【作者】 张昌林；

【导师】 张锡恩；

【作者基本信息】 山东大学 ， 政治学理论， 2010， 博士

【摘要】 作为政治实践的重要基础和政治理论的基本概念,公民身份一直以来就是西方政治思想研究和探讨的一个重要问题。20世纪中期,马歇尔关于公民身份与社会阶级的研究进一步激发了人们对公民身份问题的兴趣,并推动了欧美福利国家的建设。在经历了一段相对沉寂的时期之后,到了九十年代,由于一系列重大政治事件、社会问题的出现以及学术理论上的论争,公民身份重又成为一个流行的专业术语和热门话题。公民身份看似简单明了,实则是一个相当复杂的问题。其复杂性,在很大程度上是由于公民身份诸多不同甚至相互冲突的解释传统和理论类型比如共和主义、自由主义、社群主义等所造成的。考虑到公民身份与共和主义的内在关联、共和主义公民身份理念的重大价值以及对中国民主政治建设的启示和借鉴意义,本文选取了共和主义的研究视角。历史地看,原初意义上的公民身份,即强调自由、共和、参与和美德的共和主义公民身份最早可追溯到公元前六世纪以斯巴达、雅典为代表的希腊城邦世界。稍后,随着罗马共和国的建立和扩张,公民身份在更广阔的范围内扩展开来。公民是属于城邦并参与城邦公共生活治理的人,但公民身份的获得取决于出身和财产的严格规定,因而具有强烈的排他性。在希腊化和罗马帝国时期,公民身份开始衰败,公民逐渐蜕变为听命于帝王的臣民。中世纪基督教一统天下,政治空前弱化,人们成为上帝的子民、选民和君王的臣民,公民身份一度踪迹全无。到中世纪晚期,随着城市的复兴和自治运动的开展,公民身份又星星点点地出现在欧洲特别是以意大利北部为代表的一些城市中。但到14世纪初,在建立了两百多年后,绝大部分城市共和政府开始屈从于专制君主的统治,公民身份随之湮没不彰。之后,随着文艺复兴运动与人文主义的传播、宗教改革运动与个性自由的张扬、启蒙运动与契约主义权利观念的勃兴、资本主义的发展与社会经济、政治结构的变迁,公民身份意识重新萌发,公民身份制度也随着欧美资产阶级革命的胜利而得以确立。但显而易见的是,此时此刻,公民身份的共和主义解释传统己让位于以消极自由和个人权利为核心的自由主义话语系统。从理论上说,共和主义公民身份的基本理念和根本诉求是自由、共和、参与、美德。共和主义所欲求的自由,不同于柏林所阐发的消极自由和积极自由,而是第三种自由,即佩迪特宣称的无支配自由。自古希腊罗马开始,无支配的自由就是公民身份的重要标志,而奴役和支配则与奴隶身份如影随形。公民要安享这种无支配自由,只有在一个外无压迫、内无专制的自由共和国中才有可能。显然,这种自由共和国就是宪政共和国,是法律的帝国而非人治的王国,是人民的共同利益和事业而非一人或少数人的私产。要保有公民的自由和实现人民的共同利益,适当的政体和适度的规模也是至关重要的。传统共和主义对混合均衡、小国寡民的城邦共和国情有独钟,而现代共和主义则坚持分权制衡、广土众民的复合共和国。同时,公民自由、共和理想的实现还需要公民自己掌握政治舞台,积极主动地参与政治生活的自我治理。传统共和主义主张公民直接参与议事、审判和行政统治,而现代共和主义则出于国家规模和人民自治能力存在局限等方面的考虑,坚持实行代议制。不仅如此,在共和主义看来,要在一个宪政共和国中实现自由、共和、参与的理想,公民身份的品质,即公民美德就是必需的,从而公民教育也是不可或缺的。无论是古代德性的主要阐释者亚里士多德和修正者马基雅维利,还是其他共和主义者,都认为公民美德是个人作为公民自觉服务于公共利益从而保障共和国和公民自由的品性和能力；这种品性和能力的需求是多方面的,其中,尤以勇敢、奉献、雄辩、审慎、爱国主义最为重要。共和主义之所以重视公民美德,是因为公民美德是法律得以顺利运行的必要条件、增进公共利益的内在动力和抵制共和国腐化的良药。要培育公民美德,公共教育、公民宗教、政治参与和良法之治等途径和方式是必不可少的。显而易见,在后现代和全球化的时代背景下,在自由主义公民身份大行其道的当代社会,共和主义公民身份仍然具有重大的价值和意义。根据洛克、马歇尔和罗尔斯等人所持的自由主义观点,个人自由和权利是至高无上的,相应地,国家必须尽可能地减少公民责任的要求和对个人生活的干预。这种公民身份理念及其实践的优点是不言而喻的,但与此同时也给当代社会带来了诸多严重的政治和社会后果,比如孤立的原子主义与激进的个人主义、政治的市场化与公民的消费者化、弱势民主与“温和的”专制主义,等等。要克服自由主义公民身份的弊端,需要认真汲取共和主义公民身份中的合理成分。一般而言,共和主义公民身份内蕴的道德、整合和教育维度有助于培养造就好公民；共和主义公民身份内蕴的参与维度可以促使民主健康发展、良性运转起来。正是基于公民身份和积极参与,巴伯的强势民主、古特曼、汤普森等人的审议民主和佩迪特的论辩式民主才得以卓越地建构。同时,共和主义公民身份内蕴的公民文化和社会资本有助于民主制度的稳定性、有效性。当然,共和主义公民身份也有一些为人诟病的矛盾和问题,诸如平等的诉求与公民身份的精英主义色彩、性别歧视与公民身份的男子主义偏见、单一模式与多元公民身份的挑战,等等。为克服共和主义公民身份面临的这些问题和挑战,使之适合当今社会的需要,一些学者进行了富有成效的理论探索,比如冈斯特仁提出了新共和主义公民身份模式,达格和希特提出了共和自由主义公民身份模式,森斯坦提出了自由共和主义公民身份模式,等等。毋庸置疑的是,共和主义公民身份对当代中国政治发展同样具有重要的启示和借鉴意义。在轴心时代,中国与形成了发达的城邦国家和公民政治文化的古希腊罗马不同,在以儒家为代表的伦理政治思想影响下,产生的是家国一体、君权至上与臣民观念。在近代中国救亡图存的过程中,公民观念作为舶来品开始兴起,中华民国的诞生则宣告了公民身份时代的到来。新中国成立后,特别是改革开放以来,随着市场经济的发展,我国公民身份制度与实践有了很大改进,但由于一些历史和现实因素的影响与制约,我国仍然存在着公民身份制度规定不尽合理、公民身份意识比较淡薄、政治参与能力低下等问题。如果说我国公民身份制度和民主政治的不完善为共和主义公民身份的适用提供了必要性的话,那么以儒家为代表的传统文化和以社会主义为主导的当代文化与共和主义公民身份在诸多方面的契合和通融则为后者在中国的适用提供了可能性。具体而言,从天下为公到人民共和国、从治道民主到人民民主、从和而不同到和谐社会、从圣人君子到四有公民,中国政治文化中的这些优秀资源从不同程度上反映了西方共和主义公民身份对共和理想、自治理念、混合均衡和理想人格的探索和追求,从而为当代中国吸收和借鉴共和主义公民身份的合理成分奠定了坚实的基础。借鉴共和主义公民身份,推进我国公民身份制度与实践,需要从我国的具体实际出发。根据这个思路,本文着重从深化政治体制改革、在扩大的政治参与中体认和强化公民身份,培育公民社会、增值促使民主运转起来的社会资本,改进公民教育、造就共和国需要的合格公民等三个方面展开了分析和探讨。更多还原

【Abstract】 As the important basis of political practice and basic concept of political theory, citizenship has always been a key issue of the west political thought. In the mid-20th century, Marshall’s studies on citizenship and social classes further stimulated people’s interest in the issue of citizenship, and promoted the construction of welfare state in Europe and North America. And after a quiet period, in 1990s, the issue of citizenship became a popular term and hot topic again, as a result of a series of major political events, social issues and the debate on academic theory.Citizenship may seem simple, but in reality, it is a very complex term. Its complexity, to a large extent, is caused by a number of different and conflict explanation traditions and theories. Taking into account the inherent correlation of the republican citizenship, the substantial value of the concept of republican citizenship and the significance to the construction of China’s democratic politics, the paper selects a republican perspective for the study.The original meaning of citizenship or republican citizenship, stressing freedom, participation and virtues, can be traced back as early as the sixth century BC to the Greek city states represented by Sparta and Athens. With the establishment and expansion of the Roman Republic, citizenship had been expanded to a broader scope. Citizen belonged to city states and participated in governance of public life. Citizenship was strongly exclusive, because the access to citizenship was strictly depended on property and origin. During Hellenistic and the Roman Empire period, citizenship began to decay, and citizens gradually degenerated into subjects. In the Middle Ages, with the Christian dominating the Europe, politics was unprecedentedly weak. People became God’s sons, the king’s subjects, and citizenship was disappear. In the late middle Ages, with the city’s renaissance and the self-government movement, citizenship began to appear again in Europe, especially in some northern Italy cities. In the beginning of the 14th century, the vast majority of city republican governments began to succumb to the rule of despot, and citizenship was disappear too. Later, with the Renaissance and the spread of humanism, the Reformation Movement and the promotion of individual freedom, the Enlightenment and the rise of the concept of contract and rights, the development of capitalism and the change of socio-economic and political structures, the consciousness of citizenship renewed and the system of citizenship established again in Europe and America with the victory of the bourgeois revolution. However, it is clear that the traditional explanation of the republican citizenship has given way to the liberal discourse system which adheres to the negative freedoms and individual rights.Theoretically, the basic concept and the fundamental demands of the republican citizenship are freedom, participation and republica. Republican freedom is different from the negative freedom and positive freedom that elucidated by Berlin, but a third freedom, which Pettit alleged the freedom as non-domination. Since ancient Greek and Roman, the freedom as non-domination is an important symbol of citizenship; however, the enslavement and domination are closely related to the slave status. Only in the Republic free from foreign oppression and inner despotism, can the citizens have possibility to enjoy such freedom as non-domination. It is clear that this free republic is a constitutional republic, is an empire of law rather a kingdom of a man, is the people’s common interests and project rather than one or a small number of people’s private property. To protect civic liberties and realize the common interests of the people, an appropriate regime and a moderate territory is also essential. The traditional republicanism insisted mixed balance and small-scale city Republic, however, the modern republicanism adhered to the separation of powers, checks and balances and large-scale composite Republic. At the same time, the realization of civic liberties and republican ideals also need citizens to control the political arena, and participate in self-governance of the political life actively. Traditional republicanism advocated the direct participation in discussion, trial and administrative rule, however, modern Republicanism insists on representation, taking into account the size of the country and the limitation of people’s capacity for self-government.Moreover, in order to maintain the quality of citizenship or civic virtue, republicanism insists that it is necessary to realize the ideal of freedom, republic and participation in a constitutional republic, so does the civic education. Whether Aristotle, the main elucidator of the ancient virtues, or Machiavelli, the corrector, or any other republican, all of them think that civic virtue is the character and capacity for a citizen to serve the public interest and protect the freedom of Republic and the citizen. This character or capacity is manifold, of which courage, dedication, eloquence, prudence, patriotism are the most important. The reason why civic virtues are stressed by republicanism is that civic virtue is a necessary condition for law to operate smoothly, an inherent power for citizens to enhance the public interest and good medicine for Republic to resist the corruption. If we want to cultivate civic virtue, the ways and means by public education, civic religion, political participation and good governance by law is indispensable.It is obvious that republican citizenship is still of great value and significance under the era of post-modern and globalization, though liberal citizenship is dominant today. According to liberal point of view held by Locke, Marshall and Rawls, individual freedom and rights are paramount; accordingly, state must reduce the requirements of civic responsibility and intervention to individual life. The advantages of liberal citizenship are obvious, but at the same time it also has caused a lot of serious political and social problems. For example, the isolated atomism with the radical individualism, the Market-oriented politics with the consumer image of citizen, the weak democracy with a moderate despotism, and so on. To overcome the drawbacks of liberal citizenship, it is necessary to absorb the reasonable component of republican citizenship. In general, the intrinsic moral, integrative and educational dimension of republican citizenship helps to train good citizens. The intrinsic participating dimension of republican citizenship can promote democracy’s development and function. It is just based on citizenship and active participation, can Barber’s strong democracy, Gutmann and Thompson’s deliberative democracy and Pettit’s contestatory democracy be built outstandingly. The civic culture and social capital that republican citizenship contains contribute to the stability and efficiency of democracy. Of course, the republican citizenship has a lot of contradictions and problems criticized by some people, for example, the demands of equality and elitism color of citizenship, the gender discrimination and male chauvinism of citizenship, the single model of citizenship and the challenges of multi-citizenship, and so on. To overcome these problems and challenges and adapt to today’s society, some scholars have conducted fruitful exploration, for example, Gunsteren’s new republican citizenship model, Dagger and Heater’s Republican liberal citizenship model and Sunstein’s liberal republican citizenship model, and so on.There is no doubt that the republican citizenship has important inspiration and significance to China’s political development today. During axial age, China was different from the ancient Greek and Roman in which formed a well-developed city states and civic political culture. Under the influence of Confucian ethical politics, China formed the concept of home-country integration, despotism and subject. During the process of salvation, the concept of citizenship as the exotic began to rise. The birth of the Republic of China declared citizenship era. After the founding of new China, especially since the reform and opening up, with the development of the market economy, China’s system and practice of citizenship has greatly improved. However, due to some historical and practical factors, there are still some problems in our country, such as unreasonable citizenship system, weak citizenship consciousness and low capacity of political participation.If we say that the imperfect of our country’s citizenship system and the democratic politics provides necessity for the appliance to the republican citizenship, the accommodation between the traditional culture represented by Confucianism, contemporary socialist culture and republican citizenship provides possibility for the republican citizenship’s use in china. Concretely speaking, the excellent resources of Chinese political culture from justice for all in the world to people’s republic, from democratic governance to people’s democracy, from harmonious yet different to harmonious society, from saint and nobleman to citizen, respond republican citizenship’s pursue of republic ideal, self-governance, mixed banlance and ideal personality, which lays the solid foundation for China to absorb the reasonable component from republic citizenship.To draw lessons form republic citizenship and promote our country’s citizenship system and practice, we need start from China’s actual conditions. According to this thought, the dissertation think that it is necessary for our country to deepen political system reform, expand civic political participation, nurture civil society, increase the social capital, improve civic education and train qualified citizens in new era.更多还原