（三）权力的来源

文：祝正明

编辑：Geoffrey Jin 校对：程筱筱 翻译：吕峰

人们经常说某人有权某人无权，那么什么叫权力呢？权力就是支配别人的强制力，在遇到不服从时，使对方受到各种惩罚的能力。当人们事先就了解到服从的好处与不服从的坏处，形成了感觉上的默契，对某人的指令自觉服从，就可以认为该人拥有权力。如果服从没有好处或不服从没有坏处，权力就会动摇，权威就会丧失，只有奖罚分明，才能维护权威。

权力从何而来？一般来说，权力的来源有五种：威望、暴力、宗教、约定、财富。拥有其中一项，就可以拥有权力，而拥有三项以上，就可以拥有绝对的权力。

一、威望

人有智商的高低，知识的多寡，能力的强弱，处理各种问题时所用方法的准确性、可靠性、周密性不同，因此成功率也就不同。知识丰富、聪明能干的人，解决问题的办法好，做事的成功率高，如果该人品德高尚，人们自然就会钦佩他、信任他，服从他作出的决定，他就会逐渐具有威望，威望的影响力无形中就会转换成支配力。但是，拥有威望，并不是一件很容易能做到的事，更无法在短期内获得，在一个群体，只有极少数智能高强、品格高尚的人才能获得威望。

二、暴力

当一方不愿服从另一方时，另一方拥有的暴力能够强制对方服从，否则便可以惩罚对方，而对方反抗将会遭受更大的痛苦和损失，甚至丧失自己的生命，使其不得服从。由此，暴力就衍生出了权力，拥有暴力的一方就拥有了对他人的支配力。军队是用来实施暴力的专用工具，因此，也可以说，拥有军队就可以直接拥有权力。但是，如果一个政府仅依赖于军队的镇压和威慑而存在，则无异于一个强盗政府。

三、宗教

宗教是人类社会发明的用来解释自身与自然界各种现象的因果关系的一种意念性学说，许多宗教相信在人与自然之间存在着第三种神秘的力量，主宰着人的生老病死、旱涝丰歉、吉凶祸福，它们总结出人应遵守的伦理关系，如果违反，必将受到自然的惩罚，而布道者和宗教领袖由于暗悉其中奥妙，能向人指点迷津，因而获得人们的崇拜。某些宗教在使人们相信了其教义的同时，也将宗教领袖进行了神化，使人们认为他是能够理解、代表神的意志的人，或干脆就是神，他的意志就是自然界不可抗拒的规律，使得人们就象服从自然界的规律一样服从他的号召，从而获得对民众的巨大号召力或支配力。

四、约定

一群权利(注：权力与权利是两个不同的概念，权力是指强制他人服从的强力，权利是指自身拥有的神圣不可侵犯的利益)平等的人，事先约定好必须共同遵守的规则，按照规则公平竞争，获胜的一方取得某种利益，失败的一方放弃这种利益，这就是约定。如果失败方不遵守事先约定，旁观者便主动加入，胁迫败方遵守。竞争获胜后享有利益的大小，在事先约定的范围内，获胜者不得随意超越。在一个取消身份等级限制的自由平等社会，这是一种直接以自身能力取得权力的方法，解决了有限的资源在不够分配时出现的问题，并能使有能力的人在短期内脱颖而出，竞争过程本身往往具有很强的观赏性，使社会生活变得丰富多彩。在现代文明的法制社会，这种以公平竞争方式取得权利的方法被广泛应用，将竞争规则文字化，约定双方共同遵守，已成社会活动照章有序化进行的重要组成部分。

五、财富

拥有财富者总是可以雇佣别人去干他想干的事，他可以用多给钱去鼓励对方，也可以用少给钱或不给钱去制裁对方，使对方服从他。这就是我们当今社会最常见，最广泛应用的雇佣与被雇佣现象。建立在双方自愿的基础之上，与和平稳定的社会秩序完全兼容，与人类的智商、能力和本性相适应，为人类社会所普遍认可。

显然，如果社会体制能保证有威望的人，按公众普遍认可的规则，以公平竞争方式选出领导人，行使事先规定的权力，就能使社会既有高素质的人来为人民服务，又能保证政府有足够的权威，权力也不会被滥用，只有这种权力才可以被认为是合理、合法的权力。

（四）道德与法律

随着人口的增加，在有限的生存空间里，人与人之间不可避免地会产生利益冲突，有时这种冲突甚至会严重到威胁个人生存的地步，如果互不妥协，时常两败俱伤。因此，在生存空间和生活资料变得逐渐紧张的情况下，人们懂得合作的好处，即只有每个人都对自己的欲望进行适当的克制，作出一定的让步，人们才能和平共处。这就有赖于人们共同遵守一系列行为准则，尽管这些准则会使个人的行为受到某种约束，但这样做对大家对社会都有好处。这一系列人所公知的，共同认可的、不需要明文规定的行为准则就是道德，它是人类社会为了自身的稳定和延续而自发产生的，它的约束力依赖的是人的荣誉感和作为群体一员的责任心。在一个相对稳定，没有人员流动，发展缓慢的传统社会，人们从小就接受传统道德的教育，并将其世代相传。当然，不遵守的人总是有的，但这些的人付出的代价通常是丧失威信、名誉或被排逐出群体。这种惩罚方式在固定群体内通常是有效的。

传统道德通常只注重熟人、朋友、家人之间的关系和个人义务，依靠家族戒律作为实施保障，对解决家庭与部族内部的矛盾行之有效，但对部族之间的冲突，陌生人之间、社团之间的争端时常无能为力。如果一个社会是一个迅速变化与发展的社会，人的生活方式不断发生变化，以致每代人的习惯都有所不同，道德规范在代与代之间的传递就会遇到问题。当人们的生活与居住流动性较大时，传统惩罚方式的有效性也会大大下降。这些因素都将使传统道德起到的维持秩序与安定的作用明显降低。由于传统道德的非文字化、含糊性、非强制性，对人的行为不能形成统一的约束，随着人们生活方式的复杂多样化，违反传统道德的人就会增加，结果，社会就会表现出道德水准下降，犯罪率上升。

最早设计的法律制度，就是要求部族之间放弃报复行力，由代表公正的第三方按规定程序，以机械式的审讯方法核定事实，制定惩罚方式和赔偿数额，以调节并最终终止私人争端和部落冲关。一个社会根据自己的民族习惯，将个人、社团、公司的行为准则及惩罚方式以文字的形式明确规定下来，就形成了法律。

法律本身也可以被当作一种工具，可以为各种政府、阶级和意识形态所采用，为某个阶级服务，因此，法制本身仍然会存在合法不一定合理的现象。但是，无论什么政体的国家，依法治国都有好处，它能直接明确地告诉人们哪些是可以做的，哪些是不可以做的。另一方面，也可以使统治者按既定的公布的法律来管理社会，防止下层官员凭一时兴起，以临时的命令和草拟的决议来专断行事，减少官僚的随意性对民众造成的危害。

法律较之道德的进步之处在于它能够将人的社会行为的内容表现得更具体、更全面、具有强制性。由于它的执行者是全社会性的执法机构，无人能够逃避，从而使法律成为现代社会维持治安、解决争端的必不可少的工具。

实行法治有两个问题非常关键：第一，法律是否健全；第二，法律由谁来制定。这两个问题关系到法治是否能行之有效，是否准确、合理、公正。法律影响着社会每个人的生活方式，其作用与传统的道德不可同日而语，因此，每个有责任心的公民都应当关心法律的内容。良好的法律，应能充分代表民意，反映民情，是道德的明文表达形式。

在文明社会，法律是为全体公民的公共利益服务的，要求全体公民共同遵守，因此，它必须能代表全体公民的意志，得到广大民众的认可。它的颁布、修改、废除必须经过全体公民的同意或他们授权的代表的许可，否则，所谓的法律就不能被认为是合法的法律。

法制不健全的表现之一，就是法律由社会的统治者或由他们指派的人员来制定。由于统治者有自己的地位、特权，他们的利益不可能与普通公民的利益完全一致。因此，这种法律代表的是统治者的意志，他们也能够按照自己的意志随意修改法律。法律是辅助独裁者统治的工具，其作用与民众的需要背道而驰，不是用来服务于民众，而是用来管制民众。

法律的不健全的另一表现就是内容粗糙简陋，在许多问题上找不到适用的法律，或者不详细，含糊其辞，都会给民众造成困惑，给社会带来混乱，使法治的有效性下降，这种情况在专制制度下经常发生，结果大大增加了政府执法人员及司法人员的个人意志对法律的影响，使同样的法律在不同的地方、不同的时间有不同的实施情况，同样的案件经不同的法官审判，结果会有很大的差异。当百姓对执法人员的行为没有任何约束与控制手段时，这些滥用手中权力的现象就会泛滥，司法人员自己的意志就是法律，法治成了人治。在后门、关系、贿赂比事实、证据、道德更能赢得官司的情况下，公民的正当利益无法得到法律的保障，反而会受到素质低劣的司法人员的侵害，最终必将使法律本身威信扫地。我们经常听说的“合理的不合法，合法的不合理”，莫不包涵着对这种法律的蔑视。

法律的威信依赖于公众对其公正合理性的认可程度，任何一种被公众所蔑视的法律都不会具有长久的生命力。

（五）政体的种类

在人类历史上，曾经出现过许多不同的社会结构形式和政治体制，归纳起来，政府管理形式可以按四种模式进行分类：专制模式、经济模式、主权模式、民主模式，见下图：

1、专制模式

专制统治模式是人类生活社会化以后，伴随着国家的出现而同时出现的一种最自然的统治模式，尽管原始，却也简便、稳定有效，任何人只要取得统治权，都会以自己的意志建立起能确保自己政令畅通的此种统治方式。

（1）君主家族政府：

政府的政治行为由一个世袭家族控制，一人按家族继承规则取得全部统辖权，成为世袭君主，其余家族成员把持政府各要害部门，血亲以外的人进入政府，处于只能利用，不能重用的地位，君主对百姓握有绝对的生杀大权。

（2）寡头独裁政府：

政府由拥有绝对权力的寡头一人控制，寡头与幕僚之间不一定有血亲关系，寡头通常以某种意识形态将部属聚结在一起，政府要员的行为不受家族纪律的约束，政治决策具有很大的任意性，易将国家拖入战争，决策效率高，失误大，损失严重，统治往往只能维持一代人。

（3）多头贵族政府：

国家政治行为由一批拥有对地方牢固的控制权的贵族或军阀把持，他们自己收税，甚至握有军队，政府领导人必须尊重他们的意见，依赖于他们的支持，他们联合起来，能很容易地调换政府领导人，国家很难形成一致的统一行动。

（4）政教合一政府：

政府大小官员兼任宗教的传教士，政府主要领导人被神化，成为民众崇拜的偶像，即便是错误的决策，仍然能被奉为圣旨得到贯彻执行，迷信色彩浓，排斥外来文化，对异议者施刑残酷。

2、经济模式

经济统治模式是指政府对社会财富的所有、使用、分配方面的管理方式，经济模式直接而显著地影响着民众的生活方式。

（1）部落经济政府：

部落为基本生产单元，商品自给自足，部落之间甚少商品交易，内部成员劳动分工，财产公共所有，由酋长实行配给制，定期向君主缴纳贡品。

（2）土地册封政府：

政府或君主土地名义上的所有者，土地册封给幕僚或大贵族使用，大贵族则将土地册封给下一级的贵族使用，最小的贵族则将土地封给农民使用，农民及下级贵族依次将自己收获的一部分缴纳给上一级贵族或君主，贵族不从事体力劳动，练兵习武是其生活的重要组成部分。

（3）公有经济政府：

个人除极少量个人物品外不拥有任何财产，财产全社会共有，社会财富的生产、经营、分配、使用实际上由政府官员控制支配。

（4）私有经济政府：

个人社会财产的主人，政府对以盈利为目的的经营产生的利润按比例提成。

3、主权模式

主权模式是指政府权力的产生及使用方式。

（1）单一制政府：

国家为一个独立、统一的社会形态，实行同一种法律和管理模式。

（2）联邦制政府：

国家由一批相对独立的小国组成，各小国在法律和管理模式上保留自己的地方特色。

（3）殖民地政府：

国家被另一个国家占领和控制，政府官员由另一个国家指派，实行另一个国家的法律和管理模式。

4、民主模式

民主模式是指国家的法律政策，政府行为由占人口大多数的民众来控制的政治体制，实行法制，对政府领导人实行分权制和任期制，新闻自由，民选议会为国家的最高权力机关。

（1）君主立宪制政府：

国家有国王或皇帝，但只具象征地位，没有政治权力，权力由经民主选举产生的政府掌管。

（2）总统制政府：

由经国民直接选举产生的总统掌管国家的最高行政权。

（3）内阁制政府：

国家行政领导人由国会议员多数选举产生，通常为多数党领袖，如其失去国会支持，则需辞职。如国会随后不能以多数形成决议，提出新的首相人选，象征性的国家首脑国王或总统在总理的建议下可以解散国会，重新举行全民大选，产生新的议会。

(III) The Sources of Power

Written by: Zhu ZhengmingEdited by: Geoffrey JinProofread by: Cheng XiaoxiaoTranslated by: Lyu Feng

Abstract:This article begins with a definition of power, interpreting it as the ability to exert influence and coercion over others. It identifies five primary sources of power: prestige, violence, religion, agreement, and wealth. The author further emphasizes that an ideal society should allocate power through fair rules and public recognition, enabling capable and reputable individuals to govern effectively while maintaining order.

People often say that some individuals have power while others do not. But what exactly is power?

Power is the coercive ability to control others—the capacity to impose penalties when obedience is refused. When people understand in advance the benefits of obedience and the consequences of disobedience, they develop an implicit consensus and willingly comply with a person’s commands; in such cases, that person can be said to possess power. If obedience brings no benefit or disobedience carries no cost, power will weaken and authority will erode. Only when rewards and punishments are clearly defined can authority be maintained.

Sources of Power

Generally speaking, power originates from five sources: prestige, violence, religion, agreement, and wealth. Possessing any one of these can confer power; possessing three or more can result in absolute power.

1. Prestige

People differ in intelligence, knowledge, ability, and the accuracy and reliability of their problem-solving methods. Those who are knowledgeable, capable, and morally upright tend to achieve higher success rates. Naturally, others admire, trust, and follow them, granting them prestige. This prestige gradually transforms into influence and control. However, gaining prestige is neither easy nor quick; within any group, only a few individuals of exceptional ability and character can attain it.

2. Violence

When one party refuses to obey another, the latter may use force to compel obedience. Resistance leads to greater pain, loss, or even death, forcing submission. Thus, violence gives rise to power, and those who control violence gain dominance over others. The military is a specialized tool for exercising violence; therefore, possessing a military effectively means possessing power. However, a government that relies solely on military suppression and intimidation is no different from a bandit regime.

3. Religion

Religion is a conceptual system developed by human societies to explain the causal relationships between humans and nature. Many religions posit a mysterious force that governs life, death, fortune, and misfortune. They establish ethical norms and warn that violations will result in punishment. Religious leaders, believed to understand these mysteries, gain followers’ reverence. In some cases, leaders are deified, regarded as representatives—or even embodiments—of divine will. As a result, people obey them as they would natural laws, granting them immense influence and control.

4. Agreement

A group of individuals with equal rights (note: rights differ from power—power refers to coercion, while rights refer to inviolable personal interests) may agree in advance on rules to be jointly observed. Through fair competition under these rules, winners obtain certain benefits while losers relinquish them. If losers refuse to comply, observers may intervene to enforce the agreement.

In a free and equal society without rigid hierarchies, this is a direct way to acquire power through individual ability. It helps allocate limited resources fairly and allows capable individuals to stand out quickly. The competitive process itself often adds vitality to social life. In modern legal societies, such rule-based competition is widely applied, with rules codified and mutually enforced as an essential component of orderly social activity.

5. Wealth

Those who possess wealth can hire others to carry out tasks on their behalf. They can incentivize compliance through higher pay or punish through reduced or withheld payment. This is the most common and widely practiced form of power in modern society—the relationship between employer and employee. Based on voluntary agreement, it is compatible with social stability and aligns with human nature and capability, making it broadly accepted.

It is evident that if a social system ensures that individuals with prestige are selected through fair competition under widely accepted rules, and are granted predefined powers, then society can benefit from capable leadership while maintaining authority without abuse. Only such power can be considered legitimate and reasonable.

(IV) Morality and Law

Abstract

As societies grow and resources become constrained, conflicts of interest inevitably arise. This section distinguishes morality from law, explaining their respective roles in maintaining social order. It argues that while morality relies on internalized norms and social pressure, law provides formalized, enforceable rules. A stable society requires both—but the legitimacy of law ultimately depends on its alignment with public interest and collective consent.

1. The Origins of Morality

With population growth and limited resources, conflicts between individuals become unavoidable. In extreme cases, such conflicts may threaten survival itself. Over time, people come to recognize that cooperation yields better outcomes than constant confrontation.

This realization gives rise to shared behavioral norms—commonly understood but not always formally codified. These norms constitute morality.

Morality operates through:

social recognition,

a sense of honor,

and responsibility toward the community.

In relatively stable, traditional societies with limited mobility, moral systems are transmitted across generations and enforced informally. Those who violate them may face reputational loss or exclusion from the community—sanctions that are often sufficient in tightly knit groups.

2. The Limits of Morality

Traditional morality is most effective within close social circles—families, acquaintances, and small communities. However, it struggles to regulate:

interactions among strangers,

conflicts between groups,

and rapidly changing social environments.

In dynamic societies, where mobility is high and lifestyles evolve quickly, moral norms become harder to transmit and enforce. Their informal nature—lack of codification, ambiguity, and absence of coercive power—reduces their effectiveness.

As a result, reliance on morality alone often leads to:

declining social cohesion,

increased uncertainty in behavior,

and rising levels of conflict or crime.

3. The Emergence of Law

Law arises as a structured response to these limitations.

Early legal systems replaced cycles of retaliation with third-party adjudication. A neutral authority determines facts, assigns responsibility, and imposes penalties or compensation according to established procedures.

In modern societies, law is defined as a system of codified rules that regulate the behavior of individuals, organizations, and institutions.

4. Law as an Instrument and Its Risks

Law is not inherently neutral. It can be used by different governments, classes, or ideologies as a tool to serve particular interests.

This creates a critical distinction:

what is legal is not always just.

Nevertheless, governance through law (“rule of law”) offers clear advantages:

it provides predictable standards of behavior,

it constrains arbitrary decision-making,

and it reduces the risk of abuse by lower-level officials.

5. Advantages of Law over Morality

Compared to morality, law has several defining features:

clarity (explicit rules),

universality (applies across society),

enforceability (backed by institutions).

Because legal enforcement is carried out by public institutions, individuals cannot easily evade its reach. This makes law indispensable for maintaining order and resolving disputes in modern societies.

6. Conditions for Effective Rule of Law

Two fundamental conditions determine whether a legal system functions effectively:

The completeness and coherence of the legal framework

Who has the authority to create and modify the law

Since law shapes nearly every aspect of social life, it must reflect public needs and ethical principles. Ideally, law should serve as the codified expression of shared moral values.

7. Legitimacy of Law

In a modern civil society, law must:

represent the will of the people,

serve the public interest,

and gain broad social recognition.

The enactment, revision, and abolition of laws should occur with public consent—either directly or through legitimate representation. Without such legitimacy, law becomes merely an instrument of control rather than a foundation of justice.

8. Deficiencies in Legal Systems

Legal systems may fail in two major ways:

(1) Concentration of law-making powerWhen laws are created solely by rulers or their appointees, they tend to reflect elite interests rather than those of the general population.

(2) Lack of clarity and completenessVague or incomplete laws create uncertainty, enabling inconsistent enforcement and increasing reliance on personal discretion.

In such conditions:

identical cases may yield different outcomes,

enforcement varies across time and place,

and personal influence may outweigh evidence or fairness.

When unchecked, this leads to the transformation of rule of law into rule by individuals.

9. The Authority of Law

The authority of law ultimately depends on public trust in its fairness and rationality. Laws that are widely perceived as unjust or unreasonable cannot maintain long-term legitimacy.

(V) Types of Political Systems

Abstract

Throughout history, societies have developed diverse forms of governance. These can be broadly categorized into four models: authoritarian, economic, sovereignty-based, and democratic systems. Each reflects a different way of organizing power, resources, and legitimacy.

1. Authoritarian Models

Authoritarian systems are among the earliest forms of governance, emerging naturally alongside the formation of states. They are often efficient and stable in the short term but concentrate power heavily.

(1) Hereditary Monarchy

Power is concentrated within a ruling family and passed down through lineage. The ruler holds absolute authority, often supported by relatives occupying key positions.

(2) Oligarchic Dictatorship

A single ruler or small group exercises absolute power, often bound by ideology rather than kinship. Decision-making is efficient but prone to instability and high-risk outcomes.

(3) Aristocratic Pluralism

Power is distributed among regional elites or warlords who maintain local control. Central authority depends on their support, making unified governance difficult.

(4) Theocratic Governance

Political authority is intertwined with religious authority. Leaders may be regarded as divine or divinely sanctioned, and dissent is often suppressed in the name of belief.

2. Economic Models of Governance

These systems define how wealth is owned, distributed, and managed.

(1) Tribal Economy

Self-sufficient communities with collective ownership and limited trade.

(2) Feudal Land System

Land is allocated hierarchically, with obligations flowing upward through the social structure.

(3) Public Ownership System

Property is collectively owned, but in practice managed by state authorities.

(4) Private Ownership System

Individuals own property, and governments regulate economic activity through taxation and policy.

3. Sovereignty Models

These describe how political authority is structured geographically and institutionally.

(1) Unitary System

A single, centralized authority governs the entire state under uniform laws.

(2) Federal System

Power is divided between central and regional governments, each retaining certain autonomy.

(3) Colonial System

A territory is governed by an external power, with laws and administration imposed from outside.

4. Democratic Models

Democratic systems are based on popular sovereignty, where authority derives from the majority of citizens. They typically include:

rule of law,

separation of powers,

limited terms of office,

and freedom of expression.

(1) Constitutional Monarchy

A monarch exists as a symbolic figure, while elected institutions exercise real political power.

(2) Presidential System

An independently elected president holds executive authority.

(3) Parliamentary System

The executive emerges from the legislature and depends on its support, ensuring accountability through political processes.

Conclusion

Across different systems, the core question remains the same:how power is acquired, exercised, and constrained.

Sustainable governance depends not only on institutional design, but on the alignment between authority, legitimacy, and public participation.