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王豪
陳琪
葡語國家研究院
葡語國家研究博士學位課程(中文學制)
博士
2022
埃亞內斯時期葡萄牙政治民主化研究（1976-1986）
A Research on Political Democratization in Portugal During the Presidency of Ramalho Eanes (1976-1986)
埃亞內斯 ; 葡萄牙 ; 政治民主化
Ramalho Eanes ; Portugal ; Political Democratization
公開日期：26/10/2025
近年來，國際社會一方面出現部分國家因政權持續動蕩引發政治危機，另一方面威權政權向民主政權轉型過程中也困難重重甚至出現逆轉現象，國際形勢在瞬息萬變中昭示著世界正處於百年未有之大變局，這被美國國際政治學者塞繆爾·亨廷頓(Samuel Phillips Huntington, 1927-2008)在《第三波：二十世紀末的民主化》中統稱為第三波民主化浪潮(1974年-至今)。而葡萄牙不僅是世界範圍內第三波民主化浪潮的發源地，也是歐洲地區威權政權向民主政權轉型的重要範例。因此，揭示葡萄牙政治民主化具有非凡意義。
葡萄牙“四·二五”革命的發生被亨廷頓認為是第三波民主化浪潮的揭幕事件，但其也是葡萄牙人民推翻薩拉查獨裁統治政府開啟葡萄牙自身民主化進程的標誌，但這同時引發了如何處理革命後政治和軍事力量參與政治權力分配的挑戰。作為革命後的首任民選軍人總統埃亞內斯，雖然他同時擁有武裝力量支持和民主選舉合法性的，但不僅需要平衡敏感且可能顛覆民主的軍政關係，也要面對總統和議會乃至政黨之間的結構性矛盾，還要回應民眾改善政治生活的期盼。本研究以埃亞內斯在任期內推動政治民主化為研究對象，以期對威權政權向向民主政權轉型提供借鑒思路。
本文回顧了與葡萄牙民主化相關文獻，發現既有研究存在以下局限：第一，國內學者和國外學者的對於葡萄牙政治民主化研究結論並不一致；第二，對於埃亞內斯時期政治民主化積極作用缺乏進一步探討；第三，忽視了葡萄牙民主化軍政及政黨關係的複雜性。這些研究局限也為本文研究提供了重要的研究間隙。基於此，本研究包括四個主要內容：第一，對於葡萄牙政治民主化的歷史發展脈絡進行重新梳理；第二，埃亞內斯在任期與革命委員會的政治博弈與影響；第三，埃亞內斯推動憲法修正案的意義與影響；第四，國際外部環境對於埃亞內斯實現政治民主化的助力。
本文研究發現：（1）埃亞內斯時期政治民主化困境形成有其特殊的歷史原因；（2）領導人個人可以在任內運用高超的非暴力政治手段對政治民主化發揮巨大影響作用；（3）武裝力量在葡萄牙政治民主化的進程中擔當重要角色；（4）革命委員會作為武裝力量在國家治理架構上的代表存在天然局限性；（5）政黨鬥爭是政治民主化鞏固期另一主要矛盾來源；（6）憲法法院的設立規制了埃亞內斯的總統權力；（7）歐洲一體化進程影響了葡萄牙國內政治民主化的發展。
基於研究發現，本文的主要研究理論價值主要有以下方面：①本研究揭示了威權政權向民主政權平穩過渡轉移的可能性；②領導人可以理性通過對武裝力量和政黨做出部分妥協和抵制支援武裝力量在民主政權中的合理退出以維護民主政權的穩定；③借鑒先進政治制度對憲法制度的重新合理設計，可以避免重蹈獨裁統治的覆轍；④關於埃亞內斯時期政治民主化研究的成果不多，本文豐富了關於葡萄牙政治民主化的研究。
葡萄牙“四·二五”革命的發生被亨廷頓認為是第三波民主化浪潮的揭幕事件，但其也是葡萄牙人民推翻薩拉查獨裁統治政府開啟葡萄牙自身民主化進程的標誌，但這同時引發了如何處理革命後政治和軍事力量參與政治權力分配的挑戰。作為革命後的首任民選軍人總統埃亞內斯，雖然他同時擁有武裝力量支持和民主選舉合法性的，但不僅需要平衡敏感且可能顛覆民主的軍政關係，也要面對總統和議會乃至政黨之間的結構性矛盾，還要回應民眾改善政治生活的期盼。本研究以埃亞內斯在任期內推動政治民主化為研究對象，以期對威權政權向向民主政權轉型提供借鑒思路。
本文回顧了與葡萄牙民主化相關文獻，發現既有研究存在以下局限：第一，國內學者和國外學者的對於葡萄牙政治民主化研究結論並不一致；第二，對於埃亞內斯時期政治民主化積極作用缺乏進一步探討；第三，忽視了葡萄牙民主化軍政及政黨關係的複雜性。這些研究局限也為本文研究提供了重要的研究間隙。基於此，本研究包括四個主要內容：第一，對於葡萄牙政治民主化的歷史發展脈絡進行重新梳理；第二，埃亞內斯在任期與革命委員會的政治博弈與影響；第三，埃亞內斯推動憲法修正案的意義與影響；第四，國際外部環境對於埃亞內斯實現政治民主化的助力。
本文研究發現：（1）埃亞內斯時期政治民主化困境形成有其特殊的歷史原因；（2）領導人個人可以在任內運用高超的非暴力政治手段對政治民主化發揮巨大影響作用；（3）武裝力量在葡萄牙政治民主化的進程中擔當重要角色；（4）革命委員會作為武裝力量在國家治理架構上的代表存在天然局限性；（5）政黨鬥爭是政治民主化鞏固期另一主要矛盾來源；（6）憲法法院的設立規制了埃亞內斯的總統權力；（7）歐洲一體化進程影響了葡萄牙國內政治民主化的發展。
基於研究發現，本文的主要研究理論價值主要有以下方面：①本研究揭示了威權政權向民主政權平穩過渡轉移的可能性；②領導人可以理性通過對武裝力量和政黨做出部分妥協和抵制支援武裝力量在民主政權中的合理退出以維護民主政權的穩定；③借鑒先進政治制度對憲法制度的重新合理設計，可以避免重蹈獨裁統治的覆轍；④關於埃亞內斯時期政治民主化研究的成果不多，本文豐富了關於葡萄牙政治民主化的研究。
In recent years, there have been political crises in some countries due to the continuous political turmoil. Besides, there have been many difficulties and even reversals in the process of the transition from authoritarian regimes to democratic regimes. The rapid changes in the international situation indicate that the world is in a great change that has not been seen in a century, this is commonly referred to as the third wave of democratization (1974 - present) in the third wave: Democratization at the end of the 20th century by Samuel Phillips Huntington, which is an American international political scholar (1927-2008). Portugal is not only the birthplace of the third wave of democratization in the world, but also an important example of the transition from authoritarian regimes to democratic regimes in Europe. Therefore, it is of great significance to reveal the political democratization of Portugal.
The "April 25" revolution in Portugal was considered by Huntington as the opening event of the third wave of democratization. However, it was also a sign that the Portuguese people overthrew the dictatorship of Salazar and started the process of democratization in Portugal. However, it also raised the challenge of how to deal with the participation of political and military forces in the distribution of political power after the revolution. As the first democratically elected military president after the revolution, although he has the support of the armed forces and the legitimacy of democratic elections, he not only needs to balance the sensitive military political relations that may subvert democracy, but also needs to face the structural contradictions between the president, Parliament and even political parties, and respond to the expectations of the people for improving their political life. This study takes the political democratization promoted by Eanes during his term of office as the research object, in order to provide reference ideas for the transition from authoritarian regime to democratic regime.
This paper reviews the literature related to Portugal's democratization and finds that the existing studies have the following limitations: first, the conclusions of domestic and foreign scholars on Portugal's political democratization are inconsistent; Second, there is a lack of further discussion on the positive role of political democratization in the Eanes period; Third, it ignores the complexity of the democratization of military politics and political party relations in Portugal. These limitations also provide an important research gap for this study. Based on this, this study includes four main contents: first, the historical development of political democratization in Portugal is reorganized; Second, the political game and influence between Eanes and the Revolutionary Committee; Third, the significance and influence of Eanes's promotion of constitutional amendment; Fourth, the international external environment has helped Eanes realize political democratization.
This paper finds that: (1) The dilemma of political democratization in the Eanes period has its special historical reasons; (2) Individual leaders can use superb nonviolent political means to exert a great influence on political democratization during their tenure; (3) The armed forces play an important role in the process of political democratization in Portugal; (4) The Revolutionary Committee, as the representative of the armed forces in the national governance structure, has natural limitations; (5) Party struggle is another major source of contradiction in the period of political democratization consolidation; (6) The establishment of the Constitutional Court regulated the presidential power of Ayanese; (7) The process of European integration has affected the development of political democratization in Portugal.
Based on the research findings, the main theoretical values of this study are as follows: ①This study reveals the possibility of smooth transition from authoritarian regime to democratic regime; ②Leaders can rationally maintain the stability of the democratic regime by making partial compromises to the armed forces and political parties and resisting and supporting the reasonable withdrawal of the armed forces from the democratic regime; ③Drawing lessons from the advanced political system to redesign the constitutional system can avoid repeating the mistakes of autocratic rule; ④There are few achievements in the study of political democratization in the Eanes period. This paper enriches the study of political democratization in Portugal.
The "April 25" revolution in Portugal was considered by Huntington as the opening event of the third wave of democratization. However, it was also a sign that the Portuguese people overthrew the dictatorship of Salazar and started the process of democratization in Portugal. However, it also raised the challenge of how to deal with the participation of political and military forces in the distribution of political power after the revolution. As the first democratically elected military president after the revolution, although he has the support of the armed forces and the legitimacy of democratic elections, he not only needs to balance the sensitive military political relations that may subvert democracy, but also needs to face the structural contradictions between the president, Parliament and even political parties, and respond to the expectations of the people for improving their political life. This study takes the political democratization promoted by Eanes during his term of office as the research object, in order to provide reference ideas for the transition from authoritarian regime to democratic regime.
This paper reviews the literature related to Portugal's democratization and finds that the existing studies have the following limitations: first, the conclusions of domestic and foreign scholars on Portugal's political democratization are inconsistent; Second, there is a lack of further discussion on the positive role of political democratization in the Eanes period; Third, it ignores the complexity of the democratization of military politics and political party relations in Portugal. These limitations also provide an important research gap for this study. Based on this, this study includes four main contents: first, the historical development of political democratization in Portugal is reorganized; Second, the political game and influence between Eanes and the Revolutionary Committee; Third, the significance and influence of Eanes's promotion of constitutional amendment; Fourth, the international external environment has helped Eanes realize political democratization.
This paper finds that: (1) The dilemma of political democratization in the Eanes period has its special historical reasons; (2) Individual leaders can use superb nonviolent political means to exert a great influence on political democratization during their tenure; (3) The armed forces play an important role in the process of political democratization in Portugal; (4) The Revolutionary Committee, as the representative of the armed forces in the national governance structure, has natural limitations; (5) Party struggle is another major source of contradiction in the period of political democratization consolidation; (6) The establishment of the Constitutional Court regulated the presidential power of Ayanese; (7) The process of European integration has affected the development of political democratization in Portugal.
Based on the research findings, the main theoretical values of this study are as follows: ①This study reveals the possibility of smooth transition from authoritarian regime to democratic regime; ②Leaders can rationally maintain the stability of the democratic regime by making partial compromises to the armed forces and political parties and resisting and supporting the reasonable withdrawal of the armed forces from the democratic regime; ③Drawing lessons from the advanced political system to redesign the constitutional system can avoid repeating the mistakes of autocratic rule; ④There are few achievements in the study of political democratization in the Eanes period. This paper enriches the study of political democratization in Portugal.
2022
中文
101
致 謝 I
摘 要 II
Abstract IV
圖目錄 VIII
表目錄 IX
第一章 緒論 1
1.1 研究背景與研究意義 1
1.1.1 研究背景 1
1.1.2 研究意義 3
1.2 文獻綜述 4
1.2.1 國內研究綜述 4
1.2.2 國外研究綜述 5
1.3 內容框架與研究方法 9
1.3.1 內容框架 9
1.3.2 研究方法 9
1.4 創新之處與主要不足 10
1.4.1 創新之處 10
1.4.2 主要不足 11
第二章 主要概念界定及理論基礎梳理 12
2.1 民主與政治民主化 12
2.2 軍人政權與政治民主化 15
2.3 葡萄牙半總統治特徵 21
第三章 葡萄牙民主化進程的歷史背景 24
3.1 君主制向君主立憲制的轉變（1800-1910） 24
3.2 共和制的短暫出現（1910-1926） 25
3.3 軍人政府與合作主義“新國家”（1926-1974） 27
3.4 “武裝部隊運動”與民主化過渡期（1974-1976） 30
3.4.1 武裝部隊運動與斯皮諾拉 30
3.4.2 武裝部隊運動與葡萄牙共產黨 32
3.4.3 武裝部隊運動與制憲會議 36
第四章 民主化初期的政局動蕩（1976-1982） 40
4.1 革命委員會的爭議 40
4.1.1 革命委員會的權力設計 40
4.1.2 革命委員會的違憲審查權 42
4.1.3 革命委員會的弊端 44
4.2 1976年憲法與首次總統選舉 48
4.3 1979-1980年議會及總統選舉 54
4.5 歐盟一體化的外在要求 60
第五章 憲法修正案與民主化鞏固期（1982-1986） 62
5.1. 革命委員會的廢除 62
5.2 憲法法院設置與總統權力規制 67
5.3 憲法法院與革命委員會、憲法委員會的區別 73
5.3.1 組成結構程式和職權範圍的差異 73
5.3.2 違憲審查訴訟成本差異 76
5.4 埃亞內斯第二任期的政治角力 79
5.4.1 政治環境的新變化 79
5.4.2 民主革新黨的設立 81
第六章 結論 85
參考文獻 90
1.期刊類 90
2.專著類 94
3.電子文獻 99
作者簡歷 100
附 錄 101
摘 要 II
Abstract IV
圖目錄 VIII
表目錄 IX
第一章 緒論 1
1.1 研究背景與研究意義 1
1.1.1 研究背景 1
1.1.2 研究意義 3
1.2 文獻綜述 4
1.2.1 國內研究綜述 4
1.2.2 國外研究綜述 5
1.3 內容框架與研究方法 9
1.3.1 內容框架 9
1.3.2 研究方法 9
1.4 創新之處與主要不足 10
1.4.1 創新之處 10
1.4.2 主要不足 11
第二章 主要概念界定及理論基礎梳理 12
2.1 民主與政治民主化 12
2.2 軍人政權與政治民主化 15
2.3 葡萄牙半總統治特徵 21
第三章 葡萄牙民主化進程的歷史背景 24
3.1 君主制向君主立憲制的轉變（1800-1910） 24
3.2 共和制的短暫出現（1910-1926） 25
3.3 軍人政府與合作主義“新國家”（1926-1974） 27
3.4 “武裝部隊運動”與民主化過渡期（1974-1976） 30
3.4.1 武裝部隊運動與斯皮諾拉 30
3.4.2 武裝部隊運動與葡萄牙共產黨 32
3.4.3 武裝部隊運動與制憲會議 36
第四章 民主化初期的政局動蕩（1976-1982） 40
4.1 革命委員會的爭議 40
4.1.1 革命委員會的權力設計 40
4.1.2 革命委員會的違憲審查權 42
4.1.3 革命委員會的弊端 44
4.2 1976年憲法與首次總統選舉 48
4.3 1979-1980年議會及總統選舉 54
4.5 歐盟一體化的外在要求 60
第五章 憲法修正案與民主化鞏固期（1982-1986） 62
5.1. 革命委員會的廢除 62
5.2 憲法法院設置與總統權力規制 67
5.3 憲法法院與革命委員會、憲法委員會的區別 73
5.3.1 組成結構程式和職權範圍的差異 73
5.3.2 違憲審查訴訟成本差異 76
5.4 埃亞內斯第二任期的政治角力 79
5.4.1 政治環境的新變化 79
5.4.2 民主革新黨的設立 81
第六章 結論 85
參考文獻 90
1.期刊類 90
2.專著類 94
3.電子文獻 99
作者簡歷 100
附 錄 101
1.期刊類
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