【作者】 卢瑾；

【导师】 高建；

【作者基本信息】 天津师范大学 ， 政治学理论， 2009， 博士

【摘要】 协商民主是西方参与式民主理论发展的新阶段。近年，协商民主理论逐渐成为我国学术界研究的热点之一，很多学者和官员都非常看好协商民主在中国运用的前景。但事实上，协商民主是西方特殊社会政治条件的产物，并不完全适合中国。因此，本文试图通过对西方参与式民主理论发展的分析，弄清协商民主的实质，为我国批判地借鉴协商民主理论提供依据。本文从消极保护个人权利与积极参与政治之间的张力入手，论证当代自由主义民主面临危机的根源是过度强调消极保护个人权利，忽视了积极参与的重要价值，因此参与式民主理论试图通过重新强调积极参与，弥补自由主义民主的不足，但它在发展中面临着消极保护与积极参与的紧张关系。协商民主是参与式民主理论发展的最新成果，为消极保护与积极参与提供了平衡的机制，具有重要的理论和实践价值。但是，协商民主还是以个人主义为基础，积极参与仍是有限的，寻求消极保护个人权利与积极参与的平衡仍是其今后发展的方向。因此，我们要在马克思主义的指导下，结合具体国情，批判地借鉴参与式民主理论，探索具有中国特色的社会主义民主模式。具体说来，论文分为四部分：第一章探讨参与式民主理论的缘起。本章通过分析参与式民主理论兴起的背景，论证参与式民主理论的兴起是对当代自由主义民主危机的反应，但它不是全新的理论，而是对古典民主理想的复兴。一方面，通过对自由主义民主的兴盛和危机的深入探讨，指出其危机产生的根源是过度强调消极保护个人权利，忽视积极参与的重要价值，因此参与式民主理论试图通过重新强调积极参与，弥补自由主义民主的不足。另一方面，分析参与式民主的理论渊源，包括古希腊直接民主制、卢梭的人民主权思想和密尔的积极参与理念等。第二章分析参与式民主的理论建构及其内在困境。此部分通过对理论建构过程的分析，论证参与式民主理论的实质是在保护个人权利的基础上，重新强调积极参与对个人发展的重要价值，并指出其发展的根本困境是消极保护个人权利与积极参与之间的张力。具体来说，首先，梳理当代参与式民主理论建构的三个阶段：一是以柯尔和阿伦特为代表的滥觞阶段；二是以佩特曼和麦克弗森为代表的形成阶段；三是以托夫勒、奈斯比特和巴伯为代表的发展阶段。其次，论证参与式民主理论的实质是对自由主义民主理论的批评与修补，在其发展过程中面临着消极保护与积极参与的张力。第三章分析参与式民主的协商转向。此章是本论文的一个重点，论证协商民主是参与式民主发展的新阶段，它试图通过话语协商，确保所有人拥有真正的发言权，为消极保护与积极参与提供平衡机制。其一，分析民主理论协商转向的背景，包括西方社会的多元化趋势、聚合民主的理论困境、信息网络技术的发展等。其二，深入剖析协商民主理论。首先介绍哈贝马斯和罗尔斯对协商民主理论的重要影响。在此基础上，分析古特曼、汤普森、德雷泽克和博曼等学者的协商民主理论。其三，论证协商民主既关注保护个人权利，又倡导公民参与公共协商，为消极保护与积极参与平衡提供机制。第四章反思参与式民主理论。此章主要是分析参与式民主理论的价值与局限。一方面，阐释作为参与式民主发展的新阶段，协商民主揭示了西方民主的种种弊端，超越了既有政治模式，体现了民主理论发展的新趋向；另一方面，论证协商民主理论以个人主义为基础，存在诸多无法克服的难题，积极参与仍是有限的。并且，考察近年西方国家的协商民主实践，指出其发展面临的践行困境，展望其发展前景。最后，提出马克思主义民主观以社会为本位，以实现人的全面而自由发展为目的，在其指导下的中国的民主才能真正超越西方参与式民主理论的局限。更多还原

【Abstract】 Deliberative democracy is a new stage of participatory democracy. In recent years, the theory of deliberative democracy has gradually become a hot issue in the academic field, and many scholars and officials feel very optimistic about its prospect applied in China. However, deliberative democracy in the West relies on special context, and it can not be completely suitable to China. Therefore, in this paper, the development of the theory of participatory democracy will be analyzed in order to get the clear understanding of the essence of deliberative democracy, and provide the basis on which we critically learn from deliberative democracy.In this paper, beginning with the tension between the passive protection of individual rights and the active participation in politics, it will be argued that the root of the crisis of liberal democracy in modern society is the over-emphasizing of the passive protection of individual rights. As a result, the theory of participatory democracy takes on re-emphasizing the active participation to make up for the shortage of liberal democracy. But there is still the inherent tension between the passive protection and the active participation in its development process. Deliberative democracy is the latest production of participatory democracy, and is a balancing mechanism for passive protection and active participation. So, deliberative democracy has important theoretical and practical value. However, the theory of deliberative democracy based on individualism is still mainly concerned with the passive protection of individual rights. As a result, the active participation is still limited, and seeking the balance between passive protection and active participation is still the main issue in the future. Therefore, while learning from participatory democracy, we should absorb the beneficial ingredients, overcome their shortcomings and explore the Chinese characteristics model of democracy in light of specific national conditions under the guidance of Marxism. Generally, the dissertation is divided into four parts: The first chapter traces back the origin of participatory democracy. Through analyzing the background, the reasons of the rising of participatory democracy will be pointed out. Namely, it can be said that the rising of participatory democracy is the response to the crisis of liberal democracy, and that it is not a new theory but the revival of the classical democratic ideals. On the one hand, through deeply analyzing the rise and the crisis of liberal democracy, it will be pointed out that the root of the crisis is over-emphasizing the passive protection of individual rights, at the same time neglecting the important value of the active participation. Therefore, the theory of participatory democracy highlights active participation to make up for the lack of liberal democracy. On the other hand, the theoretical basis of participatory democracy will be considered, including the direct democracy in ancient Greek, the thoughts about active participation of Rousseau and Mill.The main content of the second chapter is related to the construction of the theory of participatory democracy and its inherent difficulties. Through the analysis of the constructive process, it is proved that the essence of participatory democracy is to renew the important values of the active participation on the basis of protecting individual rights, and the fundamental predicament of its development is the inherent tension between the passive protection and the active participation. Concretely, the form of the contemporary theory of participatory democracy could be divided into three stages: The first stage is the beginning stage, related with Cole and Arendt; the second stage is the building stage, related with Pateman and Macpherson; the third stage is the developing stage, related with Toffler, Naisbitt and Barber. Moreover, it will be pointed out that the theory of participatory democracy in nature is the amendment of liberal democracy, and it encounters the tension between passive protection and active participation in its development process.The third chapter is mainly connected with the transformation from participatory democracy to deliberative democracy. This part is an important focus of this paper, in which it is argued that deliberative democracy is a new stage of democratic development. It seeks to have a real say for all people, and achieve the balance between passive protection and active participation. Firstly, the background of deliberative democracy will be reviewed, including the diversification trend in Western society, the plights of the aggregative democracy, and the development of information technology. Secondly, the theory of deliberative democracy will be deeply reflected, including the thoughts of Habermas and Rawls who have important impacts on deliberative democracy, and the thoughts of Gutman, Thompson, Bohman and Dryzek. Thirdly, it is pointed out that deliberative democracy can be regarded as a balancing mechanism between passive protection and active participation.The forth chapter is the generalization and evaluation of participatory democracy. The value and limitations, the plight, prospect and enlightenment of participatory democracy are pointed out. On the one hand, it is discussed that participatory democracy is a new stage of democracy theory in the west. Theorists of participatory democracy have revealed many defects of liberal democracy. Participatory democracy has the meaning of surpassing the existing model of democracy, and embodies the new trend of theoretical development. On the other hand, it is argued that deliberative democracy is based on the individualism, so active participation is still limited. Moreover, the practice of deliberative democracy in Western countries in recent years is reviewed. Its difficulties are pointed out and its prospect is forecasted. Finally, there is enlightenment to China. The aim of Marxist is to achieve the all-round development of people, so under its guidance, the democratic model of China can really go beyond participatory democracy.更多还原