罗伯特·达尔多元主义民主观研究

【作者】 周圣平；

【导师】 刘春；

【作者基本信息】 中共中央党校 ， 政治学理论， 2010， 博士

【摘要】 从20世纪70年代开始,一股横扫全球的民主化浪潮深刻的改变了世界的政治图景,越来越多的国家和地区已经或正在踏上民主的征程。然而,与民主化表面上高歌猛进同时出现的是,一些刚刚加入民主行列的后发展国家却没有出现人们期待的发展和繁荣,政局不稳、社会动荡却频频出现。这不能不让人重新思考民主的真谛。实际上,20世纪70年代以来的这一波民主化浪潮是西方自由主义民主在世界范围的扩张,而在这一过程中,多元主义民主理论起到了不可忽视的影响作用。那么,多元民主理论究竟是一种什么样的理论?如何理解和评价这一理论?这就要求我们回到多元民主理论的主要代表——罗伯特·达尔那里。论文第一章是导论,阐述了研究达尔多元主义民主观的学术动因,包括作为历史性理论与实践难题的“民主”、20世纪70年代以来民主化浪潮背后的理论动因、研究达尔多元主义民主观的现实意义;概括了学术界对达尔思想研究的现状,包括国外研究成果的主要类型、国内(包括台湾地区)研究进程的基本状况。导论最后对论文的总体思路和基本框架作出了交代。第二章分析达尔多元主义民主观产生的历史环境。这主要包括学术背景,即资本主义传统价值的衰弱、二战后“意识形态终结论”的兴起和政治学研究方法的行为主义革命;社会条件,即美国市民社会的良好基础、战后利益集团政治的发展和美国地方政府“分散化”的权力结构;思想渊源,即政治多元主义思想的影响、功利主义原则和方法的运用以及社会制约权力思想的继承和超越。第三章剖析达尔多元主义民主观的逻辑结构。由于达尔研究方法上的变化、理论视野的宏大、思想本身的复杂,准确理解达尔的民主思想并不是一件容易的事情。为此,论文对达尔多元民主思想的逻辑结构作出了提炼,即一个主题、两条主线、三大支点。达尔多元主义民主思想的主题是人的权利和自由的实现,贯穿始终的两条主线是渐进社会发展观和现实主义民主观,起着基本支撑作用的三个支点是多元主义权力思想、自治团体和独立的社会组织、政治平等。第四章研究达尔多元主义民主观的制度设计。从达尔的思想发展来看,其制度设计是一个由破到立的“三部曲”。达尔首先批判了麦迪逊式民主理论和平民主义民主理论,主要指出它们在现实政治实践中并不能给人们带来经验性的指导。在这样一个基础上,达尔重新厘定了自己的民主理论分析框架,这是一个包括冲突、共识、规模与程序四个要素在内的四位一体的分析框架。达尔多元民主思想中最具核心意义的是制度设计的部分,它不仅详细分析了多元政制的必备条件、具体指标及其实质,还概括了实现多元政制模式的具体道路和各种可能影响多元政制的因素,因而是一个比较清晰和具体的制度设计。第五章讨论达尔多元主义民主观的困境及其超越的问题。随着社会形势的变化,以达尔为代表的经典多元主义面临越来越多的难题,也遭致了多方面的批评。为此,达尔认真的作出了回应。一方面,他承认多元民主理论面临着固化政治不平等、淡化公民意识、影响公共议程以及导致公民丧失对议程的最终控制等问题,另一方面,达尔深入的分析了各种补救性措施,其中捍卫多元民主理论的痕迹是非常明显的。达尔思考超越多元主义民主的困境最具深意的地方在于他的经济民主思想,也是他在思想上更为激进的一个重要标志。当然,达尔还从其他方面进行了思考,比如他对美国宪政体制的反思和批评等等。第六章则对达尔多元主义民主观作出了总体性评价。这部分首先概括了达尔多元主义民主观在20世纪50年代以来所经历的热烈追捧与持久批评、主动应战与被动修正的历史命运,并指出了其思想的实质。从资本主义民主政治的视角看,达尔的理论既有着巨大的贡献,自身也存在诸多方面的局限性。而对于后发展国家来说,在已经开始的这波民主化浪潮下,要保持清醒的头脑,既要系统而客观的批判多元主义民主理论,也要理性而科学的理解其中包含的关于民主政治的真知灼见,只有这样才有可能真正迈入民主国家的行列,造福人民。更多还原

【Abstract】 Since 1970s, a wave of democratization that sweeping through the globe has changed the political-map of the world, and more and more countries and areas have set out (or are setting out) on the journey of democracy. However, accompanying the apparently great triumph of democratization, some underdeveloped countries that have just joined democratic procession appear no scene of development and prosperity what anticipated by many people, and unstable political situation and unrest social condition become often and frequent. All of these compel people to reconsider the truth of democracy. In fact, the wave of democratization that starting from 1970s is an expansion of western liberal democracy to the world. It is worth noting that plural democratic theory has an important effect that cannot be ignored on the process of expansion. What is plural democratic theory? How to comprehend and evaluate plural democratic theory? In order to answer these questions, we are required to go back to Robert A. Dahl who is a main representative of plural democratic theory.Chapter one is Introduction. It elaborates the academic motivations of studying Dahl’s plural democratic theory. In short, the academic motivations are as follows: democracy as a historically theoretical and practical difficult problem, theoretical motivations behind the wave of democratization since 1970s, and practical significance of studying Dahl’s plural democratic theory. It also summarizes the present research situation on Dahl’s democratic theory, including the main types of research achievements abroad, and the basic condition of research process in China (Taiwan is included). It then introduces the general way of thinking and the fundamental frame of this dissertation.Chapter two analyzes the emerged historical environment of Dahl’s plural democratic theory. It is consisted of three main respects. Firstly,“Academic Background”, that is the weakening of capitalist traditional values, the rising of“end of ideology”after the world warⅡ, and the behavioral revolution of research method in politics. Secondly,“Social conditions”, that is the favorable basis of American civil society, the development of interest-group politics after the world warⅡ, and the decentralized power structure of American local government. Thirdly,“Ideological origins”, that is the effect of political pluralism, the use of principles and methods of utilitarianism, and the inheritance and transcendence of the thought of social constrains of power.Chapter three dissects the logical structure of Dahl’s plural democratic theory. Because of the change of research method, the grand of theoretical vision, and the complexity of the theory itself, accurate understanding of Dahl’s democratic thoughts is a difficult thing. Therefore, the dissertation provides a refinement of logical structure of Dahl’s plural democratic theory, that is“one topic, two main lines, three basic fulcrums”. Achieving fundamental rights and liberties of human being is the topic, and progressive social development concept and realism democratic thought are the two main lines that running through the whole theory of Dahl. Plural power thought, autonomous groups and independent social organizations, and political equality are the three fulcrums that supporting Dahl’s theory.Chapter four researches the system-design of Dahl’s plural democratic theory. Viewing from the development of Dahl’s theory, the system-design is a process of“trilogy”that from break to construction. Dahl firstly criticized Madison’s democratic theory and populist democratic theory, and indicated that they cannot provide empirical guidance in real political practices for mankind. On such a basis, Dahl reconstructed his own analytic frame of democratic theory. It is a four-in-one frame that involves conflict, consensus, size and procedure. The system-design is one of the most significant part of Dahl’s plural democratic theory. It not only analyzes the requisite conditions, concrete indices and its essence of Polyarchy, but also generalizes the specific ways to Polyarchy and all kinds of possible factors that may affect Polyarchy. Consequently, it is a clear and concrete system-design.Chapter five discusses dilemmas and transcendence of Dahl’s plural democratic theory. With the great changes of social situation, classical pluralism in which Dahl is a main representative has been confronted with more and more conundrums and critiques. In this context, Dahl took serious responses. On the one hand, he admitted that plural democratic theory be confronted with such possible problems as stabilizing political inequality, diluting citizenship, affecting public agenda and resulting in the lost of final control of agenda of citizens. On the other hand, Dahl deeply analyzed all kinds of remedial measures. It is worth mentioning that Dahl’s defensive marks of the theory are very conspicuous. The most profound part in Dahl’s reflection on transcending dilemmas is his economic democratic theory. Certainly, Dahl also pondered from other respects. For example, he reconsidered and criticized American constitutional system.Chapter six evaluates Dahl’s plural democratic theory entirely. This chapter firstly generalizes its historical fate of hot pursuit and persistent criticism, active fight and passive correction of Dahl’s plural democratic theory since 1950s, and it also indicates the essence of the theory. From the viewpoint of capitalist democratic politics, Dahl’s theory not only has great contributions, but has obvious theoretical limits in many respects. To underdeveloped countries that have been involved in the wave of democratization, keeping sober mind is very important. On the one hand, systematic and objective critiques are necessary. On the other hand, they should also rationally and scientifically comprehend the truth of democratic politics that contained in the theory. Only by this way can underdeveloped countries really enter the procession of democratic nations, and benefit their people.更多还原