英国民主制度建立的方式与条件研究.doc

山东大学博士学位论文密 级： 单位代码： 10422分 类 号： 学 号： 200420079博 士 学 位 论 文论文题目：英国民主制度建立的方式与条件研究The Model and Conditions of the Establishment of British Democracy 作者姓名李济时专业国际政治指导教师姓名专业技术职务刘玉安 教授 2008 年 3 月 30 日密 级： 单位代码： 10422分 类 号： 学 号： 200420079博 士 学 位 论 文论文题目：作者姓名专业指导教师姓名专业技术职务 教授 2008 年 3 月 30 日原创性声明目 录导 论11、问题的提出12、研究现状33、分析框架8第一章 工业社会的形成与经济基础的变化11第一节 经济基础与民主政治：一般理论的考察111、市场经济与民主政治112、工业社会与民主政治123、生产力和经济发展水平与民主政治15第二节 工业社会的形成161、农业的资本主义化与商业化162、工业革命与工业社会的出现及其政治影响18第三节 经济发展与民主的物质条件221、经济繁荣与物质条件的巨大改善222、政治改革运动与经济形势的关系25第二章 阶级结构的变迁与阶级政治28第一节 新的阶级政治格局的形成28第二节 英国民主发展中的衰落阶级301、地主和贵族阶级312、农民阶级34第三节 中产阶级与英国民主的发展351、中产阶级与民主政治：一般理论的考察352、中产阶级内涵的演变363、英国的中产阶级及其在民主发展中的作用39第四节 英国民主发展中的新兴阶级411、资产阶级422、工人阶级44第三章 市民社会的发展与社会政治运动54第一节 市民社会的内涵、意义与结构54第二节 工业革命时期英国市民社会的发展551、英国市民社会公共领域的发展552、英国的激进主义社团和运动573、英国市民社会发展的原因59第三节 十九世纪英国的社会政治运动及其影响611、议会改革运动622、宪章运动653、反谷物法运动67第四章 政治文化传统与大众教育70第一节英国的自由民主观念701、“生而自由的英国人”的观念712、宗教、世俗化与自由观念723、英国的民主观念及其实践73第二节 英国式保守主义及其对民主发展的影响761、英国式保守主义的特点762、保守主义与英国民主发展的渐进性77第三节 文化教育的发展与民主的智力条件791、民主的智力条件792、文化教育和传媒的发展与民众政治素质的提高80第五章 政治制度的演进与大众民主的确立83 第一节 英国“旧制度”的缘起与演变84 1、英国“旧制度”的缘起84 2、英国内战和“光荣革命”与“旧制度”的发展88第二节 “旧制度”的两重性：进步性和局限性901、“旧制度”的进步性912、“旧制度”的局限性923、政治革新的呼声95第三节 十九世纪的议会改革：走向大众民主96 1、第一次议会改革：走向大众民主的开端96 2、第二和第三次议会改革：大众民主的确立100结 论105参考文献109致 谢115攻读学位期间发表的学术论文目录116ContentsPreface11、Introduction12、Literature review33、Theoretical framework8Chapter One The Formation of Industrial Society and Transformation of Economic Foundation11I. Economic foundation and democracy111. Market economy and democracy112. Industrial society and democracy123. Productivity and economic development and democracy15II. The formation of industrial society161. Agricultural capitalization and commercialization162. Industrial revolution and the emerging of industrial society18III. Economic development and material condition of democracy221. Economic prosperity and great improvement of material condition222. Relationship between reform movement and economic situation25Chapter Two Class Structure and Transformation of Class Politics28I. New situation of class politics28II. Declining classes in British democratic development301. Landlords and aristocrats312. Peasants34III. Middle class and British democratic development351. Middle class and British democracy352. Evolution of the connotation of middle class363. The role of middle class in British democratic development39IV. Rising class in British democratic development411. Bourgeoisie422. Working class44Chapter Three Civil Society and Social Movements54I. The connotation, significance and structure of civil society54II. Development of civil society during industrial revolution551. Development of public sphere in Britain552. Radical societies and movements573. Causes of development of British civil society59III. Social movements and their political influences in 19th century611. Parliamentary reform movements622. Chapter Movement653. Anti-Corn Law movement67Chapter Four Political Culture and Popular Education70I. British idea of freedom and democracy701. The idea of “Born in freedom” in Britain712. Religion, secularism and the idea of freedom723. The idea of democracy and its practices73II. British conservatism and its influences on democratic democracy761. Characters of British conservatism762. Conservatism and gradualism of democratic development77III. Development of culture and education and democracy791. Mental requirement of democracy792. Culture, education and the improvement of political capability80Chapter Five The Evolution of Political System and the Establishment of Popular democracy83I. “Old regime of Britain841、The origin of “old regime”842、Civil war, “Glory Revolution” and the evolution of “old regime88II. Dualism of “old regime”901、The advancements of “old regime” 912、The limitations of “old regime” 923、Demands for political reform95III. Parliamentary reform in 19th century: Toward popular democracy961、The first parliamentary reform962、The second and third parliamentary reform100Conclusion105Bibliography109Acknowledgements115摘 要作为一种上层建筑，“民主制度”的建立必须以一定的经济和社会条件为基础。不过，即使在经济和社会条件大致相当的条件下，各国建立“民主制度”的过程和方式平稳与否、付出代价多少却不尽相同。因此，民主制度建立的方式和条件是值得深思和探讨的一个问题。英国作为老牌的资本主义国家，也是议会民主的发源地。对英国民主制度建立的方式和条件进行考察，具有比较典型的意义。这将有助于深化我们对民主政治发展规律的认识，也可以为中国的民主政治建设提供参考和启示。英国民主制度的建立，尤其在这一过程的主要时期十九世纪，呈和平、稳健和渐进的特征。英国所走的是一条比较理想的民主政治发展道路。近年已经有不少学人开始关注英国民主政治发展的经验，并甚为推崇，还提出了英国式现代化或民主发展道路的问题。目前这方面的研究大多数都是历史研究，基本是遵循一种历史的线索。尽管这使我们对于英国民主政治发展能够获得一条清晰的脉络，但却不足以使我们对民主政治发展中各种因素的作用有一个较为全面的认识。因此，本文试图从政治学和民主转型理论的角度，把英国民主制度建立过程中的主要因素纳入到一个政治分析框架之中，进行全面的分析。这可以使我们既能从不同的角度了解英国民主制度建立过程中各种因素的作用，又能了解各种因素的相互关系，从而增进我们对于民主发展的条件的认识。本文试图从五个方面来探讨英国民主制度建立的条件：即经济基础、阶级结构、市民社会、政治文化和政治制度，使之成为一项综合性的和系统性的对英国民主制度建立的方式与条件的研究的尝试。本文的结构安排反映出从经济到社会和文化、再到制度的这样一个逻辑线索。本文就英国民主制度建立的方式与条件提出两大核心问题：一是英国的民主制度为什么能够较早地开始发展并确立下来？二是英国的民主制度为什么能够以和平、稳健而渐进的方式发展和建立？这两大问题构成全文的主要线索，贯穿五个方面的论述之始终。第一，从经济基础的角度看，经济基础的变化对英国民主发展的影响体现在农业资本主义、工业革命与经济发展三个方面的共同作用。经济发展与工业革命相结合、物质条件的巨大改善与工业社会的出现相结合，构成了民主发展的经济基础。工业革命和工业社会对于民主政治的影响，是经济基础对政治建筑的决定作用的体现。工业革命带来的经济大发展改造了传统的社会结构，创造了一个更开放的、更有利于民主政治的社会结构，大大提高了民众的参政能力和参政意识，使得民主的发展成为不可避免的结果，政治变革相对来说水到渠成；其次，较早发生工业革命，并且在工业革命发生之前就出现了农业资本主义化的趋势，使得经济结构和社会结构得以平稳地变革，也使得政治变革不致陷于错综复杂的社会矛盾和阶级矛盾当中而造成重大的动荡和冲突。第二，从阶级结构变迁的角度看，在19世纪英国民主制度建立的关键时期，阶级政治的格局呈现出贵族阶级、资产阶级、工人阶级和中产阶级之间的复杂关系。这四个主要阶级构成了英国民主政治发展阶段特定的阶级结构。英国这种阶级结构中的总的力量分布是倾向于民主的，这是民主政治得以发展的重要社会基础。民主的力量包括工人阶级、中产阶级和资产阶级。反对民主进步的主要是贵族和地主阶级，但是他们的消极抵制多于顽强反抗。其中，工人阶级是激进的民主力量，中产阶级尤其是小资产阶级倾向于工人阶级的政治诉求，而资产阶级尽管具有一定的保守性，但是也属于民主阵营。因此在英国，十九世纪建立起来的大众民主制度，不能简单称之为“资产阶级民主”，而是当时各进步阶级共同创造的。英国这种阶级结构的力量分布又具有均衡性和相互交叉的特点。各种阶级力量纵横交错，任何一方都不占有绝对的优势，各种阶级力量之间既有联合，也有斗争。这使得民主发展主要以政治博弈和妥协的方式进行，呈现和平与渐进的特点。第三，从市民社会发展的角度看，市民社会的社团组织往往依赖公共领域而存在和发展，而大多数社会政治运动都是由社团组织发动和领导的。英国在18、19世纪已经产生了比较成熟的市民社会。由于社会自治的传统，英国的民间组织一直比较活跃，在工业革命影响下，新的阶级和社会群体兴起，又催生了更多的市民组织和团体。这使得英国民主发展的社会基础更加牢固。19世纪三次重大的社会政治运动议会改革运动、反谷物法运动、宪章运动都有鲜明的社团组织背景，对于英国民主的发展产生了重大的推动作用。尤其是议会改革运动和宪章运动，其直接目标都是普选权。这些社会政治运动不仅锻炼了民众的民主素质，而且推动了大众民主的实现。英国的市民社会及社会政治运动在民主发展中的作用表明，一个社会的社团组织程度高，并不一定导致国家与社会之间的剧烈冲突。市民社会不仅由于其对社会力量的组织和动员为民主的发展和民主制度的建立提供了坚实的社会基础，而且由于其对社会力量的组织和控制作用，也有助于民主制度以和平、渐进的方式建立起来。第四，从政治文化传统的角度看，政治文化的丰富和复杂性对英国民主的发展具有多方面的影响。在英国，自由与保守、激进与审慎两种因素既有冲突和斗争，又有结合和交融，政治文化在民主政治发展中起了一种平衡的作用。首先，“生而自由的英国人”的古老观念与近代自由主义思想结合在一起，为英国民主的发展提供了强大的理论资源和精神动力。选举权的扩大和普选制成为古老的自由观念在新的社会现实中的自然发展，最终压倒上层阶级对普选权的反对，使得大众民主得以实现。其次，保守主义思想的影响又使得英国人在对改革的态度上比较审慎，对民主的警惕心理也对民主发展产生了一定的制衡作用。这是英国民主政治发展道路保持和平、渐进特点的政治文化因素。此外，大众教育的发展、传播媒介的增多，促进了公民政治素质的提高，使民主的“智力条件“得以逐步具备，增加了十九世纪英国政治的发展的可能性。第五，从政治制度演变的视角看，英国民主的和平渐进发展，与英国旧制度的性质、统治阶层和体制外社会力量对制度革新方式的选择密不可分。追求政治变革的社会力量充分利用旧制度的合理因素，而非轻易采取激进或极端的手段，而统治阶层也能够及时对制度进行不断地改造，是民主制度以和平渐进方式得以建立的重要的制度层面原因。英国各阶层为争取政治权利的斗争很少脱离议会制度的框架之外，在绝大多数情况下，都是围绕着选举权而展开的。扩大选举权和实现普选制成为英国大众民主确立的一条主线。这并不意味着整个政治制度的重建，在很大程度上是对既有政治制度的完善或“增量改革”。在君主立宪制的外壳下，英国政体的实质从精英民主或贵族民主和平渐进地转变为大众民主。这得益于“旧制度”包含的开放性与权力的制度化。英国历史上早已出现的代议制度，使现代的政治斗争有一个制度化的框架。议会一开始是贵族限制王权的工具，后来则成为人民实现自己政治和经济社会权利的工具。在民主发展的过程中，选举民主带动了议会民主，人民主权带动了议会主权。扩大选举权和实现普选制成为英国大众民主确立的一条主线。.总之，本文从民主转型的基本理论出发，对英国民主制度建立的方式与条件进行了系统的多因素的分析，尤其着重于英国民主发展的社会基础。从经济、阶级、市民社会、政治文化和政治制度五个方面进行的探讨表明，英国十九世纪民主的发展具有较为坚实的基础和强大的动力，而且民主发展的和平稳健和渐进特征又有较为确切的保障。民主的发展和民主制度的建立是多因素共同作用，而不仅是一两个因素单独作用的结果。英国民主政治发展中的各种因素，是相互联系和相互影响的：历史和现实，经济与社会，政治与文化等各种因素之间存在着复杂和密切的互相关系。而英国的民主制度之所以能够在十九世纪建立起来，就是因为这些因素总的作用是有利于民主政治的。英国的经验也表明，在民主发展的各种因素中，经济基础的变化以及由此引发的社会结构的巨变具有一种决定性作用。民主发展的动力主要来自工业革命的影响和工业社会的结构，民主发展的和平、稳健与渐进的特点则主要来自工业革命前即已初步形成的社会、文化和制度因素。因此，英国民主制度建立的方式由于其在工业革命之前形成的一些社会文化和制度特点而具有一定的特殊性，但是由于工业化和现代化所导致的经济基础与社会结构的变化是全球性的，所以工业社会与民主发展之间的联系具有一定的普遍性。在民主政治发展的过程中，比之特殊性，这种普遍性具有更大的意义和影响。关键词：英国；民主制度；方式；条件 AbstractAs a kind of superstructure, democracy needs certain historical and social conditions. Even the economic and social conditions are approximately the same, the process and model of the establishment of democracy in each country is often different. The discussion of western experience will help us to deepen the knowledge of the democratic development and realize the historical situation of Chinese democratic development. This thesis studies the British democratic development which is typical among western countries and focuses on the model and the conditions of the establishment of popular democracy in the late 18th century and 19th century.The character of British democratic development is peaceful and gradualism. This is a rather smooth road to democracy. In recent years, many scholars showed their strong interests in this issue and put forward the notion of British model of modernization or democratic development.At present, most of the researches on this topic are historical. On the basis of current studies, this thesis means to put main factors for the British model of democratic development into a political analytical structure from the perspective of political science and democratic development so as to make it become a comprehensive and systematic study on this issue. The study will focus on five aspects: economic foundation, class structure, civil society, political culture and political system with the emphases on the transformation of class structure and the evolution of political system. This comprehensive analysis can help us to realize the causes of British model of democratic development from various perspectives as well as to acknowledge the mutual action between them in the process of British democratic development The structure of this thesis follows this logical thread: from economy to society and culture, then to political system. To begin with economy is because the economic foundation has the essential influences on other social aspects especially the superstructure. To large degree, the evolution of class structure is the direct reflection of these influences. The transformation of economic foundation and the evolution of class structure add new motive and class factor to civil society which act as the main body for political culture. Finally, all the influences of above aspects boil down to the evolution of political system.This thesis have two main questions, the first is why Britain achieve democracy earlier than many other countries? The second is why the road of Britain to democracy so peaceful, steady and gradual? These two main questions act as the main thread and will run through the discussion of all five aspects.Firstly, from the perspective of the economic foundation, the influences of the transformation of economic foundation on British democratic development come from the collective action of three aspects: agricultural capitalism, industrial revolution and economic development. The association of economic development and industrial revolution, the great improvement of material condition and the emergence of industrial society offered the economic foundations for democratic development. It is the special situation that agricultural capitalism happened ahead of industrial revolution in Britain which caused smooth evolution of social structure during industrial revolution. Industrial society offers solid bases for democratic development and leads to the achievement of popular democracy. Both economic development and the improvement of material condition are requirements for democratic development, but only when they come with the transformation of social structure and the independent economic interests and the improvement of political capability. Democracy can be seen as a kind of natural demand of individual development in society which is the result of the combination of political interests, political capability and political consciousness. Only in industrial society, most people of society have those three qualities.Secondly, from the perspective of class structure, in 19th century, the situation of class politics in Britain presents a kind of complicate relationship among aristocrats, Bourgeoisie, working class and middle class. Those four main classes formed the certain class structure in the process of British democratic development. In this class structure, most forces are democratic, such as working class, middle class and entrepreneur. This is the important social bases for democratic development. The main class force which opposes democracy is aristocrats and landlords, but they are more negative resistance than stubborn confrontation to democratic forces. Due to the parliamentary system and the blend of the interests between aristocrats and entrepreneurs, big and middle entrepreneurs were entitled political rights earlier; it is mainly the middle class or petty bourgeoisie and working class who drive the democratic movement forward. Another character of the class structure in Britain is balanced and intercrossed, which made democratic development mainly in a model of political game and compromise, with a strong characteristic of peace and gradualism.Thirdly, from the perspective of civil society, the existence and development of societies of civil society often depend on public sphere and most of the social movements are launched and led by social organizations. In 18th and 19th century, the civil society in Britain already rather developed. As a result of long tradition of social autonomy, the civilian organizations in Britain were very active. Influenced by the industrial revolution, the rise of new classes and social groups established more civil organizations and societies which enhanced the social bases of British democratic development. All three significant social-political movements in 19th centuryparliamentary reform movement, anti-corn law movement and Charter movementhave strong background of societies and civil organizations and advanced British democratic development greatly. Especially the parliamentary reform movement and Charter movement, their direct aims are universal suffrage. The effect of civil society on British democratic development indicates that developed civil society and pluralistic social organization will not certainly cause violent conflict between state and societies.Fourthly, from the perspective of political culture, the richness and complicacy of political culture in Britain have various influences. In Britain, there are conflicts as well as integration between liberty and conservatism, radicalism and prudence. The political culture had an equilibrious effect on British democratic development. Otherwise, the development of education and the increase of public media, promote the political capability of the public.Fifthly, from the perspective of political system, the peaceful and gradual development of British democracy is closely related with the character of “old regime” and the selection of the model of political reform. The social forces which aim at political reform made full use of positive factors of “old regime” rather than use radical or extreme model, and the ruling class also carries out political reform timely. All the classes in Britain seldom deviate from the parliamentary system in the process of fighting for political rights. In most cases, they aimed at suffrage. So broaden suffrage became the main thread during the establishment of popular democracy.In conclusion, the analysis on five aspects of economic foundation, class structure, civil society, political culture and political system indicate that British political democratic development in 19th have solid foundation and strong motives, and the character of peace and gradualism also have validate guarantee. Democratic development is the result of collective influences of different factors but not only one or two factors. The motives of British democratic development mainly can be seen in the influences of industrial revolution and the formation of industrial society. The transformation of economic foundation and social structure make the universal suffrage