【作者】 廖志坤；

【导师】 李育民；

【作者基本信息】 湖南师范大学 ， 中国近现代史， 2010， 博士

【摘要】 袁世凯是中国近代历史上最为复杂的一个重要人物。他经历了甲午风云、戊戌维新、清末新政、辛亥革命、民国肇基、二次革命、洪宪帝制等重大事件,是中国近代历史转型的亲历者。在30多年的政治生涯中,袁世凯既做过驻外使节,又曾为统兵大臣；既当过地方督抚,又荣膺中枢军机；既是共和总统,又为洪宪皇帝,命运似乎对他特别眷顾,给予了他推动新政,建设共和的千载良机。然而,由于长期受封建文化的浸润,集权思想、封建伦常思想早已融入血脉,浸入骨髓,在面对历史进步、转型的呼唤时,他虽然也想奋强国之志,以建不世之功,但终于因为未能抵挡权力的诱惑和找到正确的路径而败亡,为天下所笑。袁世凯帝制的失败,使他在政治上步入了万劫不复之境,他的政治思想和主张一度被贴上反动的标签。事实上,袁世凯最终未能实现从传统到现代的转变,袁世凯所处时代未能实现从封建专制到民主共和的转变,这不仅是袁世凯一个人的悲剧,也是那个时代的悲剧。如所周知,辛亥革命推翻了大清皇帝,但却并没有能够从根本上改变中国社会。当时无论是资产阶级革命派或立宪派,还是地主阶级自由派和保守派,大家虽然都在谈论民主共和,但思维和习惯却没有多大改变。不管是普通民众,还是政治精英,对民主政治的内涵都缺乏深刻理解。多数议员不懂得如何利用民主程序和民主方式来解决问题,促进国家民主政治建设,推进国家由乱到治的进程。一些人把议会看成争权夺利的场所,把党派看成实现个人欲望的工具。在这种政治生态和外敌内患依然如故的情况下,深受传统封建文化影响的袁世凯便未能走向民主共和的道路。袁世凯选择帝制自为,希望用开明专制的办法强化中央权威,整合社会资源,既出于追逐最高权力的欲求,也有解决政治分歧与国内外矛盾的考虑,当然也还有其他方面的原因。然而不管所为何故,不管这些原因是如何产生的,也不管清末民初的中国到底能否最终走上民主共和的道路,人们遑论在感情上还是在理性上,都不会接受政治上由民主共和到具有开明专制性质的二元制君主立宪的倒退。然而,历史并非那样简单。袁世凯政治思想虽然看似前后矛盾,新旧杂糅,有时主变革,有时主民主自由,有时又主开明专制,有时讲人治,有时又言法治,有时讲妥协,有时又倡维权……给人以眼花缭乱、杂乱无章之感。其实,袁世凯的政治思想并非没有脉络可寻,没有稳定起作用的内容。本文认为,袁世凯政治思想的核心是开明专制,基础是强国思想、集权思想和封建伦常思想,其思想主张的变化往往以此时此地自身的地位和利益为转移,以追求更高权力为指归。然而,与一般政客不同的是,袁世凯在考虑一己之利时并非全然不计国家的利益,并非全然不顾国情和世界政治发展的趋势。其晚年选择帝制,除了个人对权力的强烈追求以外,在一定程度上也由于对国内外形势的误判。总的来说,袁世凯的政治思想是变化的,又是稳定的,是矛盾的,又是统一的。在这种矛盾变化的背后,有着深刻的经济、文化、社会根源。而这种经济、文化、社会根源又有一个共同的背景,那就是中国历史的近代转型。因此,本文试图通过对袁世凯政治思想及其发展脉络的分析,解读清末民初中国社会的政治转型及其中国社会民主政治建设的长期性、曲折性和复杂性。全文共有11部分,由导论、九个专章和结语组成。导论简要回顾了国内外袁世凯研究的动态,分析和回答了人们对袁世凯是否具有自成体系的政治思想的质疑,指出袁世凯不仅有政治思想,还有诸如强国思想、集权思想、伦常思想等相对稳定起作用的政治思想。第一章为变革思想。袁世凯的变革思想与同时代先进人物一样,肇因于救亡图强,所不同的是他的变法思想具有渐进性特征。他提出的人才为本的改革战略,练兵优先的改革理念和兴利除弊的改革途径虽然比维新派更加切合实际,但总的来说并未超越传统政治改革的范围。第二章是宪政思想。本章包括君主立宪的主张、民主共和主张及其反动、总统专权思想析因三节,着重分析了袁世凯那具有权臣思想特征的虚君共和主张及其对民主共和的破坏。第三章为法治思想。袁世凯以人治闻名,却有丰富的法治思想。譬如说宪法为根本大法的认识,德主法辅的治国主张,慎重立法、有法必依的思想,自由应由法律为范围的训诫等等。本章重点分析了其法制改革思想和司法近代化的主张。应该说,其区分民刑、司法要从本国实际出发、创设检察官、设立罪犯习艺所等司法主张和实践至今仍有可取之处。第四章是洪宪帝制思想。洪宪帝制思想内容并不复杂。复杂的是它的实质和袁世凯为什么要选择帝制。本章以对帝制环境的权衡与考量、洪宪帝制的始末与实质、帝制逻辑的内在缺陷三节,解析了袁世凯称帝的原因及其洪宪帝制的开明专制特征。洪宪帝制其实并不同于传统的封建帝制,也不同于一般的君主立宪制度。袁世凯妄想借洪宪帝制来实行开明专制在法理支持、时机把握和形式选择上都存在致命缺陷。第五章是军事思想。袁世凯军事思想十分丰富,体现在军制、军种、军训、军饷、军纪、军队主权、军事教育等各个方面。袁世凯的军事思想和实践直接导致了中国军队的近代化。此外,本章还分析了民初时期袁世凯军队国家化的主张和他一以贯之的兵为将有思想,并特别指出了袁氏兵为将有的思想给民初政局乃至20世纪上半叶的中国所带来的影响。第六章为外交思想。外交是政治的延伸。本章以利用他国思想、主权至上利权至重思想、对外妥协思想、宗藩思想、对外开放思想、外交人才思想等六节阐述了袁世凯对中国外交近代化所做的贡献。还希望通过对袁世凯手批材料的解读,来纠正长期以来学界对袁世凯“二十一条”交涉的误读,事实上,袁世凯在“二十一条”交涉中有勇有谋,尽可能地维护了国家的主权。第七章是用人思想。政治人物用人、任官、治吏本身就是政治。袁世凯在用人上有独到之处却又难脱中国传统用人的窠臼。他既有不拘一格的任贤思想又有结党成团的朋党思想,既讲顺昌逆亡又倡慎选重育。袁世凯依靠其高明的用人思想和手段建立了近代中国实力最大、影响最久的政治军事集团——北洋集团。第八章以袁世凯政治活动中的权谋与策略为关注点。袁世凯的政治权谋虽然不是直接的政治思想,但却在其中蕴含了他本人的政治观点和主张。袁世凯是中国近代以来集各种传统政治手段于一身的人物,他借助权谋和策略的帮助登上了民初中国的最高政治舞台。由于过分相信且滥用权谋,袁世凯的政治生命终究难逃失败的命运。袁氏政治权谋包括以退为进的策略、假借民意的阴谋、投机钻营的心术、通权达变的谋略、善用矛盾的韬略等几个方面,有的至今仍然不乏生命力。第九章为袁世凯政治思想的特点与成因。尽管袁世凯在不同时期有不同的政治倾向、思想主张和行为方式,即使对于同一问题,在同一时期也有不同的态度和主张,但他的价值取向和行为方式却一直稳定。正因为如此,袁世凯的政治主张和观点多以自身的地位和利益为取舍,具有阶段性、易变性、复杂性,呈现出稳定功利、稳健务实、曲折发展以及矛盾杂糅的特点。袁世凯政治思想的成因主要有传统思想的浸淫熏陶,欧风美雨的潜移默化、强国思想的内在驱动和内外环境的交互促发。结语部分主要回答了这样一个问题：为什么袁世凯的政治思想是近代中国政治转型的曲折反映。笔者认为,袁世凯不仅有自己的政治思想,有相对稳定的政治思想体系,而且其政治思想还随着时代的变化不断地变化、丰富和调整,呈现出发展的阶段性和前后的矛盾性。袁世凯从封建政治的拥趸者到封建秩序的改革者,从维新变法的支持者到清末新政的推动者,从君主立宪的鼓吹者到共和体制的附和者,从民主共和的僭居者到君主制度的复归者,其政治思想既是变化的也是稳定的。变化的是他在不同时期的具体的政治主张,不变的是他基于强国思想、集权思想、伦常思想的开明专制诉求。不同于封建君主的是,袁世凯生逢中国政治转型的关键时期,有机会接触到西方文化和价值,且又一直有着振衰起弊挽救时局的强国意识,因此虽然晚年他帝制自为走到了历史的反面,但在此前相当长的一段时间里,他都是风生水起的近代中国政治变革的弄潮儿,他的一生在许多方面都顺应了中国历史发展的潮流。袁世凯政治思想的演变轨迹,恰好吻合了中国政治近代化的艰难历程。袁世凯政治思想中既现代又传统、既激进又保守,既民主又专制、既集权又分治的特质,正好反映了近代中国政治转型的艰难性、曲折性、复杂性和长期性。总的说来,袁世凯政治思想包含着丰富的内容和思想启迪,是近代中国政治转型的曲折反映。更多还原

【Abstract】 Yuan Shih-Kai is one of the most complicated important figures in the modern history of China, who personally experienced the modern historical transformation in China by going through such significant historical events as the Naval Battle of 1894, Wuxu Reform (1898), the New Policy Reform of Late Qing Dynasty, Xinhai Revolution, the Establishment of the Republic of China, the Second Revolution, Hongxian Monarchy, etc.During his 34-year political life, Yuan Shih-Kai once served as ambassador, commanding general, local governor as well as military minister; he acted not only as the president of the Republic of China but also as the emperor of Hongxian Monarchy. It seemed that he was especially favored by fortune and was given great opportunities to promote new policies and to establish a republic. However, because the ideas of power centralization and feudal morality had already been deeply rooted in his mind after long-term penetration of traditional culture, when facing the historical progress and transformation, he was ultimately unable to resist the temptation and failed on the way to goodness, which was despised by all people, although he was ambitious of making China powerful and attempted to achieve enormous accomplishments. The failure of Yuan Shih-Kai’s monarchy led him to the irretrievable failure in politics. Thus his political thoughts and opinions were given the label of reaction for a time.In fact, Yuan Shikan ultimate failure in the change from tradition to modernity and that the failure of the transformation from feudalism to democratic republic in the age that Yuan Shih-Kai lived in were not only the tragedy for Yuan Shih-Kai but also the tragedy for the whole age.As is well known, Xinkai Revolution overthrew the emperor of Qing Dynasty, but had not fundamentally changed Chinese society indeed. At that time, whether bourgeois revolutionaries or constitutionalists, landlord class liberals or conservatives, though people were talking about democracy and republic, people seldom changed in their thinking, knowledge and habits. Both the common people and political elites lacked a profound comprehension of the connotation of democratic politics. Some members of the Parliament did not know how to use democratic procedure and democratic methods to solve problems, to enhance the establishment of national democratic politics and to promote the process from chaos to order of the country. On the contrary, they regarded the Parliament as a vanity fair, and the parties as the tool for personal desires. Under the circumstances that the political environment and foreign aggression and domestic disasters remained unchanged, Yuan Shih-Kai who had been greatly influenced by traditional culture was unable to embark on the course of democratic republic.Yuan Shih-Kai, by choosing the self-proclaimed monarchy, hoped that the open autarchy would enhance the central authority and integrate social resources, which was motivated by his desire for highest power as well as his consideration of solution to political divergences and domestic contradictions, or possibly for other reasons. However, despite what reason it was and how the reason arose, whether the China in late Qing Dynasty and in the early Republic could ultimately take the road to democratic republic, people would not emotionally and rationally accept the political retrogression from democratic republic to dual constitutional monarchy characterized by open autarchy. It seemed that history was not so simple at all. Yuan Shih-Kai’s political thoughts sounded contradictory and were mixed with old and new views, which sometimes advocated revolutionary, or democracy and freedom but sometimes suppo(?)ed open autarchy, which sometimes preached rule by man but sometimes proposed rule by law, which sometimes yielded to comprise but sometimes advocated the protection of rights. Although these thoughts seemed dazzling in a mess, the main line could be found in the political thoughts with the main content that was stable and functional. This paper holds the views that the core of Yuan Shih-Kai’s political thoughts was open autarchy, and its basis was the thought of making China powerful, the thought of power centralization and the thought of feudal morality. The changes of his ideological propositions were subject to his status and interests of the current time and aimed at pursuing for highest power. However, different from common politicians, Yuan Shih-Kai did not entirely neglect the nation’s interests nor ignore the national situation and world political trends when taking his own interests into consideration. When choosing monarchy in his old age, it was because that to a great extent he misjudged the situation both at home and abroad. Generally speaking, Yuan Shih-Kai’s political thoughts were changeable but stable, contradictory but unified. Behind such contradictory changes, there are deep economic, cultural and social sources, and such economic, cultural and social sources share a common background, namely the modern transformation in the history of China. Therefore, this paper, by analyzing Yuan Shih-Kai’s political thoughts and their development, attempts at making an interpretation of political transformation of original Chinese society in late Qing Dynasty and in the early Republic as well as the long term, reflection and complexity of the democratic political construction of the Chinese society.This paper consists of eleven parts, including an introduction, nine chapters and a conclusion.The introduction provides a briefly review of the trends of the study on Yuan Shih-Kai at home and abroad as well as an analysis and an answer of people’s doubts about whether Yuan Shih-Kai’s political thoughts constituted a system, and indicates that Yuan Shih-Kai had not only political thoughts but also such concrete political thoughts as the thought of making China powerful, the thought of power centralization, the thought of morality, etc., which were relatively stable and functional.The first chapter illustrates the thought of reform. Yuan Shih-Kai’s thought of reform originated from national salvation and prosperity, as those of other pioneers of the same age did, but the feature of progressiveness distinguished his thought from other thoughts. The reform strategy based on talents, the reform idea giving priority to soldier training and the reform approach to promote what was beneficial and eliminate what was harmful, which were proposed by him, were much more practical in comparison with those of the innovationists, but generally speaking these thoughts never transcended the traditional political reform.The second chapter illustrates the thought of constitutionalism. This chapter is composed of three sections that elaborate the proposition of constitutional monarchy, the proposition of democratic republic and its reaction, and the thought of president’s autocracy respectively, with an emphasis on the analysis of Yuan Shih-Kai’s proposition of constitutional monarchy characterized by the idea of influential ministers and its destruction of democratic republic.The third chapter illustrates the thought of rule by law. Although he was famous for rule by man, Yuan Shih-Kai had rich thought of rule by law. For example, he held the views that the constitution as fundamental law, the proposition of ruling the country by virtue with the complement of rule by law, the idea of prudent legislation and strict law abiding, the discipline that freedom shall be confined within the law, etc. This chapter focuses on the analysis of his thoughts of legal system reform and propositions of judicial modernization. It should be said that his judicial propositions and practices such as the differentiation of civil and criminal laws, justice on the basis of domestic situation, the establishment of prosecutors, and the setup of the skill-and-technique-learning office for criminals have shined with the historical brilliance till now.The fourth chapter illustrates the thought of Monarchy. The content of the thought of Hongxian Monarchy is not complicated, but the tricky lies in its nature and why Yuan Shih-Kai chose monarchy. By the elaboration of three sections on the weighing and consideration of monarchy environment, the whole story and nature of Hongxian Monarchy, and the internal defects of monarchy logic respectively, this chapter has analyzed the reasons for Yuan Shih-Kai mounting the throne and the characteristics of open autarchy of Hongxian Monarchy. Hongxian Monarchy actually differs not only from the traditional feudal monarchy but also from the common constitutional monarchy. Yuan Shih-Kai’s delusions of implementing open autarchy on the basis of Hongxian Monarchy have fatal defects in these aspects including support of legal principles, grasp of opportunities and choose of forms.The fifth chapter illustrates the thought of military administration. Yuan Shih-Kai was rich in the thought of military administration, which embodied various aspects including military system, military service, military training, army upkeep, military disciplines, army sovereignty, military education, etc. Yuan Shih-Kai’s military thoughts and practices directly led to the modernization of the military forces of China. Furthermore, this chapter has analyzed Yuan Shih-Kai’s proposition of nationalization of military forces and his consistent view of "soldiers belong to the general" in the early period of the Republic and especially indicated that the harms that the said view of "soldiers belong to the general" has done to the political situation in the early period of the Republic and even to the China in the first half of the (?)wentieth century.The sixth chapter illustrates the thought of diplomacy. Diplomacy is the extension of politics. This chapter contains six sections, which express the thoughts of utilization of foreign countries, supreme sovereignty and utmost financial power, compromise with foreign countries, shimpan, opening-up to the outside world, diplomatic talents, etc., to elaborate the contributions that Yuan Shih-Kai had made to the modernization of the diplomacy of China. Moreover, this chapter intends to correct the misreading of Yuan Shih-Kai’s negotiations of "Twenty-One Treaty" in the academic field for a long time via the interpretation of Yuan Shih-Kai’s handwriting materials. In fact, Yuan Shih-Kai acted wisely and courageously in the negotiations of "Twenty-One Treaty" and tried his best to protect the sovereignty of the country.The seventh chapter illustrates the thought of personnel selection. The political figure’s selection of personnel, appointment of officials and administration of officials are politics in nature. Yuan Shih-Kai had his unique way of personnel selection but could hardly separate from the Chinese tradition of personnel selection. He was equipped with both the thought of varied talent appointment and the faction view; he not only believed that either one submitted to it and prospered or one resisted it at one’s own peril but also advocated to make option carefully and to pay attention to education. Depended on his wise thought and means of personnel selection, Yuan Shih-Kai had established the most powerful and influential political and military clique, namely Beiyang Clique, in the modern history of China.The eighth chapter focuses on Yuan Shih-Kai’s thought of power struggle and strategies.Although Yuan Shih-Kai’s political power struggle was not direct political thought, such power struggle implied his political views and propositions. Yuan Shih-Kai was a figure who integrated all the traditional political means in the modern history of China. With the help of power struggle and strategies, Yuan Shih-Kai mounted on the highest political stage in the early period of the Republic of China. He excessively believed in and abused power struggle, and thus could hardly escape from the fate of failure eventually. Yuan Shih-Kai’s thought of power struggle included the strategy of retreating in order to proceed, the plots under the guise of public opinion, the schemes of serving one’s own interests through trickery and swindling, the strategies of adapting to the changed circumstances, the tricks of making use of contradictions, etc., among which some still have a wide application today.The ninth chapter illustrates the characteristics and shaping factors of Yuan Shih-Kai’s political thoughts. Although Yuan Shih-Kai held different political orientations, ideological propositions and action attitudes in different periods, even different attitudes and propositions towards the same issue in the same period, he remained stable in his value orientation and behavior all the time. Therefore, Yuan Shih-Kai’s political proposition and views were subject to his own status and interests, and were periodic, changeable, complicated, stable, utilitarian, practical, developed circuitously with contradictions. His political thoughts were mainly shaped by the interaction of the factors including the edification of traditional thoughts, gradual influence of western thoughts, internal driving of the thought of making China powerful and external surroundings.The conclusion part mainly offers a reply to the question that why Yuan Shih-Kai’s political thoughts were the reflection of the political transformation of modern China. The author holds the opinions as follows:Yuan Shih-Kai had his own political thoughts and a relatively stable system of political thoughts, and his political thoughts were constantly changed, enriched and adjusted according to the changes of the age, which were periodic and contradictory in the development process.From an advocator of feudal politics to a reformer of feudal orders, from a supporter of the Hundred Days’Reform to a promoter of New Policy Reform in late Qing Dynasty, from a proponent of constitutional monarchy to a pioneer of republic system, from a leader of democratic republic to a returner of monarchy, Yuan Shih-Kai’s political thoughts were changeable and stable. It was his concrete political propositions that were changed in different periods while his claim for open autarchy based on the thought of making China powerful, the thought of power centralization and the thought of morality remained unchanged. Different from feudal emperors, Yuan Shih-Kai was born in the key phrase of political transformation of China, had the access to western cultures and values and had the awareness of making China power from salvation. Therefore, though he went to opposite side of the history by assuming the throne in his later years, for a quite long period of time before he was a current leader of the political reform of modern China, and his life conformed to the trend of the historical development of China in many aspects. The evolution of his political thoughts fairly was just identical with the tough process of the political modernization of China. The characteristics of Yuan Shih-Kai’s political thoughts including modernity and tradition, aggressiveness and conservativeness, democracy and autarchy, power centralization and separation properly reflected the hardship, reflection, complexity and long term of political transformation of modern China. In a sum, Yuan Shih-Kai’s political thoughts embodied rich content and ideological enlightenment and were the reflection of the political transformation of modern China.更多还原