【作者】 丁鹏；

【导师】 韩毅；

【作者基本信息】 辽宁大学 ， 经济史， 2008， 博士

【摘要】 黑人作为美国领土上的独特种族一直以来都是社会学家、历史学家、法学家以及经济学家所关注的对象。从1620年第一批黑人到达美国本土至20世纪60年代的民权运动,美国黑人的法律地位经历了从奴隶到自由人,再到权利受明确保障的美国公民的巨大变化。历史学领域关于美国黑人斗争史的学术成果非常丰富,法学领域对于涉及黑人权利宪法保障的判决及立法亦有诸多研究成果,经济学领域对美国黑人奴隶制度进行经济分析的成果也很显著,但是从新制度经济学视角利用制度变迁理论对美国黑人权利宪法保障制度演变问题进行研究的却很稀少,因此本文选择这一新视角对美国黑人权利宪法保障制度演变问题进行了研究。论文以美国黑人争取自身解放、寻求平等权利的历史发展为经,以新制度经济学中制度变迁理论和路径依赖理论的分析方法为纬,以美国国会和联邦最高法院关于黑人权利的宪法保障制度为纲,将历史、法学、经济学结合起来,分析美国黑人权利宪法保障制度变迁的动因和变迁轨迹。这种研究不仅自足了美国黑人问题的研究,而且还有助于开拓法经济学研究的新领域,促进经济史与法律史的进一步交融。论文由序言、主体和结论三大部分组成。序言部分主要介绍本文的研究对象、国内外研究现状、研究意义以及本文重要的理论分析框架。主体部分分为四章,分别阐释不同历史阶段美国黑人权利宪法保障制度状况、变迁动因及其变迁轨迹。第一章:殖民地时期至美国内战前(1620—1860),美国黑人权利宪法保障制度的缺失阶段。本阶段南方奴隶主阶级与北方资产阶级为了追逐各自的潜在利润,在牺牲黑人权利的前提下不断达成妥协,使得奴隶制度在美国领土迅速蔓延,奴隶制度的存在是黑人权利宪法保障制度缺失的根源。由于本阶段黑人群体谈判力量十分弱小,南、北方利益集团控制美国政府,他们的自利行为与当时社会对黑人权利冷漠的意识形态使美国宪政制度陷入了僵化、低效、锁定的路径依赖,黑人权利没有被当时美国的宪政制度内在化。第二章:内战及战后重建阶段(1860—1877),美国黑人权利宪法保障制度的生成阶段。内战以强制性变迁的方式打破了美国僵化的宪政制度,黑人从此成为美国公民,得到了法律上的保障。本阶段美国国会在共和党的主导下不断供给适应社会需要的制度安排,使黑人权利的保障制度形成了一个崭新的体系,在立法上呈现不断进化的变迁。但是由于利益集团之间的妥协、社会主体意识形态的刚性以及南方前奴隶主残余势力的抵制,在司法领域重建宪政制度并没有完全发挥效力,呈现锁定性的路径依赖。第三章:重建结束后至罗斯福新政前(1877—1933),美国黑人权利宪法保障制度的僵化阶段。在重建宪政制度的保障下,美国经济获得长足的发展,逐步从自由资本主义过渡到垄断资本主义。美国经济发展的同时带来了很多社会问题,其中黑人问题尤为严重,重建宪政制度不能适应快速发展的社会。美国利益集团的逐利行为以及当时社会的意识形态使宪法确认保障的黑人权利在种族歧视氛围浓厚的美国所剩无几,宪法保障制度陷入了僵化的锁定性路径依赖。第四章:罗斯福新政至20世纪民权运动(1933—1973),美国黑人权利宪法保障制度的新生阶段。罗斯福新政对美国宪政制度的变迁产生了良好的激励作用。在本阶段黑人群体迅速上涨的谈判力量有效地制约了美国政府的行为选择,美国社会意识形态发生渐进变化,美国政府不断出台切实有效的制度安排保障黑人的权利,黑人权利宪法保障制度产生适应性的进化演变,形成了民权史上的第二次重建。论文的第三部分是结论,通过对美国黑人权利宪法保障制度历史演进,动因与轨迹的分析,可得出如下结论:第一、黑人权利宪法保障制度是在美国三权分立且相互制衡的特殊政体中进行演变的,可以说美国特殊的政体孕育了该制度变迁的基本框架;第二、理性社会主体对利益的追求是推动美国黑人权利宪法保障制度变迁的原始动力;第三、意识形态短期内的刚性与长期的缓慢变化是影响美国黑人权利宪法保障制度变迁的重要因素;第四、从整个美国黑人权利宪法保障制度的发展历程来看,该制度变迁呈现典型的路径依赖特征。更多还原

【Abstract】 Blacks as a unique race on the territory of the United States has been the object which sociologists, historians, jurists and economists concerned about. From 1620 when the first group of blacks arrived in the United States to the 1960s when civil rights movement happened, the legal status of African-American experienced tremendous changes from slavery to freedom again to the right American citizen whose rights had been safeguarded explicitly. Academic achievements about the history of the African American struggles are very rich in history field. There are many research results in legal field which involves the researches to the legislation and the constitutional cases about African American. There are also many significant results about the economic analysis of African American slavery in the economic field. But it is very scarce to research the question of the Constitutional protection system evolution about African-American rights with new institutional economics view using the theory of institutional change. Therefore the thesis chooses this new view to research the question of the Constitutional protection system evolution about African-American rights. The paper takes the historical development of the African-American for own liberation and the equal rights as the warp, takes the analysis method of the institutional change theory in new institutional economics as the latitude, takes the United States Congress and the federal Supreme court’s institutions about the African-American as the outline, and then combines the history science, the legal science, and the economic science to analyze the dynamic factors and the changed path of the constitutional protection system about African- American rights. This kind of research will help develop the new research areas of law and economics and promote the further integration of the economic history and legal history.The thesis is composed by three parts : the preface, the main body and the conclusion. The preface introduces the object of research, status quo of domestic and foreign research, significance of the research and the important theoretical analysis frame of this thesis. The main part is divided into four chapters to interpret the status quo, dynamic factors and the change path of the constitutional protection system about African American rights in different historical periods respectively.The first chapter: from the colonial era to the former of American civil war (1620-1860), the deficiency of the constitutional protection system about African American rights. In this period , the South slave-owner class and the North bourgeois class achieved compromises unceasingly in order to pursue their own potential profits at the expense of the African American rights, their behavior made slave system spread rapidly in American territory, the existence of slave system is the cause of the deficiency. As African American group’s negotiations power was very weak in this period , South and North interest groups controled American government, their self-interest behavior and the indifferent ideology to African Americans caused the constitutional protection system about African American rights into a rigid, inefficient and locked path dependence. At that time, the United States did not internalize the African American rights into their constitutional system.The second chapter: from Civil war to postwar reconstruction (1860-1877), generation stage of the constitutional protection system about African American rights. The civil war broke the rigid constitutional system by the compulsory vicissitude’s way , the blacks become into American citizens and obtained protection in legal. In this period the United States Congress supplied adapt institutional arrangements unceasingly under Republican Party’s leadership, which caused the constitutional protection system about African American rights to form a brand-new system, it presented evolutional change unceasingly in legislation. However, as a compromise between interest groups, the rigidity social ideology and pre-slave-owner remnant force’s resisting, the constitutional protection system about African American rights did not fully take effect in area of justice, showing the locked path dependence.The third chapter: from the end of reconstruction to the former of Roosevelt new deal, (1877-1933), rigidity stage of the constitutional protection system about African American rights. Under the reconstruction constitutional system’s protection, American economy obtained considerable development, transited from the non-monopoly capitalism to the monopoly capitalism gradually. The development of the U.S. economy had brought many social problems, the blacks’ problem was particularly serious, the reconstruction constitutional system could not adapt to the rapid development of society. At that time, the interest group’s advantage behavior and the social ideology deprived African American rights which protected by the constitutional system in the thick racial discrimination atmosphere, the constitutional protection system fell into locked path dependence.The fourth chapter: from Roosevelt new deal to the 20th century civil rights movement (1933-1973), newborn stage of the constitutional protection system about African American rights. The Roosevelt new deal had a good drive function to the American constitutional system’s change. At this period, the blacks group’s negotiations power rose rapidly, which effectively restricted the choice of American government, the United States had a gradual change in social ideology, and the government offered effective institutional arrangements to protect the blacks’ rights unceasingly, the constitutional protection system about African American rights had evolutional changes and formed the second reconstruction in civil rights history.The third part is a conclusion, we may draw the following conclusion by analyzing the historical evolution、dynamic factors and the change path of the constitutional protection system about African American rights.First, the constitutional protection system about African American rights evolves in a special regime , in which the powers are separate , they check and balance each other. It can be said that special regime in American carries on the change of the constitutional protection system about African American rights.Second, the primitive force for the change of the constitutional protection system about African American rights is the rational social body’s pursue to the benefit.Third, the social ideology changes rigidly in short-term and changes slowly in long-term ,which is the important factor for the change of the constitutional protection system about African American rights.Finally, the constitutional protection system about African American rights presents a typical characteristics of path dependence observed from the entire course development of the system .更多还原