【摘要】： 選舉民主是民主形式中的一朵奇葩,它不僅具有廣泛的適應(yīng)性而且具有極大的包容性。人類民主理想在現(xiàn)代世界的迅速拓展應(yīng)歸功于選舉民主。與古希臘絢麗而有限的直接民主相比,選舉民主以其特有的方式保證了民主在更大規(guī)模社會(huì)的實(shí)現(xiàn)。人類社會(huì)很早就采用了選舉的方式來(lái)選擇統(tǒng)治者,但是只有在選舉資格逐漸普及到每個(gè)成年公民之后,由選舉產(chǎn)生的代表才真正成為全體人民利益的代言人,這時(shí)的選舉民主也才真正成為全體人民的民主。然而,隨著人類社會(huì)的民主實(shí)踐,選舉民主的價(jià)值在得到充分彰顯的同時(shí)也逐漸暴露出自身的弱點(diǎn)。最初建立選舉民主的國(guó)家以及學(xué)者紛紛用“選舉主義的謬誤”、“選舉的暴政”、“選舉的獨(dú)裁”、“投票的動(dòng)物”等話語(yǔ)描述選舉民主的種種弊端。對(duì)于一些剛剛或正在大力推進(jìn)選舉民主的國(guó)家,這種復(fù)雜的局面令人無(wú)所適從。當(dāng)前由于對(duì)選舉民主的有效性和有限性沒(méi)有正確的認(rèn)知,對(duì)選舉民主常常提出不切實(shí)際的希望,從而也給熱衷于民主的人們帶來(lái)無(wú)盡的失望。因此對(duì)于選舉民主的有效性和有限性的研究不是一個(gè)簡(jiǎn)單的肯定與否定的問(wèn)題,而是需要挖掘其有效性和有限性的深層內(nèi)涵與具體表現(xiàn),并且只有在正確認(rèn)識(shí)選舉民主有效性的基礎(chǔ)上才可能恰當(dāng)?shù)卦u(píng)判選舉民主的有限性。因此,本文試從有效性與有限性兩個(gè)方面展開(kāi)對(duì)選舉民主的研究。 對(duì)于選舉民主有效性與有限性的研究首先需要明確一系列概念以及相關(guān)的基礎(chǔ)理論,因此本文首先介紹民主以及選舉民主的概念與特征。本文認(rèn)為,選舉民主是指在民族國(guó)家中通過(guò)自由、公正、定期、競(jìng)爭(zhēng)的選舉產(chǎn)生國(guó)家公職人員的一種民主形式。公民具有基本的政治權(quán)利和自由是選舉民主的前提條件；自由、公正、定期、競(jìng)爭(zhēng)性的選舉是選舉民主的基本特征；“多數(shù)裁定”是選舉民主運(yùn)作的基本原則；票決制是選舉民主運(yùn)作的基本方式。因此,一方面選舉民主屬于票決民主和代議制民主的一種形式,另一方面選舉民主并不是某些學(xué)者所認(rèn)為的“最低限度的民主”。雖然選舉民主在不同的語(yǔ)境下具有不同的涵義,在不同的時(shí)代也具有不同的品質(zhì)與特征,然而從古希臘奴隸主的選舉民主發(fā)展到中世紀(jì)貴族的選舉民主,再到現(xiàn)代社會(huì)廣大人民的選舉民主,選舉民主的品質(zhì)在不斷的提升。正因如此,在現(xiàn)代社會(huì)選舉民主已經(jīng)成為進(jìn)步人類不可或缺的民主形式之一。 任何一種民主形式都需要理論和實(shí)踐的支撐,選舉民主也不例外。因此對(duì)選舉民主的研究需要了解其理論基礎(chǔ)以及所需的實(shí)踐條件。選舉民主的理論基礎(chǔ)來(lái)源于多個(gè)方面,包括社會(huì)契約論、主權(quán)在民理論、理性選擇理論和代議制理論等,在這些不同的理論之間,還存在著交錯(cuò)遞進(jìn)的關(guān)系。這些理論既是選舉民主得以產(chǎn)生的內(nèi)在動(dòng)因,也為其有效性的發(fā)揮奠定了理論基礎(chǔ)。然而,理論基礎(chǔ)只是一個(gè)方面,選舉民主的產(chǎn)生、發(fā)展與鞏固還需要一系列與之相適應(yīng)的實(shí)踐條件,包括經(jīng)濟(jì)、政治、文化以及相關(guān)條件等等。具體來(lái)說(shuō),選舉民主的建立以及發(fā)展需要商品經(jīng)濟(jì)的適度發(fā)展；公民擁有法定的選舉權(quán)和政治自由；參與型文化的出現(xiàn)等等；另外有效的國(guó)家政權(quán)、政治精英的推動(dòng)、合適的國(guó)際環(huán)境等也是選舉民主的可能條件。選舉民主產(chǎn)生的理論基礎(chǔ)以及實(shí)踐條件是選舉民主發(fā)揮有效性的重要基礎(chǔ)與邏輯前提。 對(duì)于選舉民主的研究需要我們對(duì)選舉民主的基本要素以及富有特色的運(yùn)作過(guò)程有充分的了解,因?yàn)檎撬鼈儍?nèi)在地規(guī)定了選舉民主的有效性與有限性。選舉民主的基本要素主要包括四個(gè)方面：選民是選舉民主的主體；候選人是選舉民主的客體；票決是選舉民主的實(shí)現(xiàn)途徑；競(jìng)爭(zhēng)是選舉民主的運(yùn)作方式。選舉民主的運(yùn)作過(guò)程包括：設(shè)立選舉管理機(jī)構(gòu)；確定選舉的具體方式；安排選舉的基本流程；獲勝者依法擔(dān)任公職四個(gè)方面。選舉民主的基本要素以及復(fù)雜的運(yùn)作過(guò)程確保了選舉民主有效性的發(fā)揮,同時(shí)這些要素與運(yùn)行機(jī)制也導(dǎo)致了選舉民主的有限性。 選舉民主的有效性與有限性是選舉民主不可分割的兩個(gè)方面。選舉民主的有效性是指選舉民主在滿足人或社會(huì)的相應(yīng)需要、實(shí)現(xiàn)相應(yīng)目的方面所表現(xiàn)出的積極特性。選舉民主的有效性,就其本質(zhì)而言,是體現(xiàn)于特定價(jià)值關(guān)系中的價(jià)值屬性問(wèn)題。它是在選舉民主活動(dòng)及其結(jié)果與選舉民主主體構(gòu)成的價(jià)值關(guān)系中所表現(xiàn)出來(lái)的。因此選舉民主的有效性可以歸納為三個(gè)方面：選舉民主主體的有效性,包括充分彰顯人的理性、保障公民的基本權(quán)利；選舉民主程序的有效性,包括參與性、人道性、合法性、合理性、及時(shí)性、終結(jié)性等；選舉民主結(jié)果的有效性,包括終結(jié)專制與暴政、實(shí)現(xiàn)政治斗爭(zhēng)的有序化和政治穩(wěn)定、有利于產(chǎn)生符合民意的政權(quán)、有利于培育公民的民主德行等。選舉民主的有效性需要一系列指標(biāo)體系加以衡量,因此,本文提出了“選舉權(quán)利”和“保障公民選舉權(quán)的政治自由”兩個(gè)大類共九項(xiàng)指標(biāo)作為衡量選舉民主的客觀標(biāo)準(zhǔn)。 選舉民主的有限性是指選舉民主在正常運(yùn)轉(zhuǎn)的情況下所導(dǎo)致的最終結(jié)果的非正義問(wèn)題。對(duì)選舉民主的有限性可以從兩個(gè)方面分析：一是選舉民主主體的有限性,二是選舉民主運(yùn)行機(jī)制的有限性。主體的有限性是指選舉民主中的主體——選民——能力是有限的,不可能巨細(xì)無(wú)遺地考慮選舉中的所有相關(guān)因素,也未必能夠在思考之后就做出最佳的選擇,這是選舉民主在實(shí)踐中的重大局限性。選舉民主運(yùn)行機(jī)制的有限性是指選舉民主為保障其順利運(yùn)行所遵循的原則、程序和方法所導(dǎo)致的局限性,包括多數(shù)裁定的不完善性、程序性原則的弱點(diǎn)、委托-代理的困境三個(gè)主要方面。具體來(lái)看,多數(shù)裁定的結(jié)果不能保證代表公共利益,還有可能產(chǎn)生選舉結(jié)果的不一致、損害選民的個(gè)人權(quán)利、扭曲選民意志。選舉民主中的程序性原則在實(shí)踐中常常難以保障失敗者的利益和缺席者的權(quán)利,無(wú)助于包容與縮小分歧,甚至可能導(dǎo)致民主價(jià)值的空洞化。而選舉民主中的委托-代理關(guān)系可能會(huì)導(dǎo)致選舉產(chǎn)生的代表按自己的利益行事而忽略選民的利益,從而使選舉民主名不副實(shí)。 在全面認(rèn)識(shí)選舉民主有效性與有限性之后,還需探討如何完善選舉民主。首先需要合理調(diào)適主客體關(guān)系、拓展選舉民主的自身優(yōu)勢(shì)；其次要逐步擴(kuò)大直接民主的范圍,克服與彌補(bǔ)選舉民主的局限；最后要把選舉民主與協(xié)商民主結(jié)合起來(lái),提升選舉民主的品質(zhì)。總之,對(duì)于選舉民主的研究,需要從正反兩個(gè)方面作辯證的分析,選擇了選舉民主并不等于自動(dòng)落實(shí)了民主理想,把民主理想融入制度也不意味著民主完全實(shí)現(xiàn)�，F(xiàn)實(shí)中的民主永遠(yuǎn)無(wú)法達(dá)到完滿,但是追求理想的民主的腳步也永遠(yuǎn)不會(huì)停止。
[Abstract]:Electoral democracy is a wonderful flower in the form of democracy. It has not only wide adaptability but also great inclusiveness. The rapid expansion of human democratic ideals in the modern world owes to electoral democracy. Compared with the brilliant and limited direct democracy in ancient Greece, electoral democracy ensures democracy in a larger community in its unique way. Human society adopted the method of electing rulers very early, but only after the electoral qualifications gradually spread to every adult citizen, the elected representatives became the spokesman of the interests of all the people, and then the electoral democracy became the democracy of all the people. The democratic practice of the association and the value of the electoral democracy have been fully manifested, but their own weaknesses have gradually been exposed. In countries where electoral democracy has just been or is being vigorously promoted, this complex situation is confusing. Without a correct understanding of the validity and limitations of electoral democracy, there is often unrealistic hope for electoral democracy, which also brings endless disappointment to people who are keen on democracy. The study of the validity and finiteness of the Lord is not a simple question of affirmation and negation, but a deep connotation and concrete manifestation of its validity and finiteness. The study of electoral democracy is carried out in two aspects.
To study the validity and limitation of electoral democracy, we must first clarify a series of concepts and related basic theories. Therefore, this paper first introduces the concepts and characteristics of democracy and electoral democracy. The basic political rights and freedoms of citizens are the preconditions of electoral democracy; free, fair, regular and competitive elections are the basic characteristics of electoral democracy; the "majority ruling" is the basic principle of the operation of electoral democracy; the voting system is the basic way of the operation of electoral democracy. On the other hand, electoral democracy is not the "minimum democracy" as some scholars think. Although electoral democracy has different meanings in different contexts and has different qualities and characteristics in different times, it has developed from the electoral democracy of slave owners in ancient Greece to the electoral democracy of slave owners in ancient Greece. The election democracy of the aristocrats in the Middle Ages, and then to the election democracy of the broad masses of the people in modern society, the quality of the election democracy is constantly improving.
Any form of democracy needs the support of theory and practice, and electoral democracy is no exception. Therefore, the study of electoral democracy needs to understand its theoretical basis and practical conditions. However, the theoretical basis is only one aspect. The emergence, development and consolidation of electoral democracy need a series of corresponding practical conditions. Specifically speaking, the establishment and development of electoral democracy need the moderate development of commodity economy; citizens have the legal right to vote and political freedom; the emergence of participatory culture and so on; in addition, effective state power, the promotion of political elites, the appropriate international environment and so on are also elections. The theoretical basis and practical conditions of electoral democracy are the important basis and logical premise for the effectiveness of electoral democracy.
The study of electoral democracy requires us to have a full understanding of the basic elements of electoral democracy and its characteristic operation process, because they inherently stipulate the validity and limitation of electoral democracy. The operation process of electoral democracy includes: setting up electoral administration organs; determining the specific ways of elections; arranging the basic process of elections; and holding public office by the winner according to law. The operational process ensures the effectiveness of electoral democracy, and these elements and operational mechanisms also lead to the limitations of electoral democracy.
The validity and limitation of electoral democracy are two indispensable aspects of electoral democracy. Therefore, the validity of electoral democracy can be summed up in three aspects: the validity of electoral democratic subjects, including fully demonstrating human rationality and guaranteeing citizens'basic rights; the validity of electoral democratic procedures, including It includes participation, humanity, legitimacy, rationality, timeliness, finality, etc. The effectiveness of Election Democratic results, including the end of autocracy and tyranny, the realization of orderly political struggle and political stability, is conducive to the formation of a political power in line with public opinion, is conducive to the cultivation of citizens'democratic ethics and so on. Therefore, this paper puts forward two categories of nine indicators, namely "the right to vote" and "the political freedom to protect the citizens'right to vote", as the objective criteria to measure electoral democracy.
The finiteness of electoral democracy refers to the injustice of the final result caused by the normal operation of electoral democracy. The finiteness of electoral democracy can be analyzed from two aspects: the finiteness of the main body of electoral democracy and the finiteness of the operating mechanism of electoral democracy. The limitation of electoral democracy in practice is that it is impossible to take into account all the relevant factors in the election in great detail and to make the best choice after thinking, which is a major limitation of electoral democracy in practice. The limitations of procedures and methods include the imperfection of majority rulings, the weakness of procedural principles, and the dilemma of principal-agent. Specifically, the results of majority rulings can not guarantee the representation of public interests, and may lead to inconsistencies in election results, damage the individual rights of voters and distort the will of voters. In practice, the procedural principle in democracy is often difficult to protect the interests of the losers and the rights of the absentees, does not help to contain and narrow differences, and may even lead to the hollowing of democratic values. The name of election democracy is not true.
After comprehensively recognizing the validity and limitation of electoral democracy, it is necessary to explore how to improve it. Firstly, it is necessary to rationally adjust the relationship between the subject and the object and expand the advantages of electoral democracy; secondly, it is necessary to gradually expand the scope of direct democracy to overcome and remedy the limitations of electoral democracy; finally, it is necessary to combine electoral democracy with deliberative democracy. In short, the study of electoral democracy needs a dialectical analysis from both positive and negative aspects. The choice of electoral democracy does not mean the automatic implementation of democratic ideals, and the integration of democratic ideals into the system does not mean the complete realization of democracy. The pace of democracy will never stop.
【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2010
【分類號(hào)】：D621.4

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