【作者】 吴红列；

【导师】 罗卫东；

【作者基本信息】 浙江大学 ， 经济思想史， 2014， 博士

【摘要】 古典政治经济学的形成和发展与亚当·斯密及其所处的十八世纪苏格兰启蒙运动的思想和实践有着极为密切的联系。然而一方面,由于十九世纪以来经济科学去道德化倾向的不断加深,经济学科学主义和实证主义的发展,使得古典政治经济学原有的伦理学和法学基础已不再受到关注。另一方面,经济学并未能够发展出一套完全脱离伦理学、法学和心理学的自足假设,市场经济所面临的现实道德困境日益加深。当我们在质疑和批评经济科学缺失道德关怀和脱离真实世界的同时,理应认真回顾经济学的发展历程,尤其是古典政治经济学形成的转型时期,从酝酿和产生古典政治经济学的重要思想渊源中寻求重新反思经济学的可能性。事实上,十七和十八世纪的欧洲大陆自然法和英国道德哲学是古典政治经济学形成和产生的重要道德伦理基础和思想脉络,而长久以来,这一时期的主要思想和人物在经济思想史上并未得到应有的重视和研究。本文尝试从“自然法理学”的角度出发,梳理出从卡米凯尔、哈奇逊、休谟到斯密的苏格兰自然法理学的发展脉络,强调斯密所倡导的政治经济学是基于十八世纪人性科学的一种学说,在其经济理论的背后始终蕴含着一条道德哲学和法理学的路径,并且正是从这样的思想价值体系出发,通过以“合宜性”为核心的同情共感理论,斯密完成了他对于经济、政治和社会的整体性思考和总结。并且,只有在十八世纪苏格兰思想传统的语境下来讨论斯密,才能帮助我们更好地认识到,在社会经济转型时期,古典政治经济学在向着社会科学发展和转化的过程中,斯密及其同时代的思想家们所作出的独特而具有开创性的贡献,并且帮助我们更好地理解和把握斯密思想和著作的内在本质和发展脉络,特别是政治经济学与传统道德哲学和政治思想的关联。论文由7个部分组成：第一章导论,评述和分析了国外学术界对于亚当·斯密思想以及苏格兰启蒙运动的研究,梳理了国内学者对这一问题的研究现状。提出从自然法理学角度来研究以斯密为代表的古典政治经济学的重要性和必要性,并提出了本文研究的基本思路。第二章苏格兰自然法理学的形成,通过自然法在苏格兰的传播和演变,论述了从普芬道夫、卡米凯尔到哈奇逊的思想发展脉络。在自然法与苏格兰道德哲学的结合过程中,卡米凯尔首先把自然法引入了道德哲学,并且开创了苏格兰自然法理学传统。哈奇逊延续和发展了这一传统,通过其道德感官理论对市民德性和自然权利进行了调和,并且在普芬道夫的自然法框架下作出了自己对于经济问题的思考和回答,而这对于斯密经济思想的形成和发展具有着重要的意义。第三章休谟的自然法理学批判,着重分析了休谟对自然法的批判性回应。他在认同关于自然状态的自然权利假说的同时,明确指出人并非天生就具有“善”的社会性,权利和义务并非源于自然,也非源于天赋的道德感,而是人为和习俗的产物。在休谟这里,自然正义之所以存在,是因为其有用性,效用才是道德的基本原则。休谟对于自然法的批判促使了苏格兰自然法理学传统发生了巨大的转变,影响着斯密进一步反思自然法学说和对文明社会自然进程的历史性思考,并把这些思考带入了他的政治经济学之中。第四章斯密的道德哲学理论,主要分析了以“合宜性”为核心的同情共感理论是斯密道德哲学的一个基本出发点,也是斯密构建不同于前人的自然法理学和政治经济学的基本理论前提。正是通过对哈奇逊和休谟理论的批判和反思,斯密进一步发展了苏格兰自然法理学传统,为新兴的商业社会及其政治经济学提供了一个正当的伦理基础。这种批判和反思既是封建社会向商业社会转型的时代需要,也是斯密意图表明一个有合宜性原则支持下的商业社会是如何形成和发展的,并且通过合宜性来进一步探求和解释一般社会规范的运行机理,其中就包括了法律和政府的一般原理,这也是《国富论》的主题所在。第五章斯密的自然法理学理论,主要讨论了通过对作为消极德性的交换正义的思考,斯密将合宜性理论从其道德哲学拓展到自然法理学和政治经济学,并且运用历史的考察,把经济活动和法律制度紧紧地联系在了一起。无论是经济活动还是法律制度都是社会的产物,它们是旁观者加以判断的社会生活的一部分,对于历史的旁观者来说,正义的法律就是适应社会的法律、合宜的法律,是对自然秩序和人性的尊重和维护。因此,对于商业社会而言,正义原则指导下的自然自由体系应当是人们行动的最佳准则,政治经济学指导下的立法者的任务,就是在交换正义的框架下,维护和促进这一“明显而又简单的自然自由体系”。第六章斯密的政治经济学,主要通过对斯密经济思想的讨论,指出在人的本性与财富的本性之间存在着相似的逻辑,它们同样受到交换正义原则的支配。斯密对于经济秩序的体系性描述,不仅从经验社会中抽象出了一个概念化经济模型,而且,这个模型在永恒不变的人性和自然秩序的关照下,始终被放置在经验历史的情景之下加以检验和调整其合宜性,并最终来证明,在经济发展和财富增长的过程中,最大的合宜性就是克服人类的自身偏见以遵循事物的自然进程。在斯密看来,一个合宜性的社会必然是具有同情共感的社会,同时也会是拥有共同富裕的社会,其最终目的是人类社会的进步与幸福。第七章余论,主要讨论了1776年之后斯密晚年的思想变化,对于财富与德性关系的重新思考,使得斯密晚年更为倾向于对德性的关注,强调一种斯多亚式的自制的重要性,也正是在此意义上,保障经济的安全和自由,促进财富与德性共同进步的,不是自由放任而是自然正义。这有助于我们来认真思考现代经济学所面临的道德困境,也是我们对于现代经济学的反思必须回到十八世纪,回到亚当·斯密的意义所在。更多还原

【Abstract】 There are very close links between the emergence of classical political economy and Scottish Enlightenment in the eighteenth-century. On the one hand, economics has tendency of de-moralization and tend to get more and more scientific and theoretic since nineteenth-century, the elements of ethics and jurisprudence to classic political economy have been ignored with the development of economics scientism and empiricism till today. On the other hand, however, self-satisfied economic hypotheses without the foundation on ethics, law and psychology still haven’t come into being, and if economics can’t face to the moral dilemma, what difficulties could it deal with? While we oppugn and criticize the moral absence of economics and its departure from the real world, we should trace back to the development of economics, and give reflections of all kinds of problems that those Scottish thinkers had discussed and debated in eighteenth-century, which is the age for the emergence and formation of classical political economy, and finally, to seek for the possibility of re-thinking economics by exploring the important theories which the classical economists, such as David Hume, Adam Smith, explained in their major works.In fact, the formation of classical political economy involved, at least, other two important resources besides economic thought:natural law prevailed in European continent17th to18th century, and British moral philosophy. However, the arguments and opinions haven’t attained corresponding regards and studies for a long time. For this reason, This doctoral thesis attempts to do some research on natural jurisprudence and re-read the books of Gershom Carmichael, Francis Hutcheson, and David Hume in this discourse. It is believed that the political economy suggested by Adam Smith is a doctrine based on the human science, and his economic theory is deeply implanted in the context of moral philosophy and jurisprudence; it is upon this whole system that Smith interprets the economic, political and social problems by the theory of sympathy--for Smith,"propriety" is a key word. Only in the context of Scottish Enlightenment to interpret Smith, can we fully understand what unique and creative contributions Smith and his contemporary made in the times of social transition,which is also good to better understand or grasp the essence and clues of Smith’s works, especially his jobs, i.e. links between political economy and moral philosophy.This discourse consists of seven chapters. Chapter One, the Introduction, comments the status quo of studies of Adam Smith and Scottish Enlightenment by the scholars abroad and home. It is pointed out that it’s necessary and important to study Smith’s political economy from the perspective of natural jurisprudence, and then, the basic thoughts are put forwarded for this researchChapter Two describes the formation of Scottish natural jurisprudence and the transmission of natural law in Scotland, and illustrates the sequence of thought from S. Pufendorf, G. Carmichael to F. Hutcheson. Carmichael is the first one who introduced natural law into moral philosophy during the combination of them, and began to teach natural jurisprudence in Scotland. Hutcheson, who followed Carmichael and carried on this subject, reconciled the civic virtue for natural rights, and gave reflections of economic matters in the frame of natural law of Pufendorf. All this is very significant for the formation of Smith’s economic thought.Chapter Three discusses Hume’s thought on natural law, and puts emphasis on his criticism. Hume argued definitely that man hadn’t had the natural "virtual" sociability, rights and duties didn’t derive from nature, nor the intrinsic moral sense, but the consequences of custom. For Hume, utility is the reason why natural justice happened, and utility is the mere resource of morality. This criticism on natural law by Hume results in a great change to Scottish sequences of natural jurisprudence, and influences Smith’s further reflections on the doctrine of natural law and the natural progress of civil society, which are represented in his political economy.Chapter Four analyses Smith’s moral philosophy. It is suggested that sympathy--to which "propriety" is crucial-is a starting point, and also a theoretic hypothesis that Smith applied to establish a different kind of natural jurisprudence and political economy. Upon reflecting and criticizing the doctrines of Hutcheson and Hume, Smith enriched Scottish natural jurisprudence and provided a proper sort of ethics to his political economy and the new rising commercial society. These ideas manifest the intellectual men’s reflections of the great social transition from traditional to commercial society. And propriety is the key to the all. Smith intended to prove how a commercial society could form and develop supported by propriety, and used this rule to give further interpretation of the operating mechanism of general social rules, included by the general rules of laws and governments which are just the topic of Wealth of Nations.Chapter Five is about Smith’s natural jurisprudence. It is asserted that Smith applied the doctrine of propriety in his moral philosophy to natural jurisprudence and political economy while he regarded commutative justice as negative virtue, and associated economic actions with laws through his re-examination of history. Either economic actions or the laws, are the social consequences, they are one part of social life which spectators judged. For the spectators, justice is proper laws and suitable to the society; justice is a guard to natural orders and human nature. On this account, for every man in the commercial society, as long as he does not violate the law of justice, should pursue the system of natural liberty; for the legislator, his duty is to maintain and promote this "distinct and simple" system; that is the theme of political economy.Chapter Six is on Smith’s political economy. It discusses Smith’s economic thought and finds the similar point between human nature and the nature of wealth. That point is, both of them are dominated by the rule of commutative justice. Smith abstracted a generalized economic mode from the real society by systematically describing the economic orders. This mode is always examined and regulated by placing it in the historical situations. At last, it has been proved that in the progress of economic development and the increase of wealth, the most propriety is to obey the rule of natural progress by overcoming the human prejudice. For Smith, a proper society is sympathetic one, and also an opulent one; its aim is the improvement and happiness of human being.At the end of this thesis, it discussed the Smith’s ideological change after the year1776. In his later years, Smith re-thought the relations between wealth and virtue and put more attention to the latter, and he emphasized a stoic self-command. In this connection, it is concluded that, what can protect economic safety and liberty and promote the increase of wealth and improvement of virtue is not laissez-faire but natural liberty. The conclusion helps think seriously of moral dilemma which modern economics involves. That’s the point which should be traced back to eighteenth-century, back to Adam Smith when we re-think modern economics.更多还原