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系統識別號 U0002-1907201101375400
中文論文名稱 自由主義與美國政治傳統
英文論文名稱 Liberalism in the American Political Tradition: Philosophical Foundations and Historical Developments
校院名稱 淡江大學
系所名稱(中) 美洲研究所博士班
系所名稱(英) Graduate Institute of The Americas
學年度 99
學期 2
出版年 100
研究生中文姓名 沈圃稼
研究生英文姓名 Daniel J. C. Shen
學號 892220020
學位類別 博士
語文別 英文
口試日期 2011-06-27
論文頁數 282頁
口試委員 指導教授-崔馬吉
委員-陳明
委員-呂亞力
委員-陳一新
委員-李普生
中文關鍵字 古典自由主義  現代自由主義  自由  消極自由  積極自由  平等  機會平等  結果平等  法律平等  私有財產權  自由市場體制  政府  保護者類型政府  提供者類型政府  公共利益  競爭  交易程序  社會契約 
英文關鍵字 classical liberalism  modern liberalism  liberty  negative liberty  positive liberty  equality  equality of opportunity  equality of outcome  equality before the law  private property rights  free market system  government  protector-type government  provider-type government  common good  competition  process of exchange  social contract 
學科別分類
中文摘要 美國自由主義之本質乃是紮根於十八世紀啟蒙運動之政治思想體系,其於傳統上信奉個人自由、機會平等、自由市場經濟、擴張定義的財產權、自由民主之資本主義以及有限政府。唯自十九世紀末起,在經歷了一重新定義過程之後,傳統之美國自由主義漸漸為其「現代」版本所取代。自二十世紀三〇年代之羅斯福新政時期起,此一現代版本之美國自由主義,便開始強調藉由政府權威性手段,以達到更公平之經濟分配和社會福利措施。此後,美國即踏上了與個人自由漸行漸遠,並向中央集權論觀念傾斜之路。除此之外,此一最初矢志保護個人自由,以作為唯一政府目的之政治思想,被改造成視政府為所謂應得權利和其他公共服務之「供應者」。因此,此一經重新定義之現代自由主義在美國政治傳統中,明顯地導致了個人自由的侵蝕,向社會主義輕微靠攏,無可避免的政府機關破產,遭人非議的福利措施,並因其放棄了其傳統的哲學基礎,而遭致眾多批評。
英文摘要 The essence of liberalism in the United States of America, which took root in the 18th century Enlightenment political ideologies and traditionally espoused individual liberty, equality of opportunity, a free market economy, an expansive definition of property rights, liberal democratic capitalism, and limited government, has undergone a redefining process since the late nineteenth century and been replaced by a "modern" version, which emphasizes more equitable economic distribution by means of authoritative measures and social welfare since the 1930's New Deal era. Thereafter, America embarked upon a journey sliding away from individual liberty and toward the embrace of various conceptions of statism. Moreover, a political ideology that originally claimed protection of individual liberty as the sole purpose of government, was transformed into one that perceives government as a provider of so-called entitlement rights and other services. Consequently, this redefined liberalism in the American political tradition has brought about an indisputable erosion of various individual liberties, subtle approximation to socialism, intransigent bankruptcy, disputed welfare programs, and become an obloquy to many as it surrendered its traditional philosophical foundations.
論文目次 PREFACE.............................................................................................................................v
Introduction.......................................................................................................................1
The Logomachy...........................................................................................................1
The American Political Tradition.............................................................................9
Liberalism or Liberalisms?......................................................................................15
The Components of Liberalism.............................................................................20
1. Liberty................................................................................................................21
2. Equality..............................................................................................................22
3. Private Property Rights..................................................................................24
4. Free-Market System ........................................................................................27
5. The Role of Government................................................................................29
Chapter One The Essence of Liberty.........................................................................33
A. Negative Liberty and Positive Liberty.............................................................36
The Classical and Contemporary Views on Two Liberties.......................38
Negative Liberty: Freedom from What?......................................................42
Positive Liberty: Freedom to do What?.......................................................44
B. The Tension between the Two Liberties.........................................................46
Summary....................................................................................................................50
Chapter Two The Myth about Equality.....................................................................53
A. The Significance of Equality...............................................................................55
B. Causes of Inequality.............................................................................................61
C. Equality for Whom?..............................................................................................63
D. Equality of What?..................................................................................................67
Equality before the Law...................................................................................70
Equality of Opportunity...................................................................................71
Equality of Outcome.........................................................................................76
Summary.....................................................................................................................79
Chapter Three Liberty and Equality: Complementary or Competitive?............83
A. Liberty and Equality as the Incompatible Pair...............................................84
Plato....................................................................................................................84
Aristotle..............................................................................................................85
B. Liberty and Equality as Complements.............................................................86
Thomas Hobbes ................................................................................................87
John Locke..........................................................................................................88
Jean-Jacques Rousseau...................................................................................89
C. Liberty and Equality as Competitors................................................................91
Baron de Montesquieu....................................................................................93
Alexis de Tocqueville.......................................................................................94
D. The American Manifestation: Quest for Equality?........................................97
The Revolution and the Constitution..........................................................99
Slavery and the Abolition Movement..................................................... .106
The Civil Rights Movement.........................................................................111
Summary.................................................................................................................113
Chapter Four The Conceptions of Private Property...........................................117
A. Property as a Means or an End?.....................................................................120
Property as a Means to Moral Life and the Common Good.................121
Property Rights as Human Rights..............................................................125
B. Institutions of Private Property Rights.........................................................134
Property Rights and the Establishment of Government......................135
Property Rights and Judiciary Protection................................................140
Property Rights and the Freedom of Contract.......................................143
Summary.................................................................................................................145
Chapter Five Freedom and the Free Market.......................................................149
A. The Arrangements of the Marketplace........................................................151
The Marketplace and the Process of Exchange......................................153
The Marketplace and Capitalism ...............................................................156
The Marketplace and Competition............................................................158
The Marketplace and Public Good.............................................................162
The Marketplace and Government............................................................164
B. The Evolution of American Economic Thought..........................................168
The Colonial Era..............................................................................................168
The Formative Years......................................................................................169
From the 1820s to the 1890s.......................................................................172
The Twentieth Century..................................................................................174
The New Deal and the Aftermath................................................................175
Summary...................................................................................................................178
Chapter Six The Role of Government: Protector or Provider?............................183
A. Philosophical Justification of Government under Liberal Premises........187
Government in the Theory of Social Contract...........................................188
The Common Good and Government.........................................................193
B. The Role of the Government.............................................................................197
Government as a Protector............................................................................199
Government as a Provider..............................................................................203
C. The Transforming Ideas on the Proper Role of the U.S. Government.......207
The Genesis........................................................................................................207
The Founding Era..............................................................................................209
The Populist Movement..................................................................................212
The Progressive Era..........................................................................................216
Contemporary Ideas........................................................................................224
Summary....................................................................................................................225
Conclusion.......................................................................................................................229
The Erosion of Individual Liberties.......................................................................232
The Ill-fated Welfare State......................................................................................235
Socialism or Liberalism?..........................................................................................238
INDEX................................................................................................................................243
BIBLIOGRAPHY................................................................................................................249
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Articles:
Arnold, Thurman, “Antitrust Law Enforcement, Past and Future,” Law and Contemporary Problems, Vol. 7, No. 1, The Sherman Antitrust Act and Its Enforcement (Winter, 1940), pp. 5-23.
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Famakinwa, J. O., “The Liberal Common Good,” Diametros, Issue 12 (June 2007), pp. 25-43.
Feeney, Oliver, “Equality of whom? A Genetic Perspective on Equality (of Opportunity),” Res Publica, Volume 12, Number 4 (December, 2006), pp. 357-383.
Filene, Peter G., “An Obituary for ‘The Progressive Movement,’” American Quarterly, Vol. 22, No. 1 (Spring, 1970), pp. 20-34.
Fleurbaey, Marc, “Egalitarian Opportunities,” Law and Philosophy, Vol. 20 (2001), pp. 499-530.
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Frankfurt, Harry, “Equality and Respect,” Social Research, Vol. 64, No., 1 (Spring 1997), pp. 3-15.
Franklin, John Hope, “Edward Bellamy and the Nationalist Movement,” The New England Quarterly, Vol. 11, No. 4 (December, 1938), pp. 739-772.
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Wyly-Jones, Susan, “The 1835 Anti-Abolition Meetings in the South: A New Look at the Controversy over the Abolition Postal Campaign,” Civil War History, Vol. 47, No. 4 (December 2001), pp. 289-309.
Young, Iris Marion, “Equality of Whom? Social Groups and Judgments of Injustice,” Journal of Political Philosophy, Vol. 9, Issue 1 (March 2001), pp. 1-18

Internet Publications:
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Ross Kenyon, “What Libertarians Should Learn From Radical Socialists,” posted on The Libertarian Standard Website, August 31, 2010. Accessed on May 20, 2011. URL: .
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Thomas West and William Schambra, “The Progressive Movement and the Transformation of American Politics,” First Principles Series Report, No.12, published on July 18, 2007, The Heritage Foundation. Retrieved on October 12, 2010. Available at: .
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Magazines/Newspapers:
Ed O'Keefe, “USPS sees $8.5 Billion Loss, Warns Congress It'll be Broke by 2011,” The Washington Post, Saturday, November 13, 2010. Accessed on April 26, 2011. URL:.
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Hoover, Herbert, “The Challenge to Liberty,” The Saturday Evening Post, Philadelphia, PA, September 8, 1934. Text retrieved from Restoreliberty.com on August 9, 2010. Available at: .
John Hayward, “Social Security Goes Bankrupt: An Important Milestone in Socialist Collapse Approaches,” Breaking News, Human Events Website, January 27, 2011. Accessed on April 26, 2011. URL:.
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Walzer, Michael, “In Defense of Equality,” Dissent Magazine, September 1973.
Online Dictionary and Encyclopedia:
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Roosevelt, Theodore, “Wise and Unwise Methods for Remedying Trust Evils,” from a speech at Fitchberg, Massachusetts, September 2, 1902, in William Griffith, ed., The Roosevelt Policy: Speeches, Letters and State Papers Relating to Corporate Wealth and Closely Allied Topics, reprint, Whitefish, MT: Kessinger Publishing LLC, 2004, pp.
Stephens, Alexander H., “Cornerstone Speech,” delivered on March 21, 1861 at Savannah, Georgia, TeachingAmericanHistory.org. Accessed on September 11, 2010. URL: .
Webster, Noah, “An Oration on the Anniversary of the Declaration of Independence,” a speech delivered in New Havern, 1802, Lexrex.com. Accessed on Feburary 23, 2011. URL: .

Supreme Court and other Court Opinions:
Barbier v. Connolly, 113 U. S. 27 (1885), U.S. Supreme Court, Justia.com, U.S. Supreme Court Center. Accessed on October 10, 2010. Available at:.
Brown, J. “Opinion of the Court,” Plessy v. Ferguson, 163 U.S. 537 (1896), Legal Information Institute, Law school, Cornell University. Accessed on January 21, 2011. URL: .
Harlan, J. “Dissenting Opinion,” Plessy v. Ferguson, 163 U.S. 537 (1896), Legal Information Institute, Law school, Cornell University. Accessed on January 21, 2011. URL: .
Justice Joseph Story, Concurring Opinion, Trustees of Dartmouth College v. Woodward, 17 U.S. 518 (1819), Supreme Court of the United States, Legal Information Institute, Law School, Cornell University. Accessed on July 23, 2010. Available at:.
Matter of N.Y.S. Comm. V. Pelham Hall Apts., 10 Misc.2d 334 (1958), New York State Bar Association (online). Accessed on August 10, 2010. Available at: .
Slaughter House Cases, 16 Wall. 36 (1872), U.S. Supreme Court, Justia.com, U.S. Supreme Court Center. Accessed on October 10, 2010. Available at:.
Spectrum Sports v. McQuillan (1993), Supreme Court, Legal Information, Cornell University Law School. Accessed on May 24, 2011. URL: .
Syllabus, Trustees of Dartmouth College v. Woodward, 17 U.S. 518 (1819), Supreme Court of the United States, Legal Information Institute, Law School, Cornell University. Accessed on July 23, 2010. Available at:.
Taney, C. J., “Opinion of the Court,” Dred Scott v. Sandford, 60 US 393 (1857), Legal Information Institute, Law school, Cornell University. Accessed on January 21, 2011. URL: .

Historical Documents:
Bradford, William, “The Mayflower Compact,” November 11, 1620, NationalCenter.org. Retrieved on June 20, 2010. Available at: http://www.nationalcenter.org/MayflowerCompact.html.
Jefferson, Thomas, “The Original Rough Draught” of the Declaration of Independence, American Treasures of the Library of Congress. Accessed on February 21, 2010. Available at: .
Marx, Karl, and Friedrich Engels, “The Communist Manifesto (1848),” Project Gutenberg (online), released on January 25, 2005. Retrieved on September 23, 2010. Available at: .
Roosevelt, Franklin D., “Message to Congress on Curbing Monopolies,” delivered on April 29, 1938, in John T. Woolley and Gerhard Peters, eds., The American Presidency Project, Santa Barbara, CA. Retrieved on August 10, 2010. Available at: .
Roosevelt, Franklin D., “On Government and Capitalism,” transcript, Fireside Chat, September 30, 1934, Miller Center of Public Affairs, University of Virginia. Accessed on September 17, 2010. Available at: .
“The Virginia Declaration of Rights,” Final Draft,12 June 1776, Gunston Hall website. Accessed on August 21, 2010, URL: .
“Virginia Bill of Rights,” June 12, 1776, Constitution Society, Constitution.org. Accessed on January 23, 2011. Available at: .

Government Publications:
Gibson, Campbell, “Population of the 100 Largest Cities and Other Urban Places in the United States: 1790 To 1990,” U.S. Census Bureau. Retrieved on July 2, 2010. Available at: .
Congressional Record, Vol. 150, Pt. 9, 108th Congress, 2nd Session, June 2, 2004 to June 16, 2004, Washington, DC: U.S. Government Printing Office, 2009.
“America's Founding Fathers: Delegates to the constitutional Convention,” The U.S. National Archives. Accessed on August 25, 2010. Available at: .
“Number in Poverty and Poverty Rate: 1959 to 2009,” U.S. Census Bureau, September 27, 2010. Accessed on April 26, 2011. URL: .
“Report of the United States Commission on Civil Rights,” United States Commission on Civil Rights, Washington D.C.: U.S. Government Printing Office, 1959.
“United States Summary: 2000, Population and Housing Unit Counts,” U.S. Census Bureau, issued on April, 2004. Retrieved on July 2, 2010. Available at: .

Inaugural Addresses:
Carter, Jimmy, “Inaugural Address,” January 12, 1971, Jimmy Carter Library. Retrieved on March 26, 2011. Available at: .
Jefferson, Thomas, First Inaugural Address in Washington, D.C., Wednesday, March 4, 1801, The Avalon Project (online), Lilian Goldman Law Library, Yale Law School. Accessed on August 5, 2010. Available at: .
Kennedy, John F., “Inaugural Address,” January 20, 1961, John T. Woolley and Gerhard Peters, The American Presidency Project [online]. Santa Barbara, CA. Available at: .

Letters:
“Adams to Jefferson,” July 13, 1813 in Lester J. Cappon, ed., The Adams-Jefferson Letter: The Complete Correspondence between Thomas Jefferson and Abigail and John Adams, Chapel Hill, NC: The University of North Carolina Press, 1988, pp.
Adams, John, "Letters to John Taylor, of Caroline, Virginia, in Reply to His Strictures on Some Parts of the Defence of the American Constitutions," in in John Adams, Charles Francis Adams, The Works of John Adams, Second President of the United States: with a Life of the Author, Vol. 6, Boston, MA: Little, Brown and Co., 1856. Electronic version, The Online Library of Liberty. Accessed on November 23, 2010. URL: .
Jefferson, Thomas, “To Colonel Carrington,” May 27, 1788, in Thomas Jefferson, The Life and Selected Writings of Thomas Jefferson, Adrienne Koch and William Peden, eds., New York, NY: The Modern Library, Inc., 1944, p. 447.
“Thomas Jefferson to Isaac H. Tiffany,” April 4, 1819, text from Electronic Text Center, University of Virginia Library. Retrieved on August 9, 2010. Available at: http://etext.lib.virginia.edu/jefferson/quotations/jeffcont.htm. Polygraph copy available at Library of Congress, Thomas Jefferson Papers: http://hdl.loc.gov/loc.mss/mtj.mtjbib023463.
“Thomas Jefferson to James Maury, 1812,” in The Writings of Thomas Jefferson, Memorial Edition, Andrew Adgate Lipscomb & Albert Ellery Bergh, eds., Vol. 13, issued under the auspices of the Thomas Jefferson Memorial Association of the United States, Washington, D.C., 1907.

Unpublished Papers:
Hill, John Lawrence, “Equality, Contingency and the Self: Resolving the Conflict between Equality and Individualism in Modern Legal Thought,” Working Paper Series, Social Science Research Network, posted on August 6, 2008. Retrieved on July 14, 2010. Available at SSRN: .
Lom, Petr, “Alexis de Tocqueville: the Psychologist of Equality,” EUI (European University Institute) Working Paper SPS No. 99/1, pp. . Retrieved on January 10, 2011. Available at: .
Waldron, Jeremy, “Basic Equality,” Theory Working Papers, New York University Public Law and Legal, NELLCO Legal Scholarship Repository, 2008. Retrieved on September 5, 2010. Available at: .

Press Release:
“Statement by Secretary Henry M. Paulson, Jr. on Treasury and Federal Housing Finance Agency Action to Protect Financial Markets and Taxpayers,” Press releases, U.S. Department of the Treasury, September 7, 2008. Accessed on April 26, 2011. URL:.
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