【作者】 韩晓捷；

【导师】 于语和；

【作者基本信息】 南开大学 ， 政治学理论， 2012， 博士

【摘要】 契约论的研究从某种意义上讲就是缩小的西方政治思想史的研究。契约论思想在西方历史悠久，契约精神在人类文明史上极其重要，以至于英国著名法学家梅因作出了这样的论断：所有进步社会的运动，是—个从身份到契约的运动。契约论用来说明政治权威、政治权利和政治义务的来源、范围和条件等问题。它虽只是一种理论假设，却以人民同意的社会契约为社会、国家或政府的出现及其合法性提供了一种逻辑上的解释。研究社会契约理论的起源和形成的重要意义在于，厘清人类政治思维从自然向社会的延伸，引导作为一切思想理论主体的人逐渐完成自我发现。通过研究社会契约理论的形成过程，可以解释权力和权利关系形成与演变，为近代民主政治发展提供了理论支撑。在古希腊自然政治观中，人们发现了契约主体的双向性特征。在古罗马悠久的法律文化传统中，罗马公法和私法通过制度和法律的形式，将古希腊自然政治学说注入理性因素，逐渐凸显平等和合意的理论地位。罗马公法包含了人民在与贵族争取权利过程中的一系列相关制度及法令，罗马私法诠释了契约的立约双方（或各方）在民事意义上的平等性，以及在合意基础上形成的权利义务联系。希伯来文化与基督教神学构建的宗教文化环境和封建准契约的社会结构是中世纪存在千余年的思想文化和社会基础。在此背景下，古希腊、罗马法的契约精神与基督教经典教义《圣经》中的“圣约”理念发生了碰撞与转型。在教权与王权的博弈中，以曼尼戈德和阿奎那为代表的教权主义契约论思想家，论证了国王与人民之间的契约，并以此作为反对暴君的根本依据。封主与封臣的准契约关系是整个中世纪契约论发展的核心观念。虽然这种契约理论和后世的近代契约论还有相当程度的差距，但统治权力源自契约，契约约束权力、保护权利的思想具有深远的理论影响。文艺复兴和宗教改革为契约论的繁荣奠定了坚实的基础。在此期间，自然法理论从近代前的斯多葛主义自然法、罗马自然法和神学自然法逐渐向理性化、道德化与世俗化自然法方向发展。人文主义的复兴，促使人们用理性态度看待自身与环境，这一切都为冲破神学禁锢提供了可能。萨拉莫尼奥和阿尔色修斯为代表的思想家开始用契约论分析国家和政府权力的产生，并将统治契约与社会契约做出了区分，奠定了近代社会契约论的雏形。17世纪的托马斯·霍布斯，在批判继承前人思想的基础上，开创了近代社会契约论。其后的洛克、普芬道夫、卢梭等人从不同角度对社会契约理论的进一步丰富和发展做出了重要贡献。18世纪卢梭的《社会契约论》作为近代社会契约论最终形成的标志。西方近代社会契约理论的来源于各个历史时期西方政治思想的核心理论，厘清契约论发展的内在逻辑，解析自然法与社会契约理论的关系，都为深入解读西方政治文化传统的精髓提供了有效途径。近代社会契约论中蕴含的平等、自由、民主、人权和法治观念，是西方政治思想发展对世界文明的重要贡献。社会契约理论对于近现代西方政治理论的发展、政治法律制度的构建以及社会舆论等政治文化的变迁都产生了深远的影响。更多还原

【Abstract】 In certain sense, a study on social contract theory is a minimized study on thehistory of Western political thoughts. Social contract theory has such a long history inWestern society and the spirit of social contract theory is so important in the historyof human civilization that the famous British jurist Des Moines comments: everyprogressive social movement is a movement from status to social contract. Socialcontract theory is used to explain the origin, range and condition of political authority,rights and obligation. This theory reasonably explains the emergence as well as thelegitimacy of society, state, and governance on the basis of people’s consensus. Aresearch on the origin and formation of social contrast theory could clarify howhuman species’ political thinking extended from natural state to the society andfacilitated the self-realization of the subject. The study of the formation of socialcontract theory explains the development and evolution of power and rights, andprovides theoretical guidance for modern democratic politics.From the perspective of natural politics in ancient Greece, there is a dual natureof the contract subject. In the old law tradition of ancient Roman, The roman publiclaw and private law input rationality into the ancient Greek natural politics so thatequality and consensus acquired theoretical status. The Roman public law consists ofa series of institutes and ordinance derived from the struggle for rights between thearistocracy and the populous. At the same time, the private law elucidates the equalitybetween the two contractors (or many contractors) in the civil matters, as well as therights and responsibility relation on a consensual basis. The Hebrew and Christiantheological culture and feudal, semi-contract social structure ground the ideology,culture and society of the middle ages for over one thousand years. Against thisbackground, the contract thoughts following the ancient Greece and Roman lawtraditions encountered the covenant thought from The Holy Bible, the classicalChristian literature. In the competition between religious authority and state authority,religious authority thinkers, represented by Manegold and Aquinas, justified thecontract between the king and the populous, with which they argued against tyranny.The semi-contract relation between the lord and vassal was the core concept in the development of contract theory during the middle ages. Despite that thissemi-contract theory was still different from modern contract theory to certain degree,the belief that government power derives from contract, and that contract regulatespower and protects rights had significant and long-lasting influence.Renaissance and religion reformation provided solid ground for the prosperityof contract theory. During this period, natural law theory evolved from pre-modernfrom stoical, Roman and theological natural law to rational, moral and secular naturallaw. The revival of humanism urged people to understand themselves and the worldwith a rational attitude, which reveals possibility for breaking limit set by theology.Thinkers such like Salamonio and Albert Hughes began to analyze the emergence ofstate and government power with contract theory and to distinguish governmentcontract and social contract, which marked the prototype of modern social contracttheory. In the seventeenth century, Thomas Hobbes created modern social contracttheory, sublating his predecessors’ thoughts. Following this, Locke, Pufendorf,Rousseau and others made great contribution to enrich and further develop socialcontract theory. In the eighteenth century, Rousseau’s "The Social Contract"symbolized the ultimate formation of modern social contract theory.The modern social contract theory in the West derives from the core of variouspolitical thoughts through all the historical periods. To thematize the logic of thedevelopment of contract theory and to analyze the relation between natural law andsocial contract theory provides in-depth interpretation of the essence of Westernpolitical-cultural tradition. The ideas of justice, freedom, democracy, human rightsand law inherent in the modern social contract theory are great contributions made byWestern political though to the world civilization. The social contract theory hasproduced a profound influence during the changing of political culture: thedevelopment of modem western political theory, the construction of political andlegal system, and the public political opinions.更多还原