【作者】 李学迎；

【导师】 盛洪；

【作者基本信息】 山东大学 ， 政治经济学， 2009， 博士

【摘要】 人类的整个历史充满了形形色色的不宽容灾难,资源的稀缺与人们的欲望无限之间的矛盾无疑是造成这些不宽容灾难的重要原因,这些灾难造成了人类的生命和财产等的巨大损失。面对不宽容的灾难,人们却也从未停止对宽容的追求,求得社会的宽容与和谐是人类社会的一个古老而常新的理想。无论是在人类的早期文化还是近现代文化中,我们均可以发现宽容思想,而最能代表文化和文明的无疑是宗教,这里的宗教当然也包括图腾和禁忌等形式的原始宗教。在人们对宽容的探求中,逐渐形成了古典宽容、宗教宽容和现代宽容。存在于早期文明或者今天传统文化中的宽容很明显会带有不同于现代文化的古典特征,藉此被称作古典宽容,古典宽容主要是道德态度上的宽容,是非正式制度的宽容,依托宗教等传统文化而存在。而现代宽容是作为正式制度的宽容,依托法律等现代正式制度而存在。宗教宽容则是指以世俗法律保障人们的宗教信仰自由,其旨在消除宗教信仰差异所造成的不宽容灾难。由于宽容对于人类的和谐与幸福具有重要积极意义,它成为当今学术研究的热点,其相关研究几乎涉及所有社会科学学科,其中的某篇具体文章就可能涉及到多学科知识,同时还可能要论及宽容从古典到现代的多个阶段。当今多学科的宽容研究集中在了以下几个方面:1、挖掘以儒教为主的中国传统文化中的宽容思想。2、探寻以基督教为代表的世界传统文化中的宽容思想。3、关于宗教裁判所成立后的宗教暴力和新教改革后的宗教战争等给西方基督教社会造成的灾难的宗教宽容研究。4、多学科视角下的以保障人权等为核心内容的现代宽容研究。5、宽容在现实生活中的运用和亲身体会。6、宽容的界限和标准等等。其中,现代宽容是多学科研究的重点。宽容研究已经是当今多学科的科研热点,但依然存在一些薄弱研究环节,而这些薄弱环节既具有较强的现实意义,也具有较强的理论意义。例如,1、缺乏对儒教宽容和基督教宽容的比较分析。由于具有较强的路径依赖性,传统文化尤其是主流传统文化对今天的社会生活的各个方面依然具有重要影响。儒教宽容和基督教宽容分别依存于中西方的主流传统文化儒教和基督教,毫无疑问,它们也依然分别对于今天中西方的社会生活具有重要影响,而它们之间的差异也可能就是中西方不同发展路径和现状的解释变量,这就需要对儒教宽容和基督教宽容进行比较分析。2、缺乏对于宽容的历史发展历程的系统分析。很多学者对宽容做了古典和现代的分类并粗略地谈到了两者的不同,但却没有系统阐述宽容从古典到现代的发展历程,也就没能建设性地揭示出古典宽容、宗教宽容和现代宽容的不同特点。另外,古典宽容依然是现代社会的宽容的重要组成部分,它和现代宽容共建着现代社会的宽容与和谐,由于既有的文献没能对宽容的发展历程及其特点进行系统分析,所以这一点没有为学者所充分认识到。3、缺乏对于宽容的经济学分析。具有帝国主义特征的经济学在一些方面应当而且可以为宽容研究做出贡献,但在既有的研究中,中文的经济学宽容文献基本上是空白状态,英文的经济学宽容研究也非常少且往往集中于对于弱势群体的某一方面行为的分析。经济学对于论证宽容的合理性和可行性非常必要,在既有的研究中,宽容的合理性主要来自哲学的论证(如人的理性的有限性)和历史的经验支持等。而在经济学的视角下,效率标准可以被用来证明宽容的合理性,假如宽容对于社会具有效率,宽容就具有合理性;另一方面,无论宽容对于社会是否具有效率,宽容要成为现实就必然最终依赖微观的个体成员提供宽容行为,而对于微观个体来说,提供宽容行为的动力在于该行为的收益大于成本,所获纯收益越大就会越有效率地提供宽容行为,整个社会的宽容的实现也就越具有可行性。本文的写作就针对当今宽容研究存在的上述问题,其中主要围绕第三个问题,即对宽容进行经济学的分析。上述的宽容研究薄弱环节是本文研究的重点。首先,本文综述了当今多学科视角下的宽容研究,在综述的过程中,既对既有的研究成果进行了系统梳理,又从非经济学的视角提出了一些个人观点。具体来说,主要做了下述工作:首先,本文用从古典宽容到现代宽容的历史框架将既有宽容研究成果作理论化和系统化。按照宽容从古典宽容到宗教宽容再到现代宽容的历史发展脉络对其进行阐述,尤其在作为多学科研究热点的现代宽容部分,集中阐述了政治学、哲学、宗教学、法学等多学科的研究成果,便于人们准确把握宽容问题。其次,在古典宽容部分,对基督教宽容和儒教宽容及其各自的不宽容进行了初步比较分析。儒教和基督教被广泛认为是造成中西方不同发展路径的重要因素,儒教宽容和基督教宽容分别就是儒教和基督教的重要组成,也应是影响中西方社会发展的重要因素。基督教宽容和儒教宽容一直是古典宽容的研究热点,但却一直缺乏对于基督教宽容和儒教宽容的比较分析。由于时间和精力的限制,本文也只是对于基督教和儒教的宽容和不宽容进行了初步比较,即只是简单列出两者的宽容和不宽容的表现。再就是,在该部分的最后,阐明了现代宽容和现代社会的宽容的不同。许多学者没能充分阐明的一点是,现代社会的宽容实际上是由古典宽容和现代宽容共同构成。古典宽容在今天依然具有较强的生命力,古典宽容和现代宽容共建着现代社会的宽容与和谐,但今天的古典宽容与历史上的古典宽容并不完全一样,内容和作用都有所变迁,古典宽容在古代历史上是曾居于社会支配地位的宽容规则。今天的古典宽容与现代宽容一般来说共同维系现代社会的宽容与和谐,但两者在边际上也存在一定冲突,两者的冲突也恰好证明了两者在今天的共存。在对既有研究综述和整理的基础上,本文展开了对宽容的经济学分析,尝试用公共产品理论、人力资本理论和新制度经济学理论对其进行分析。经济分析的第一部分阐述了公共产品理论视角下的宽容。公共产品的重要特征就是消费的非竞争性和受益的非排他性,宽容正是这样的公共产品。根据公共产品的非排他性和非竞争性的程度,还可以将其分为纯公共产品和准公共产品。运用公共产品理论不仅能发现宽容的公共产品性质,而且能有助于揭示出宽容的三个存在层次,即宽容的知识存量、宽容知识的教育和人们的宽容行为。运用公共产品理论分析宽容并将宽容分三个层次探讨其公共产品性质,也都是本文宽容研究的创新点。对于任何一种宽容来说,都必然包含这三种存在层次。另外的重要一点是,这三种层次的宽容的公共产品性质是不一样的。其中,宽容的知识存量是标准的纯公共产品,具有完全的非竞争性和非排他性,任何社会的任何一种宽容知识存量都不会拒绝任何社会成员的消费,而且对于宽容知识存量的消费不仅不会造成恶性竞争等,而且还会产生宽容知识的溢出效应。宽容知识的教育则具有准公共产品的性质,对于任何一种宽容知识的教育来说,都无法保证所有社会成员得到相同质量和数量的教育,即便把个人禀赋等作为控制变量,而且不同种类宽容的知识教育作为公共产品的纯度是不一样的。以基督教宽容知识教育和儒教宽容知识教育为例,基督教宽容知识教育的公共产品纯度稍高一点。本文暂未分析人们的宽容行为以及人所掌握的宽容知识和具有的宽容能力的公共产品性质。宽容的公共产品性质还为微观经济学视角的宽容分析提供了基础,它有助于说明人们对于宽容的消费具有接近完全弹性的性质等,当然不同种宽容在这方面还是有所不同的。在经济学分析的第二部分,阐述了人力资本理论视角下的宽容。人力资本主要指凝集在劳动者本身的知识、技能及其所表现出来的劳动能力等,它被认为是现代经济增长的主要因素,是一种有效率的经济。宽容正好具有人力资本的三个主要特征。首先,宽容必然最终依存于人体,其在存在形态上就主要表现为人的知识和能力等,而且在一定程度上还表现为人的体力、健康、经验、态度等;其次,宽容的获得是需要付出成本的,是人力资本的承载者本人、国家、社会、家庭等主体共同投资的结果。宽容以知识、能力等人力资本形态存在于人体,这些知识、能力等的获得是投资的结果,获得宽容的主要途径是通过接受各种教育和“干中学”,成本的主要形式是时间和金钱等。人是宽容的承载主体,而宽容的投资主体则包括了国家、社会、家庭、人力资本承载者个人等多种主体。对于为获得宽容这一人力资本而付出的成本可分为三类进行分析:国家和社会为在宏观上确立、发展和维护古典宽容或宗教宽容或现代宽容,进行投资所付出的成本;家庭和家族等为个体获得宽容知识和形成宽容能力等所付出的成本;人力资本的承载者本人为获得宽容所付出的成本。此外,在借贷关系下,国家、社会或家庭等为人力资本的承载者获得宽容这一人力资本所付出的成本,也可以看做是人力资本的承载者将来要偿还的借贷投资,也就是可以看作是人力资本的承载者本人付出的成本,这实际上就是将成本内部化。而偿还的方式就是通过人力资本的承载者做出宽容行为从而给国家、社会或家庭等带来物资的或精神的等形式的回报。最后,宽容可以作为获利手段,宽容可为个体以及国家和社会等带来收益。人力资本的一个重要特征就是能够带来收益,这也是为其付出成本的原因,宽容作为人力资本也正是如此。无论何时何地的何种宽容,之所以被该时该地的国家和社会花费成本去提倡并努力将它转化为每个人的人力资本,最根本的原因就是这些宽容能带来收益。宽容既能给整个国家和社会带来收益,也能给人力资本的承载者本人及其家庭等带来收益。倘若宽容不能给国家和社会带来收益,它就不会为这个国家和社会花费巨大成本去倡导,也就没有统一的社会宽容规则。倘若宽容不能给人力资本的承载者本人及其家庭等带来收益,人们就不会花费成本去践行宽容并将宽容转化为人力资本,宽容也就最终难以实现,整个国家和社会对宽容的提倡也将沦为一纸空谈。在经济学分析的第三部分,阐述了新制度经济学视角下的宽容。在其他学科的宽容研究中,宽容已经被看作是制度。准确地说,古典宽容主要是非正式制度,而现代宽容主要是正式制度。在新制度经济学的视角下,制度是一种激励机制,规范着生产和交易,既影响生产成本也影响交易成本;不同的制度则可以不同程度地节省交易成本和生产成本。宽容正是这样的制度,其对生产成本和交易成本的影响表现在以下几个方面。首先,每一种宽容诞生时都几乎面对着以战争和暴力掠夺为代表的不宽容灾难。这些不宽容灾难会造成对生产和交易的极大破坏,会造成大量的生命和财产等形式的损失。而仅仅生命的损失本身就可以看作是遭受到了无穷大的生产成本和交易成本。宽容作为新诞生的制度和激励机制,直接目标就是遏制这些灾难,努力恢复正常的生产和交易,力求避免生命和财产的损失。因此,灾难之际诞生的宽容制度也就可以说极大地节省了生产成本和交易成本。其次,就是不同种宽容制度对于生产和交易会具有不同的影响,本文以同属于古典宽容的基督教宽容和儒教宽容为例进行了深入分析。研究发现:基督教宽容制度与儒教宽容制度对于生产和交易主体在平等地位上的不同构建会造成不同的生产成本和交易成本;基督教宽容制度与儒教宽容制度对教权、国家政权和神权等的不同构建会不同程度地影响生产和交易;基督教宽容制度和儒教宽容制度对于生产、交易、分配、消费等经济生活的不同规定会不同程度地影响生产成本和交易成本;基督教宽容制度与儒教宽容制度中的不同产权安排会造成不同的生产成本和交易成本;儒教宽容制度和基督教宽容制度对信息不对称和有限期博弈的克服以及对公正的奖惩机制的不同构建也会造成不同的生产成本和交易成本。更多还原

【Abstract】 The whole history of man is filled with various sufferings brought by intolerance, and it is obvious that the contradiction between the scarcity of resources and the infinity of man’s demands is the important factor resulting in the intolerance sufferings, which caused great losses. In front of these intolerance sufferings, people have never stopped the step of seeking for tolerance, which is people’s long dream. We can find tolerance thoughts either in the early cultures and modern cultures, and no doubt, religion is the best representative of culture. Certainly, the religion here includes various primitive religions, such as totem and taboo. During the courses of seeking tolerance, the classical tolerance, religious tolerance and modern tolerance gradually come up. Compared with modern cultures, the tolerance existing in the early cultures or traditional cultures of today has different features, so we call this kind of tolerance classical tolerance. Classical tolerance is mainly a kind of tolerance in moral manner, as informal institution existing in religion and other kind of traditional cultures. Modem tolerance exists in law and other kind of formal institutions and can be regarded as formal institution. Religious tolerance refers to protecting people’s freedom of religion belief by means of law, in order to get rid of the intolerance sufferings as a result of the differences of religion belief.Since tolerance is very important to man’s harmony and happiness, it has become hot point of study, and almost all the social sciences have shown interests in it. Just a certain academic thesis may concern with several social sciences and different stages from classical to modern tolerance. The present study of tolerance concentrates on the following aspects: firstly, probing the tolerance thoughts of Chinese traditional cultures, mainly of Confucianism; secondly, probing the tolerance thoughts of world-wide traditional cultures, mainly of Christianity; thirdly, the study about religious tolerance which concerns the sufferings of the Christian society brought by the religion violence of the Inquisitions and religion war after the Protestant Reform; fourthly, the study of modern tolerance by many social sciences whose core content is to protect the human rights; fifthly, the utilization of tolerance in daily life and relevant experience; sixthly, the demarcation line and standard of tolerance. Among the above, modern tolerance is the key point of study.Tolerance has become a hot point of study, but the present study still has some blank space which has both strong practical and theoretical significance. For example, firstly, lack of comparative analysis between Confucianism tolerance and Christianity tolerance. As a result of strong path dependence, traditional cultures especially the mainstream traditional cultures have deep effect on every field of our daily life. Confucianism tolerance and Christianity tolerance respectively exist in Confucianism and Christianity which are respectively mainstream traditional culture of China and the West. No doubt, they still respectively have strong effect on the social life of China and the West, and maybe the differences between them are the explaining variables of the different development paths and present situations between China and the West. So we need comparative analysis between Confucianism tolerance and Christianity tolerance. Secondly, lack of systematic study of the historical development course of tolerance. Many scholars just speak of the difference between the classical tolerance and the modern tolerance roughly and simply, and they haven’t made systematic study of the development course of tolerance, so they can’t have brought to light the differences among classical tolerance, religious tolerance and modern tolerance. Thirdly, lack of economic analysis of tolerance, economic analysis can and should do something for the study of tolerance, but the economic analysis of tolerance in china at present is blank, while the foreign economic analysis of tolerance often just focuses on helping the disabled, the poor and other social vulnerable groups. Economic study can help to prove the necessity and feasibility of tolerance, while in the present study the necessity of tolerance just gets support mainly from philosophy demonstration and historical experience, etc. The efficiency standards of economics are important to prove the necessity of tolerance. If tolerance is efficient for the whole society and the individual, tolerance is necessary. On the other side, no matter tolerance is efficient for the whole society or not, the tolerance coming into reality depends on the individual’s tolerance action. But for the individual, the motive power of providing tolerance action is that the benefit of tolerance action should be more than the cost. The more the net benefit, the stronger the individual’s motive power to provide tolerance action. My study aims at filling in the above blank space of tolerance study, among which I will mainly solve the third problem, using economics theory to analyze tolerance.The above blank space of tolerance study is the study focal point of my thesis. The first part is document summary. During this part, I will summarize the existing study of tolerance, and at the same time, I will advance some individual views. The details are as follows: firstly, I will use a historical frame to summarize the existing study of tolerance, elaborating it according to its historical development course from classical tolerance to religious tolerance still to modern tolerance. Especially I will focus on elaborating the modern tolerance, in which many social sciences have shown great interests, such as politics, philosophy, religion, law, sociology, etc. Secondly, in the part of classical tolerance, I will make tentative comparative analysis between Confucianism tolerance and Christianity tolerance as well as their thoughts of intolerance. Confucianism and Christianity are often regarded as an important factor that has caused the different developments between China and the West, and Confucianism tolerance and Christianity tolerance are respectively an important part of Confucianism and Christianity, so they are also important factors that have affected the development of China and the West differently. Because of the limits of time and energy, I will just make a tentative comparative analysis between Confucianism tolerance and Christianity tolerance. That is to say, I will just set out the tolerance thoughts of Confucianism and Christianity as well as their intolerance thoughts. Thirdly, I will elaborate the differences between the modern tolerance and the tolerance of modern society. Modern tolerance is different from the tolerance of modern society, but many scholars haven’t realized this point. Classical tolerance still has strong life-force today, and it is a necessary and important part of the tolerance of modern society. The tolerance of modern society is made up of the classical tolerance and the modem tolerance jointly, but the present classical tolerance has become different from its history both in content and function. The classical tolerance used to be dominative tolerance institution of the social life. Today, the classical tolerance and the modern tolerance promote the social tolerance and harmony jointly, but they also have marginal conflict, which properly say that they exist side by side in modern society.On the basis of the document summary, I will make economic analysis of tolerance. The first part of the economic analysis is tolerance from the perspective of the Public Goods Theory. The two important features of public goods are non-competitive and non-exclusive, and tolerance is just this kind of public goods. According to the extent of non-exclusiveness and non-competitiveness, public goods can be divided into pure public goods and quasi-public goods. Using Public Goods Theory to analyze tolerance, we not only can find that tolerance has the features of public goods, but also can find 3 hierarchical structures of tolerance. The 3 hierarchical structures are the knowledge stocks of tolerance, the knowledge education of tolerance and the tolerance action of people. The tolerance’s features as public goods in its 3 hierarchical structures are different, and every kind of tolerance has these 3 hierarchical structures. Among these 3 hierarchical structures of tolerance, the knowledge stocks are typical pure public goods, while the knowledge education of tolerance and the tolerance action of people are both quasi-public goods. The knowledge stocks of every kind of tolerance in every society have complete non-exclusiveness and non-competitiveness, and will not refuse the consumption of any person. Though the knowledge education of tolerance is public goods, it can’t make everyone of the society receive the education of the same amounts and quality, so there is competitive and exclusive in some extent. Of course, for the education of different kind of tolerance, their features as public goods are different too, even if we control the personal natural endowment. For example, the features as public goods of Christianity tolerance education are purer than that of Confucianism tolerance education. Here, I haven’t explained the features of public goods of people’s tolerance action. The analysis of the tolerance’s features of public goods will also provide the basis for the tolerance study from micro-economics, and it can help to make clear why the consumption of tolerance nearly has the feature of complete elasticity. Certainly, the consumption of different kind of tolerance will still show difference in the feature of complete elasticity.The second part of the economic analysis is tolerance from the pespective of the Human Capital Theory. Human capital mainly refers to the knowledge, the technical ability, the labor capacity, etc that exist in the body of people. Human capital is regarded as an efficient economy and an important factor to promote economic growth. Tolerance owns the three main features of human capital. Firstly, tolerance must exist in the body of people, and its existing form is people’s knowledge, ability, and even people’s physical strength, health, experience, attitude, etc. Secondly, to acquire tolerance, people must pay a certain cost, and the people’s tolerance knowledge, ability, etc results from the joint investment of the individual, the family, the state, the society, etc. People’s knowledge, ability, etc of tolerance is the fruit of joint investment. The way to acquire tolerance is to receive tolerance education of various forms as well as through "Learning by Doing", and the main forms of cost are time, money, etc. The individual is the only subject that owns tolerance as a kind of human capital, but the subjects of investment include the individual, the family, the state, the society, etc. The cost paid for obtaining tolerance can be divided into three parts: the cost paid by the state and the society in order to establish, develop, and uphold the tolerance institutions; the cost paid by the family, the state and society to help the individual to receive tolerance education and to form his tolerance ability, etc; the cost paid by the individual himself. Besides, under the angle of lending and borrowing business, the cost paid by the state, the society, the family, etc can be regarded as the cost paid by the individual himself too. That is to say, it can be regarded as the debt that the individual must pay in future, so it can also be regarded as cost paid by the individual himself. The way for the individual to pay the other’s investment is mainly to provide tolerance action for the society, which can benefit the state, the society, the individual’s family, etc. Thirdly, tolerance is also an approach to obtain profit. An important feature of human capital is that it can bring profit for the investors. This is why the investors will pay cost to gain the human capital. Tolerance can bring profit too. For every kind of tolerance of every region at anytime, the last reason of the state and society to pay a lot of cost to establish, develop, and uphold the tolerance institutions is that tolerance can benefit the whole state and society. Or there will not be unified social tolerance institutions. Tolerance can and must benefit the individual and his family too, or the individual will not pay cost to receive tolerance education and provide tolerance action, and tolerance can’t be turned into reality either.The third part of the economic analysis is tolerance from the pespective of the New Institutional Economics. Tolerance has been considered institution in social sciences besides economics. To explain in precise term, the classical tolerance is a kind of tolerance as informal institution, while the modern tolerance is formal institution. From the pespective of the New Institutional Economics, the institution is a kind of incentive mechanism, restraining the production and the transaction and affecting both the production costs and transaction costs; besides, different institutions can affect the production costs and transaction costs differently. The tolerance is just this kind of institution, and its effect on the production and transaction is as follows. Firstly, every kind of tolerance institution in history faced intolerance sufferings when they were born. Those intolerance sufferings destroyed the production and transaction seriously, and caused great losses of life and property in many cases. And just the losses of life itself should have been regarded as the infinite production costs and transaction costs. The direct aims of the newly-born tolerance institutions were to get rid of these disasters and to help to return to the normal production and transaction order. So, we can say that the tolerance institutions which were born in the time filled with intolerance sufferings reduced the production costs and transaction costs greatly. Secondly, different tolerance institutions can have different effect on the production and transaction. I will use Confucianism tolerance institution and Christianity tolerance institution as example to make deep analyses. The findings are as follows: the differences of the people’s status in the production and transaction between the Confucianism tolerance institution and the Christianity tolerance institution can cause different production costs and transaction costs; the differences of the power of the church, the state and the god (or gods) between the Confucianism tolerance institution and the Christianity tolerance institution can affect the production costs and transaction costs differently; the differences of the regulations of production, transaction, distribution and consumption between the Confucianism tolerance institution and the Christianity tolerance institution can affect the production costs and transaction costs differently; the differences of property rights arrangement between the Confucianism tolerance institution and the Christianity tolerance institution can affect the production and transaction differently; the differences in overcoming the incomplete information, the time-limit game, and the unfair rewards and punishments between the Confucianism tolerance institution and Christianity tolerance institution can affectthe production costs and transaction costs differently.更多还原