【作者】 张国军；

【导师】 程同顺；

【作者基本信息】 南开大学 ， 政治学理论， 2013， 博士

【摘要】 民主概念是多元的,而在形形色色的民主概念中,基于现实主义的选举民主成为现代西方民主的主流模式。由于西方国家在全球的强势地位和巨大影响力,全球民主化变异为选举民主普世化。选举民主以选举界定民主,民主隐而不显,走上前台的是选举,这使现代西方民主饱受质疑。选举民主为非西方国家的民主化提供了一个简单、清晰而明确的民主概念,但它的扩展却在新兴民主化国家中引致一系列困境或灾难。在全球层面来看,民主启蒙阶段已经结束或行将结束,因而现今的民主研究更多地着重于具体制度构造和经验总结,但是,极端化约的选举民主概念几乎垄断着民主和民主化研究,这种局面既不利于民主的进一步发展,又极易对后发民主化国家构成危害。因此,有必要对民主演变和发展进行基础理论研究,重申民主的本来面貌,本文就是基于这种考虑的一次尝试。基于对民主的历史考察和对选举民主多层次困境的揭示,本文提出过程民主概念,希望以此终止民主的空洞化演变。过程民主以复兴民主的古典含义为契机,重新思考民主概念和方兴未艾的民主化的可行路径。在制度模式上,过程民主并非选举民主的一种替代模式,而在思维方式上,过程民主则是对民主的一种新的理解。就研究线索而言,一条显而易见的基本线索无疑是民主的历史演变进程。从古希腊时代民主产生到现代西方民主实践,民主概念经历了三个阶段的演变,即古雅典民主、代议制自由民主和选举式民主。历史进程与逻辑序列是两回事,而在民主问题上,历史与逻辑之间却具有某种一致性,这种一致性的契合点即民主的空洞化。在民主的历史演变中,贯穿始终的逻辑是民主价值内涵和目的性的丧失,民主最终成为选举民主所理解的一种工具或手段。相较于民主演变中的历史线索,空洞化为我们提供了一条逻辑线索。就研究框架而言,四个核心概念及其相互之间的内在联系将本文主体内容统合在一起。这四个核心概念分别是过程民主、选举民主、民主的空洞化和民主的回归。过程民主概念基于微观的个人视角而提出,它包含四个维度,即直接化、参与化、实质化和价值化。这四个维度贯穿全文,为分析民主及其演变提供了最基本的思路,并构筑了全文的框架：①古雅典民主此四个维度上与过程民主相契合；②民主演变的空洞化是对这四个维度的反向契合,即间接化、精英化、程序化和工具化；③民主的空洞化演绎到极致便是选举民主,它与过程民主的基本区别便在此四个维度；④作为当代西方民主理论的发展趋势,民主在此四个维度上向古典民主回归。就篇章结构而言,正文内容共有五章,行文基本遵循民主演变的历史和逻辑顺序。第一章考察了当今民主概念和度量模式的多元化,多元化引发了民主话语权之争,主流的民主概念和度量模式实际上是西方霸权的体现,在此民主理解方式之外,我们主张从微观的个人视角重新审视民主。第二章回顾了古雅典民主,将其在微观的个人视角上视为过程民主的一次模范实践。第三章梳理了古雅典之后民主的历史演变,从代议制民主的新范式到选举民主试图终结民主的野心,贯穿其中的是民主演变的空洞化特征。第四章从多个角度分析了选举民主的困境,包括选举民主功能的局限性、理性选择理论视角下的选举民主缺陷以及选举民主普世化的困境。第五章总结了当代西方民主理论的回归趋势,这种回归源自对选举民主困境和不足的反思和弥补,是对它的超越。民主的回归发生于现当代的时代背景之下,绝不是复古,毋宁是一种螺旋式前进,因而有必要对过程民主概念进行再阐释。价值多元论和过程哲学对此再阐释启发良多,也有助于深度比较选举民主和过程民主这两种民主理解方式。在文章结语部分,基于对现代西方民主“非行动主义”特征的批判,我们呼吁基于公民和个人的积极行动的过程民主,使民主成为一种自主而有尊严的生存状态。更多还原

【Abstract】 Among diverse concepts of democracy, the realistic electoral democracy has become the dominant mode of modern western democracy. As a result of the powerful position and tremendous influence of the western countries all over the world, the global democratization is mutating into universalization of electoral democracy. The concept of electoral democracy defines democracy by election, and leads to the disappearance of democracy and the emergence of election, which makes the modern western democracy under questions. Election democracy provides a simple, clear and definite concept of democracy for non-western countries, but its expansion in new democratic countries lead to a series of difficulties or disasters.The democratic enlightenment is over or to be over at the global view, and so the studies on democracy nowadays focus more on the construction of specific institutions and the summarization of experiences. However, the extremely reductionist electoral democracy monopolises the studies on democracy and democratization, which is disadvantageous to the further development of democracy and may do harm to late-development democratic countries. Therefore, it is necessary to study on the basic theories of democratic evolution and development, by which we can reaffirm the original figure of democracy. This paper is an attempt based on this consideration.We define the concept of process democracy based on a historical investigation on democracy and the exposure of the multi-level dilemmas of electoral democracy, hoping to terminate the hollowing evolution of democracy. On the opportunity of reviving the classical meaning of democracy, process democracy rethinks the concept of democracy and the feasible path of democratization. From the point of institutional model, process democracy is not an alternative to the electoral democracy, but in the way of thinking mode, process democracy is a kind of new understanding of democracy.In terms of the clue of research, an obvious basic clue is the evolution history of democracy. From ancient Greece to modern western democracy, the evolution of democracy has undergone three stages, which are ancient athenian democracy, representative liberal democracy and electoral democracy. Historical course and logical sequence is different, but on the issue of democracy, there is some consistency between history and logic which is the hollowing of democracy. The logic of the historical evolution of democracy is the loss of democratic value and purpose, which makes democracy eventually become a tool or means the by the understanding of electoral democracy. Compared with the historical evolution of democracy, the hollowing of democracy provides us with a logical clue.In terms of the framework of research, four pivotal concepts and their mutual internal relations connect the main content of this paper together. The four pivotal concepts are separately process democracy, electoral democracy, hollowing of democracy and return of the democracy. The concept of process democracy is proposed based on a microscopic individual perspective, which includes four dimensions namely directness, participation, substantiveness and valuableness. Run through the whole text of this paper, these four dimensions provide the basic line of thinking for our analysis of democracy and its evolution, and construct the basic frame of this paper. Firstly, the ancient athenian democracy corresponds to process democracy in this four dimension. Secondly, hollowing of democratic evolution corresponds to process democracy in this four dimension on the contrary direction. Thirdly, as the extreme of the hollowing of democratic evolution, electoral democracy is difference with process democracy in this four dimension. Finally, as the development trends of contemporary western democratic theory, democracy returns to the classical democracy in this four dimension.As far as the structure is concerned, the content of the text is divided into five chapters, and the basic sequence of the text follows the historical and logical order of democratic evolution. The first chapter examines the diversification of the democratic concept and measurement model. Diversification of the democratic concept triggers disputes about discourse power of democracy. The dominant democratic concept and measurement model actually reflect the western hegemony. In addition to these concepts of democracy, we advocate a microcosmic personal perspective to understand democracy. The second chapter reviews the ancient athenian democracy, which is regarded as a paradigmatic practice of the democracy in microcosmic personal perspective. The third chapter states the historical evolution of the democracy after ancient Athens. In the evolution from the new paradigm of representative democracy to the democratic end ambition of electoral democracy, hollowing of democracy runs through the whole process. The fourth chapter analyzes the dilemmas of electoral democracy form several perspectives, including the limitations of the function of electoral democracy, the defects of electoral democracy in the view of rational choice theory, and the dilemmas of the universalization of electoral democracy.The fifth chapter summarizes the trend of contemporary democratic theory, which we call return of the democracy. As the return occurred on the background of a new era, it’s not retrogression, but a kind of spiral advance, and so it’s necessary to reinterpret the concept of process democracy. Value pluralism and process philosophy inspire this reinterpretation a lot, and they also contribute to a deep comparison between electoral democracy and process democracy. In the epilogue of this paper, we criticize the non-activism of modern western democracy. On the basis of the criticization, we stand for the process democracy based on civic and individual activism, wishing it to be an autonomous and dignified state of existence.更多还原