一,美国联邦制设计的基本思想,即美国联邦制中所蕴涵的保护州权、保护公民自由权利和保护少数人权利的理论思想,这一美国宪法的根本原则保证了美国联邦制纵向权力关系的稳定性。第二,复合性权力结构设计——复合性宪政结构、复合性行政运行机制和复合性司法体系的设计——以及三者间权力关系结构设计的制度性思想内涵,即美国分权与制衡的宪政思想,这一基本思想保证了美国纵向权力关系的相对平衡性,防止联邦政府权力的过度集中和州政府权力的过度分散。第三,美国联邦制纵向权力关系的实际运行机制及内涵,其中不仅限于联邦宪法所规定的联邦政府的列举权力,还包括在政治实践中形成及由司法判例所确定的原则和延伸的权力。美国联邦政治中,存在多重保障机制,这种机制不仅维护了联邦和州政府权力关系的平衡,并且在维护美国联邦政治稳定发展过程中实现了对公民基本权利的保护。更多还原

【Abstract】 American federalism is defined by the federal government and state governments together to form a power-sharing system. Since the beginning of the founding of the United States, the controversy that how to distribute powers, functions and responsibilities between the federal government and the states reasonably has never stopped. In the development process of U.S. federal politics, the federal government becomes dominant in the policy process increasingly. U.S. longitudinal decentralization system appears centralization trend. However, the concentration of power can not really overcome the natural defects of American federalism that decentralized political structures often lead to the inconsistency and inefficiency of policy and inter-regional conflicts caused by uneven distribution of federal resources. U.S. federal politics experience new crisis. By using the method of historical institutionalism, this paper tries to trace the historical evolution and development of federal longitudinal power relations, and present comprehensive interpretation on federal longitudinal power relations, from three analysis perspectives of judicature, finance and administration.American federalism is a kind of "order mode" which based on the American political tradition and culture. America’s unique natural environment, the North American colonial political practices, traditions and local self-government sentiments is the origin of the Federal ideology. Religious concept of covenant, social contract theory, the theory of limiting power of government and sovereignty can be divided are the theory sources of American federalism. American federalism in the formation process has its unique path of institutional change and development which reflected in the different periods of historical evolution of American federalism.Federal Constitution of the United States which limits the power that includes inherent powers, enumerated powers, implied powers and shared powers of federal and state governments is the fundamental basis of U.S. federal politics. These powers’ relationships among the different levels of power subjects form a composite constitutional structure, and complex administrative operation mechanism and complex judicial system. U.S. federal vertical power relations go through dual federalism, cooperative federalism and the new federalism.1789～1865is the period of dual federalism. During this period, state government had more power than the federal government and emphasized the "reserve powers" of state’s Constitution and the restrictions on the powers of the federal government. The expansion of federal government power was resisted by states strongly. From1860to1930, the dual federalism was being challenged. Federal power and its supreme power position were recognized by the Supreme Court. The federal government’s power in the field of financial regulation, taxation collection and interstate commerce management was extended. After1930, U.S. federal politics came into cooperative federalism period. The federal government began large-scale federal government intervention and regulation of social and economic life in Roosevelt’s "New Deal" era. After Johnson’s "Great Society" policy, the federal government’s power expansion reached its peak.Massive intervention on the social and economic resulted in rapid expansion of federal spending and the federal government’s huge budget deficit. After Nixon took office, the federal government began to implement the new federalism which focus on the federal and state tax revenue sharing and restore the balance of power relations and try hard to establish a new partnership between federal and state. After Reagan came to power, he tried to further push the "new federalism". The federal government adopted "block grant" and "tax revenues sharing" policies to return powers to states. This policy has been continuously extended since then. After Obama took office, he regained the "New Deal" policy when U.S. financial crisis broke out. The federal government greatly enhanced the federal government’s aid efforts in the financial sector and direct interfered in social and economic that broke the balance of power between Federal and state governments once again. The federal government’s interference resulted in the U.S. federal longitudinal power relations showed a significant trend that is powers tilted to the federal government once againSince the founding of the United States, the federal longitudinal power relation shows the trend of expanding and reflects the characteristics of cyclical development and relative balance. The main factors affecting these power relations include: American political duality culture, American composite power structure, American party politics and a rift between American political ideals and its political system.The basic theoretical framework to analyze American federal longitudinal power relations is the United States federal complex power structure theory which includes three dimensions. The first dimension of the theory framework is study the core connotation of system design that is the formation of federal socialist political culture tradition and thought connotation which are protection of states’rights, protection of civil liberties and the protection of minority rights. The fundamental principles of the U.S. Constitution ensure the stability of American federal longitudinal power relations; the second dimension of the theory framework is study the federal system design that is the research of complex power structure includes a composite constitutional structure and complex administrative operation mechanism and complex judicial system. Its institutional connotation which ensure relative balance of American federal longitudinal power relations and prevent excessive concentration of the federal government’s power and excessive fragmentation of the state governments’ power is U.S. constitutional ideas of separation of powers and checks and balances;The third dimension of the theory framework is study the actual operating mechanism and implications of federal longitudinal power relations, which is not limited to the enumerated powers of the federal government in Federal Constitution, but also include the principles shaped by political practice and judicial precedents and extending powers. There are many multiple security mechanisms in federal politics, which is not only maintain the balance of power relations between the federal and state governments, but also achieve the protection of fundamental rights of citizens in the process of maintaining stability and development of the U.S. federal politics.更多还原