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作者：邱胜利
导师：侯建新
答辩时间：2007年6月
内容提要
本文主要探讨从诺曼征服到大宪章这一历史时期英国王权的性质和地位问题。有限王权是中世纪英国一个重要的政治现象，它不仅体现在理论阐述上，更体现在中世纪的政治实践中。中世纪英国有限王权的形成有多方面的历史因素，本文主要从以下几个方面进行剖析：
首先，通过追溯英国王权的起源，揭示了王权产生的社会政治传统是英国有限王权形成的历史基础。
其次，封君封臣制及庄园制的引入导致王国公共权力的分散，是中央集权的最大障碍；普通法的形成则树立了法律至上的权威，构成了对王权长期而有效的限制。
第三，贵族对王权的抵抗是英国有限王权形成的重要因素；以相互间的权利与义务将王权与贵族联系起来的原始契约关系，是英国有限王权的政治基础；《大宪章》是贵族抵抗王权的纲领性文件。
第四，教会是中世纪英国制约王权的重要政治力量。政教二元政治观分散了权力、平衡了权力，并最终拒绝了极权政治；“王权神授”的神权政治理念赋予了世俗权力从未有过的神圣，同时也给它加上了从未有过的束缚；教皇权的扩张加剧了英国王权与教会的冲突。
第五，财政是透视中古英国王权的重要视角。“国王靠自己的收入生活”是西欧中古时代的一个基本原则。王室的财政来源的划分，限制了国王对公共收入部分的侵夺。国王必须与一定范围内的代议机构协商，经过共同同意才能征税的原则，最大程度地制约了王权的扩张。
笔者还从法理的角度剖析了中世纪英国赋税形态及财政机构的演变过程，揭示了带有较强私权性质的王权向不断扩大的公权性质王权的转变过程。虽然英国王权的性质变化以及王权基础的改变使英王受到的传统制约有所减少，但是新的制约因素也随之出现，尤其是议会对王权的制约，使英国王权的有限性并没有因此改变。
关键词：中世纪 英格兰 有限王权 贵族 教会 财政
Abstract
This dissertation mainly discusses
the character and status of the monarchy of England during the historical period
from the Norman Conquest to Magna Carta.
Limited monarchy was an important
political phenomenon and a legal idea in Medieval England. Not only does it
embody the statements in theory, but also the political practice in the Middle
Ages. The factors in the making of limited monarchy of Medieval England were
complicated. This dissertation mainly analyzes them from several aspects below.
Firstly, After
casting back to the origin of monarchy of England,
the author maintains that the social political tradition which monarchy of England gave birth to is the historical foundation
of the formation of limited monarchy of England.
Secondly, The introduction
of feoff system resulted in the partition of the public power of England, feoff
system became the extreme obstacle in making a centralized kingdom of England；The formation of the common law built
up an supreme authority for the law. The common law
formed a long period and valid limitation to feudal monarchy.
Thirdly, The
resisting monarchy of aristocracies was an important factor in the making of
limited monarchy of England;
The relationship of the primitive contract which was connected with mutual rights
and obligations between monarchy and aristocracies was the foundation of the
limited monarchy of England.
Magna Carta was regarded as a creedal document for aristocracies resisting monarchy.
Fourthly, The
church was another important political power to restrict monarchy in medieval
England. The dualistic
perspective of church and state decentralized and balanced the power, and refused
despotism finally. The idea of theocracy of ‘Power of King from God ’endowed
the secular power with sanctitude and simultaneously
the bondage which had never been given. The expansion of Pope’s theocratic power
and its interference on English politics reinforced the conflicts between monarchy
and church.
Fifthly, Finance is an important
angle of view to inspect monarchy of medieval England. It is
a basic principle that “the king shall live on his own ”.
The division of the source of finance restricted the king’s trespassing to the
public revenue. The principle that king should consult with certain representative
organization, only after common consents can he levy
taxes limited the king’s expansion furthest.
The author analyzes the transformation
of the taxes and financial institution, and reveals the transformation from
more private power to public authority of the character of the monarchy of medieval
England.
However, in spite of the transformation of the character of the monarchy made
the restriction to the king less than before, new factors especially parliament
appeared at the same time. The limited monarchy of medieval England didn’t
change at all.
Keywords: Medieval England Limited monarchy Aristocracy Church Finance
目录
第一章 导言······························ 1
第一节 选题的缘起和意义························· 1
第二节 学术史回顾···························· 3
第二章 英国王权溯源·························· 14
第一节 从部落酋长到贵族君主制的产生··················· 14
第二节 诺曼征服之前的英格兰王国·····················
16
第三节 盎格鲁－撒克逊时代的政治制度···················
19
第三章 诺曼王权的确立·························
25
第一节 诺曼征服和王权的确立·······················
25
第二节 君主制的巩固··························· 29
第三节 亨利二世的改革··························
33
小 结·································· 36
第四章 王权与贵族的合作与对抗·····················
38
第一节 王权与贵族的合作························· 38
第二节 贵族对王权的抵抗························· 46
第三节 贵族抵抗王权的纲领—《大宪章》·················· 52
小 结·································· 56
第五章 教权对王权的制衡························
57
第一节 中世纪政教二元政治观······················· 57
第二节 中世纪早期的王权神授······················· 62
第三节 英国王权与教会的权力争夺····················· 70
小 结·································· 83
第六章 王权与财政··························· 85
第一节 王室的财政来源·························· 85
第二节 由王室财政到国家财政的演变···················· 94
第三节“共同同意”原则的确立······················ 105
结 语······························· 111
参考文献·······························
114
一、中文类······························· 114
二、英文类······························· 117
后 记·······························
122
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