【作者】 夏军；

【导师】 姚大志；

【作者基本信息】 吉林大学 ， 科学技术哲学， 2012， 博士

【摘要】 自近代资产阶级革命以来，西方国家在全世界逐步取得并巩固了优势地位。西方文明依靠着积聚起来的物质能量进行海外扩展，带来了不同文明间运动方式的根本性转变，即以往各种文明间断而有限的碰撞被西方文明持续的单向冲击所替代。以有形的物质因素和无形的文明因素为支撑，西方国家的影响力在20世纪更是达到了巅峰，至21世纪之初，也没有减弱的迹象。在此期间，西方的各种价值理念实现了全球传播。如今，自由、民主、平等，人权等等，诸多源于西方的价值理念都已经得到全世界的认同，并且在世界范围内引发了一系列的社会变动。作为这些社会变动标志之一的民主化浪潮，自20世纪六七十年代以来尤为引人关注，它不仅改变了许多非西方国家的政治制度和政治体制，而且也改变了世界的政治图景。在西方的民主理论界出现了众多的思想家，他们追求着民主的本真涵义，并为人类接近理想的民主进行了多方探索。在当代，罗伯特·A.达尔就是其中的佼佼者，凭借多元民主理论闻名于世，西方学者对其赞誉有加。达尔在20世纪50年代以行为主义政治学为方法，对民主进行实证考察；70年代，在西方政治哲学复兴的历史背景下，又以政治哲学的理论为指导，对多元民主理论加以完善，将侧重于描述性的民主研究给予规范性的平衡。他借助实证研究发现，在美国，存在着以意见多元、利益多元、冲突多元和权力多元等为特征的多元社会，民主的真实情况既不是可以追溯到古希腊的直接民主，亦非近代思想家所归纳的单一的“三权分立”，而是权力的高度社会分散，众多独立、自治的社会组织（尤其是利益集团）掌握着大量的权力，它们根据自身利益需要，进行公开的政治博弈，在不同的领域对政府的相关决策发挥着影响。正是这种多元社会维系着美国乃至西方的民主。因此，社会是民主的最重要因素，也是以往民主研究和实践中被忽视的因素，达尔在《民主理论的前言》中明确提出的观点就是：民主的首要基础是社会，而非是宪法。这样，达尔的多元民主理论在宪法之外又发掘了社会的因素，“以社会制约权力”的思想就为监督权力提供了新的维度。在理论层面上，达尔对影响美国的麦迪逊主义和一直具有号召力的平民主义进行了反思和批判，在此基础上，阐释了多元民主理论的基本内容和构成要素。达尔指出，“宪法制约权力”的思想和“三权分立”的制度体系是麦迪逊主义的核心内容，其注意力是要避免多数人的暴政或多数人的宗派危险。然而，在达尔的分析来看，由于权力的高度社会分散，不可能出现多数人构成的宗派，也就不会有多数人的暴政，因此，麦迪逊所担忧的问题不会出现；同时，在吸收熊彼特的精英民主理论的合理成分和借助偏好选择等分析方法的基础上，达尔指出，竞争性的精英民主具有实践价值，多数原则具有不可靠性，作为最大化目标的政治平等和人民主权也具有不合理性，能够整合社会成员的各类社会组织才是政治参与和竞争的主体。基于上述认识，达尔提出，以多数与少数的方式来描述现实民主是不准确的，“多重少数人的统治”才是现代代议制民主的实质。为了弥合围绕着民主概念而产生的分歧，达尔对民主概念的使用进行了限定，即以“民主”一词指代理想民主，以“多头政体”或“多元统治”来指代现实民主，并且设定了一系列的标准对理想民主和现实民主加以衡量。达尔坚定地认为，转向多头政体是非民主国家的任务，稳定并进一步推进多头政体是西方民主国家的任务，也就是说，多元民主是民主的未来。但是，达尔也认识到民主的实现要受制于诸多因素的影响，因此，民主理论是多种多样的，不存在唯一的或抽象的民主理论，例如，民主的实现形式就会随着人类社会的进步而变得更加丰富，所以，后人的民主不会也不可能是先人的民主。在20世纪六七十年代，受到蔓延于西方国家的社会危机影响，西方政治制度、经济制度、社会制度遭遇了严峻的挑战，达尔所建构的经典多元民主理论也受到了质疑；正是通过这次危机，他发现了多元民主理论内在的弊端——固化政治不平等、扭曲公民意识、公共议程被扭曲、公众失去对议事日程的最终控制权等。作为破解问题的探索，达尔提出了实现更多的民主、采取补救措施、推动大公司民主化等解决方案。虽然，达尔的这些理论设想不可能得到完全的落实，但是，总的来看，达尔多元民主理论还是能够如实地记录了西方国家的民主现实，并对西方国家的民主理论和民主实践发挥了较为深刻的影响。自20世纪七十年代末以来，中国正经历着深刻的现代转变，这一转变体现在政治领域，就是中国不断地朝着现代国家、现代社会和现代政党的方向运行，也就是建立现代的政治制度和政治体制。而现代政治制度的中心话题就是规范公共权力的运行，所以，民主作为现代社会的基本目标也已被确认。中国自古有言，他山之石，可以攻玉。因此，作为一个民主意识和民主实践发生晚近的国家，中国在民主理论和体制建构方面，借鉴和学习其他国家的理论成果和发展经验是当然的选择，那么，达尔的多元民主理论应当被纳入到中国民主发展的考察视域。本论文以多元民主构成要素为考察重点，对达尔的多元民主理论给予简要的述评。论文的基本结构是：引言：初步了解达尔的多元民主理论的基本观点及其在西方民主理论中地位和影响，同时，综述国内对达尔多元民主理论的研究现状。第1章：介绍罗伯特·达尔进行民主研究的方法。达尔的早期民主理论受到行为主义政治学的影响，以“科学”的态度审视民主，强调民主的实证性分析，提出社会对民主的基础性作用；以美国城市纽黑文为研究样本，对美国民主现实进行了崭新的解说，发现了美国政治权力的多元社会分布。在《正义论》引发的西方政治哲学转变的背景下，达尔研判了早期研究方法上的不足，在民主理论中强化平等、自由等价值理念的基础上，对体现民主的政治平等问题进行了深入思考，并且以美国宪法为样本、以民主为原则和目标，指出政治不平等的现实存在。这些研究使其理论更加丰富和更具有说服力，也标志着达尔的理论由传统多元民主转变为新多元主义民主。第2章：对达尔多元民主的理论建构进行分析，阐明了多元民主理论的理论基础。团体人格理论和政治多元理论是达尔多元民主理论的直接理论来源，熊彼特为代表的精英民主理论、麦迪逊主义、平民主义民主理论等是达尔民主理论的直接理论动力。在对前述理论进行反思和批判的基础上，达尔论述了社会制约权力的思想，提出了多元民主理论：即以独立、自治的社会组织（主要是利益集团）和权力社会分散为基本特征，以“多头政体”作为对现实民主的概括而区别于理想的民主，并且细致地设计了多头政体成立的标准。第3章：对达尔多元民主理论运行的基本保障因素给予说明。在经历了社会危机之后，达尔对原有的理论进行了自我反思，也认真研判了来自不同角度的理论挑战，对自己的理论进行了修正和完善，并进一步丰富了多元民主实现的基本要素：即自治的社会组织和控制的民主方式、多项补救措施、经济民主等，从更广阔的视野探寻发达国家的民主进一步实现的可能性。第4章：达尔多元民主理论对中国民主发展的启示。从民主认知的纠偏、利益集团的存在、精英的约束和民主政治文化的强化等方面，考察中国当代民主呈现出的若干特征。将达尔的多元民主理论作为辅助手段，简要分析多元民主理论对于中国民主发展可资借鉴的价值。后记：达尔对民主未来的预判。作为当代最为权威的民主理论家，达尔不仅关注西方民主的现实，也关注民主的未来。从民主国家数量变化、政治生活领域的变化、发达国家民主进一步成熟、未来民主遭遇的挑战等角度，他对未来的民主特别是多元民主之生存和发展给予了冷静而细致地预判。更多还原

【Abstract】 Since the eruption of the modern bourgeois revolution, the western civilization hadstarted to expand by using the accumulated matter energy, while the western countriesprogressively gained and consolidated their superiority from all over the world. In themeantime, values in the west had also realized the global propagation. Supported by thecorporeally material factor and the spiritually cultural element, the influence of thewestern countries had consequently reached the peak in the 20thcentury and was notinclined to falling off even till the 21stcentury. Nowadays, the value originated from thewest, such as freedom, democracy, equality, human rights and etc had acknowledged bythe world, which had given rise to a series of social changes. Wave of democratization, asa sign of those changes, which later not only lead to a change both in politic system andeconomy system in many non-western countries, but also in the international politicalprospect, had been especially noticeable since the twentieth century sixty or seventytimes.In the world of democracy theory, there had sprung up many extraordinary thinkerswho were in the pursuit of the true meaning of democracy and exploring in many ways ofhuman democracy which approximated the ideal one. In the contemporary era, as one ofthose outstanding people, Robert·A. Dahl, who was famous for the pluralist democracytheory, was highly praised by the western scholars. In the 20th50s, Dahl did the fieldsurvey towards democracy according to the behaviorist theory. In the 70s, in thebackground of the renaissance of political philosophy, under the direction of the theory ofpolitical philosophy, Dahl completed his theory which gave a normative balance to theresearch which placed extra emphasis on descriptive democracy. Having got help fromthe empirical research, he found that in America, a pluralistic society which features forits multivariate proposal, interest, conflict and right and etc, the real situation of democracy was neither a direct one which could originate from the ancient Greek, nor asingle“Separation of The Executive”concluded by the modern thinkers, but the highlysociable decentralization of power. Numerous separated social organizations (especiallythe interest group) who held most majority of power played the political gameaboveboard according to their own interests and wielded a lot of influence on the relevantdecision made by the government in different areas. It was the exact pluralistic societythat maintained the American and even the western democracy. Therefore, the society isthe most crucial element, as well as the factor which was used to be neglected in thedemocracy research and practice. Dahl had raised in the The Preface to DemocracyTheory that“It seems to me no more like than putting the cart before the horse if theAmerica had the democracy was simply because they’d had the constitution first. It hearsnot right that if it was only after the society became democracy then the constitutioncould be remained, but it’s all the way round in the reality.”And in this way, Dahl’spluralist democracy theory dug out the social element besides the constitution, and theidea of“Restricts The authority by the society”had doubtlessly applied the supervisoryauthority with a brand-new system.In theory, Dahl criticized the Madison socialist that had a great effect on the wholeAmerican and populism that had always been attractive. Dahl illustrated the basiccomponents and ingredients of the pluralist democracy theory. Dahl pointed out thatrestricting the rights of the constitution and separation system is the core content ofMadison.Most of his attention is to avoid the tyranny of the majority or danger of thesects. However,through Dahl’s analysis, due to power’s highly social dispersion,if sectsconstituted by most of people doesn’t appear,there will not exist tyranny of many people.So what Madison is concerned about will not appear. Meanwhile,when absorbingSchumpeter’s elite national theory of reasonable components and recurring to themethods of preferential selects,Dahl pointed out that competitive elite nation has practicalvalue, but most of principles don’t have reliability. The maximized objective，politicalequality and sovereignty，also have their own irrationality.To consolidate various typesof social organization of members of society is the main body of political participationand competition. Based on above understanding Dahl pointed out we cannot compare the majority with the minority to describe the actual operation of a democratic society.We canonly distinguish groups of all types and sizes.They are in a variety of ways trying toadvance their goals , and then the rule of multiple minorities is the essence of moderndemocracy.In order to bridge the differences arising around the concept of democracy, which ismeans the world democracy refers to the ideal of democracy and polyarchy refers to thereality of democracy.And then he set a series of standards to have the ideal of democracyand the reality of democracy measured.Dahl firmly believed that turning to pluralistdemocracy is a non-democracy task. Stability and further promoting the polyarchy is thetask of western democracies. In other words, pluralist democracy is the future ofdemocracy. However, Dahl also realized that the realization of democracy would beunder the influence of various factors,and therefore,his famous " Preface to the Theory ofDemocracy " says that there is no true democracy theory but only the various ethnictheory. And the form of democracy will be more abundant, so the democracy of futuregenerations will not and cannot be the democracy of the forefathers.In the sixties or seventies of the 20th century,the United States’ social crisis brokeout, which made Western political system economic system，social system face severechallenges.What Dahl established called classical theory of pluralist democracy wasquestioned.It is through this crisis,he discovered the inherent drawbacks of the theory ofpluralist democracy--curing politics is inequality,civic awareness and public agenda aredistorted ,and finally public lose the ultimate control rights of agenda.As the explorationof explaining the problem, Dahl put forward the realization of more democracy ,takingsome remedial measures, promoting democratization of large companies. AlthoughDahl’s theoretical assumptions cannot be fully implemented, the main points of theory ofpluralistic democracy can still accurately describe the democratic reality in the West andthe theory plays a very far-reaching impact on the democratic theory and practice in theWest.Since late 1970s, China has been gone through profound modernization transition,which reflects in the field of politic, namely , China move continually toward the moderncountry ,society and political party ,which means constructing modern constitution and system . And the theme of modern political system is to standardize the operation ofpublic power, so democracy has been acknowledged as the basic goal of modern society.As Chinese proverb goes, other people’s good quality whereby one can remedy one’sown defects .Therefore , as a country whose democratic consciousness and practicehappened late, China’s utilizing and learning other countries’theory achievements anddevelopment experience in democratic theory and system construction is a consequentchoice. So, Dahl’s multiple democracy theory should be brought into inspection view ofChina’s democratic development.This paper takes the factors of pluralist democracy constitution as inspection angle,and gives a brief analysis about Dahl’s pluralist democracy theory. The basic structure ofthe thesis is:Introduction: The purpose is to get a preliminary understand of Dahl’s pluralistdemocracy theory’s fundamental point and its position and influence in Westerndemocratic theory, as well as summarize the current situation of the study about thetheory.Chapter 1: This chapter will introduce the way of Robert Dahl’s democratic theory.Influenced by behavioristic politics, his early theory scanned democracy with“scientific”altitude, emphasized democracy’s substantive analysis, and points out the fundamentalrole that society plays; taking American city Newhaven as a sample, the theory gave abrand-new explanation about American democratic reality as well as found out Americanpolitical rights’distribution in pluralistic society. In the background of the Westernpolitical philosophy transition caused by Theory of Justice，Dahl studied and judged theweakness of early research. Based on reinforcing equality, freedom in democratic theory,he pondered the issue which reflects democratic political equality, and taking Americanconstitution as sample, taking democracy as principles and aims, pointed out the realisticexistence political inequality. Those researches made his theory more abundant andconvincible, which also indicate the transformation from traditional to new.Chapter 2: The analysis about the theory’s construction throws light on theoreticalprinciple. Represented by Schumpeter, the elitism democratic theory, Madisonism,pluralist democracy theory was Dahl’s direct theoretical motion. Having recollected and criticized the above theory, Dahl discoursed the thought that society restricted power, andput forward the pluralist democracy theory, namely, featured by absolute socialorganization(mainly interest group) and authoritative society distribution, generalizingthe realistic democracy into polyarchy so as to differ from ideal democracy ,his theoryplanned the standard of polyarchy establishment.Chapter Three: Giving instructions to the basic protection factors of the operatingDahl’s Pluralism Theory. After suffering the social crisis, Dahl made a self-examinationto the original theory，seriously accepted the theory challenges from different angles，made revision and improvement to his own theory，and clarified the basic factors ofachieving Pluralism—autonomic social organizations and the way of controlleddemocracy，a number of remedial measures，economic democracy and so on，andexplored the realization of possibility of further in developed countries.Chapter Four: The revelation of Dahl’s Pluralism Theory on China of the developingdemocracy. From these aspects of democratic understanding of the corrective, theexistence of interest groups, the constraints of the elite and the strengthening of thedemocratic political culture, study a number of features presented by the contemporaryChinese democracy. Dahl`s Pluralism Theory serving as an adjunct, make a brief analysisof Chinese democracy developing referring to Pluralism Theory.Postscript: Dahl’s forecast of the future of democracy. As the most authoritativecontemporary democratic theorist , Dahl concerned about not only the facts of Westerndemocracy，but also the future of democracy . From these angles of the variations indemocratic countries, the changes in the field of political life , the further more mature ofdemocracy in developed countries, democracy challenges encountered in the further, hemade a calm and careful pre-judgement about the existence and progress of Pluralism inthe future.更多还原