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    June 10

    Democracy as a Universal Value

     
     
    作者:阿玛蒂亚·森 

    1998年诺贝尔经济学奖获得者英国剑桥大学三一学院院长、哈佛大学退休教授

     
        1997年夏天,一家日本的主要报纸请我就二十世纪中发生的最重要的事谈谈自己的看法。我发现这是个很少遇到的引人深思的问题,毕竟在过去的百年当中发生了那么多重大的历史事件。欧洲的帝国,特别是在十九世纪中居于支配性地位的英、法帝国,终于没入了历史。我们亲历了两次世界大战,看到法西斯主义和纳粹主义的兴起和衰亡。二十世纪目睹了共产主义的崛起,以及它的没落(如在前苏联阵营)或大幅度的变革(如在中国)。我们也注意到,西方世界的经济支配地位已被一种新的经济格局所取代,在这一新的经济格局中,日本、东亚和东南亚有着更大的影响力。虽然东亚和东南亚地区现在正面临一些金融和经济问题,但这并不会改变上述的世界经济格局过去几十年来的演变态势(若观察日本在世界经济格局中地位的变化,则其重要性的提升几可追溯至百年前)。过去的这一百年确实不乏重要的历史事件。

        然而,若要在二十世纪里发生的诸多进步当中选择一项最重要的,那么,我会毫无困难地指出,那就是民主的兴盛。我这样讲,并无意否认其他同样具重要性的历史事件,但我想指出的是,到了遥远的将来,当人们回首这个世纪的历程时,他们就会发现,民主制度出现后被广泛地接纳为政府的组成方式,除此之外恐怕没有比这意义更重大的事了。

        当然,民主的理念实源于两千多年前的古希腊,此后各国都尝试过零星的致力于民主化的努力,印度也是如此[1]。在古希腊,确实形成并认真地实施过民主的理念(尽管范围有限),而此后这一实验却瓦解了,被更专制、缺乏制衡的政权取而代之了;而那时在其他地方则尚未出现过其他任何形式的民主制度。

        所以,我们所了解的民主制度是经过了很长时期才出现的。民主制度作为一种有效的统治方式,它逐渐成长直至最终居于支配地位的过程是由一系列历史发展进程所组成的。这些事件包括1215年英国的大宪章的签署,十八世纪的法国大革命和美国革命,以及十九世纪在欧洲和北美选举权的扩大等等。然而,直到二十世纪,民主的理念才被确立为在任何国家都适用的“常规的”政府形式──无论在欧洲、美洲、还是亚洲或非洲皆然。

        关于民主的思想是一种放之四海而皆准的理念,它是崭新的、典范式的二十世纪的产物。当年通过宪章运动强制性地限制英国君主权力的反叛者们,把民主完全视为单纯地为其本地需要服务的理念。相比之下,为美国独立而战的志士们和法国大革命中的革命者则作出了巨大的贡献,是他们帮助人类懂得了,必须把民主变成在人类社会里通行的制度。不过,他们在实践中提出的要求之重点,也仍然有相当的地域局限性,实际上限于北大西洋的两岸,而且是以该地区特殊的经济、社会和政治历史为基础的。

        在整个的十九世纪里,民主思想的理论家们觉得,议论一个国家或另一个国家是否“适合于民主制度”是十分自然的事情。直到二十世纪,这一看法才发生了变化,人们开始承认,这样提问题本身就是错误的:根本不需要去判定一个国家是否适合于民主制度,相反,每个国家都必然在民主化的过程中变成适应民主制度的社会。这一变化的确是个重大的变化,它把民主理念潜在的影响扩展到了历史和文化各不相同、富裕程度千差万别的数十亿人当中。

        也正是在本世纪,人们最终接受了这样的理念,所谓的“成人的普选权”必须包括所有的成年人──不仅仅包括男性,而且也包括女性。今年一月我有幸会见了一位享有盛名的杰出女性、瑞士总统露丝.德雷福斯女士(Ruth Dreyfuss)。这次会见令我浮想连翩,仅仅在二十五年前,瑞士的妇女还没有选举权呢。我们终于在本世纪达成了这样的共识,民主的举世普适性就象善行一样,是不应对之加以限制的。

        我不否认,民主价值观的普适性这一诉求受到着各种挑战,这些挑战形式各异,来自不同的方向。实际上,这正是本文要讨论的主题之一。在下文中,我将回顾民主的价值观放之四海而皆准的诉求,并分析围绕着这一诉求的种种争论。但在进一步讨论之前,有必要明确地把握这样一个概念,即在当今的世界上民主已经成为支配性的信念。

        在任何时代、任何社会环境中,都有一些占优势的信念,它们似乎被尊为一种普遍性规则,就象在计算机程序中预设(default)的安排一样;除非这些信念提出的要求以某种方式被完全否定了,否则,在一般情况下这些信念往往被视为是正确的。尽管民主制度尚未成为在所有国家都施行的制度,虽然民主的理念也确实还未被所有国家一致接受,但按照世界上通行的一般看法,现在民主政治已被视为大体上是正确的选择。只有那些想抵制民主政治、以便为非民主制度辩护的人们,还在那里竭力排斥民主的理念。

        当年那些在亚洲或非洲倡导民主的人们曾处于极为艰难的困境当中,这并非年代久远之事。但自从那时以来,历史已经发生了巨大的变化。现在,虽然我们有时仍然不得不与那些含蓄或公开地排斥民主政治的人士争辩,我们也应该非常清醒地认识到,在政治问题的理解方面,整个的大气候已经与上个世纪完全不同了。我们再也不用每每辩识,某个国家(比如南非,或柬埔寨、智利)是否“适合于民主政治”(而在十九世纪的话语当中这是个非常典型的问题);现在我们早就把这一点视为理所当然的了。人类社会已经公认,民主制度是普遍适用于各国的,民主的价值观也被视为是放之四海而皆准的;这是思想史上的一场重大革命,也是二十世纪的主要贡献之一。在这样的背景下,现在我们来讨论为什么民主的价值观放之四海而皆准。


      “印度经验”  


         究竟民主制度成效如何呢?虽然没有人真会去质疑民主政治在美国或英国、法国的作用,但是,民主政治在世界上的许多贫穷国家里成效如何,却仍然是个引起争论的问题。在本文中,我不可能详细地检视历史记录,不过,我想指出,民主制度的成效相当不错。

        如果谈到民主政治在贫穷国家里的成效,当然,常常会涉及到印度的例子。当年,英国殖民当局拒绝印度的独立要求时,就处处怀疑印度人管理自己的国家和社会的能力。1947年,当印度独立的时候,这个国家确实处在某种混乱当中。独立后的印度政府毫无政治经验,印度过去各自分治的地区之间尚未融合一体,政治上各种力量的分野模糊不清,同时还广泛存在着社区性暴力事件和社会失序。那时,对印度未来是否能成为一个统一的、民主的国家,还真缺乏信心。然而,半个世纪过去了,我们现在可以看到,印度的民主政治历经甘苦,已卓有成效地奠定了巩固的基础。在这段时间里,政治上出现的分歧大体上都按照宪法的准则来处理,并且坚持根据选举结果和国会的规则来组织历届政府。虽然当年印度这个国家是由各个差异极大的地区马马虎虎、勉勉强强地仓促组合而成的,但它不但存活了下来,而且,作为一个建立在民主制度基础上的政治体,运转得相当良好。确实,印度的各个部份正是通过有效的民主政治体制而结为一体的。

        印度的各邦操各种不同的语言、有着多样化的宗教,在国家的发展中如何处理这些问题,也构成了对印度的生存的巨大挑战。当然,由于宗教和社区间的差异,印度的政治具有某种特殊的脆弱性,这往往会被宗派政治家所利用,而他们也确实数次这样做过(包括在最近的几个月里),由此导致了群众的极大恐惧。不过,当宗派性暴力活动乘机兴风作浪时,全国各界都会一致谴责这样的暴力活动,从而最终维护着民主制度的基石,以反对狭隘的派系摩擦。印度不仅是居于多数地位的印度教的故乡,也是世界上第三大的信奉伊斯兰教的人口之家乡,还拥有数百万的基督教徒和佛教徒,世界上大多数的锡克教徒、印度祆教和耆那教徒也都住在印度。对于印度这样一个差异极大的国家的生存和繁荣来说,这样的社会共识当然是至关重要的。


      民主与经济发展的关系 


        人们经常会听到这样一种观点,即不民主的体制能更有效地推动经济发展。这种想法有时被称为“李氏假设”,因为新加坡的领导人、前总统李光耀是它的鼓吹者。确实,有一些实行威权体制的国家(如韩国、李光耀自己的新加坡以及改革后的中国)的经济增长率高于许多非威权体制的国家(包括印度、牙买加和哥斯达黎加),从这个意义来讲,李光耀当然是对的。然而,这个“李氏假设”是以零星的经验观察为基础的,是根据高度选择性的、有限的信息归纳出来的,它并未经过任何以现有的大范围数据为基础的一般性统计检验。要证明威权体制和经济高增长的关系具有普遍性意义,就不能用高度选择性的资料去论证。例如,博茨瓦纳是非洲经济增长纪录最好的国家,也是全世界经济增长纪录最好的国家之一,它几十年来一直是非洲大陆上的一块民主制度的“沙漠绿洲”;如果要把新加坡或中国的高经济增长当做威权主义体制在促进经济增长方面做得更好的“确凿证据”,那我们就不能回避从博茨瓦纳之例中得出的相反结论。我们需要做更系统的经验研究,以便从中分辨出支持和反驳“李氏假设”的证据。

        实际上,并没有任何令人信服的普遍性证据能证明,威权主义的统治和对政治及公民权利的压制真的对经济发展有益处。确实,从普遍的统计资料中不可能归纳出这样的结论。系统性的经验研究(比如由罗伯特.巴若(Robert Barro)或亚当.普热沃斯基(Adam Przeworski)所主持的研究)的结果从未真正支持过这样的观点,即在政治权利和经济表现之间存在着普遍性的冲突。[2] 究竟政治权利对经济表现的影响为何,似乎取决于许多其他因素的作用;某些统计调查发现在两者之间存在着微弱的负相关,而另外一些统计研究却发现两者之间有很强的正相关。如果把所有的比较研究的结果放在一起,关于经济增长与民主之间没有明显的彼此影响的假设还是相当有说服力的。既然民主和政治自由本身非常重要,所以与上述研究相关的努力决不会遭到忽视。[3]

        这个问题也涉及到经济研究方法的一个基本要点。我们不仅应当从统计上看相关程度之大小,还应当考察和分析关系到经济增长和发展的因果性过程。现在,学者们已经对导致东亚地区各国经济成功的经济政策和环境因素有相当多的了解。虽然不同的经验性研究所关心的重点不一样,但目前学者们已经就一份对经济发展“有助的政策”清单形成了广泛的共识。在这个政策清单上有开放竞争、利用国际市场、由公共部门对投资和出口提供激励、高识字率和中小学入学率、成功的土地改革以及其他促进广泛参与经济扩张活动的社会条件等。我们完全没有理由假设,这些政策中的任何一项会与更广泛的民主制度不一致、而只能由象在韩国、新加坡或中国那样的威权体制来强力支撑。实际上,有一项强有力的证据表明,要形成更快的经济增长,所需要的是一个更宽松的经济气氛,而不是一个更严酷的政治体制。

        要完成这一研究,就必须超越狭隘的关于经济增长的观察,而应更宽泛地分析经济发展需要些什么,包括经济和社会保障方面的需要。从这样的角度出发,我们就要一方面看政治与公民权利,另一方面看主要经济灾难的预防,以及两者之间的关系。政治与公民权利能给予人民必要的机会,以要求政府注意社会上的需要并采取相应的行动去满足这些需要。政府对其人民遭受苦难时的反应往往取决于人民施加的压力。而人民能否行使其政治权利(如投票、批评、抗议以及其他的类似权利),确实直接关系到政府是否有足够的激励去关心人民的苦难。

        我在别的地方也提到过一个明显的事实,回顾世界上可怕的饥馑史,在任何一个独立、民主、拥有相对的新闻自由的国家里,从来没有发生过重大的饥馑。[4] 不管我们观察哪个国家,是埃塞俄比亚、索马里最近的饥馑,还是其他独裁政权下的饥馑;是苏联三十年代的饥馑,还是中国1958年至1961年大跃进失败后的饥馑;或更早一些,爱尔兰或印度在外族统治下的饥馑;在这个规律面前,我们找不到任何例外。虽然中国在经济的许多方面做得比印度好,但中国仍然出现过大范围的饥馑(而印度却从未如此),这场饥馑实际上是世界史上有记录的饥馑中最大的一次,在1958年至1961年间差不多饿死了三千万人民,而导致这场饥馑的错误的政府政策却被延续不变达三年之久。这些导致人民饿死的政策被推行下去而未受到批评,因为议会里没有反对党,没有新闻自由,也没有多党制下的选举。事实上,恰恰是因为缺少对执政党的挑战,才使得严重错误的政策虽然每年杀害了上千万人,也仍然能够持续下去。在世界上此刻正发生的两场大饥馑中,一场在北朝鲜,另一场在苏丹,可以说,也出现了同样的情形。

        饥馑经常看上去与自然灾害有关,而新闻记者也常常把饥馑的原因简单地归结为自然灾害:在失败了的大跃进期间中国出现了洪水灾害,在埃塞俄比亚有旱灾,而在北朝鲜则是谷物歉收。然而,许多同样遭受到类似自然灾害的国家,甚至其灾情更重,却能有效地避免饥馑的发生。因为,对选民负责的政府必须积极地采取措施以帮助人民、减轻饥饿的威胁。在一场饥馑中,主要的受害者是穷人,所以政府可以通过创造收入(例如,通过就业计划等)、让潜在的受饥馑威胁的受害者获取食物,从而使穷人免于饿死。即使是在那些最穷的民主国家里,万一遇到了严重的旱灾、水灾或其他自然灾害(如印度在1973年,或津巴布韦和博茨瓦纳在八十年代前期),政府也能让人民得到食物而从未出现过饥馑。

        如果采取认真的努力,要避免饥馑其实是很容易的。而一个民主政府由于必须面对选举和反对党及独立的报纸的批评,所以除了积极努力地避免饥馑以外别无选择。处于英国殖民统治下的印度直到独立之时都饥馑不断(最后的一次饥馑发生在1943年,是印度独立前四年的事,那时我还是个孩子,曾目睹了饥馑时期);然而,自从印度建立了多党民主政治和实现了新闻自由之后,饥馑就突然消失了,这样的结果其实一点也不奇怪。

        我在其他书着中,特别是在我与让.德热兹(Jean Dreze)合作研究的成果中,也谈到过这些问题,在这里就不再赘述。[5] 避免饥馑实际上只不过是民主政治可以解决的诸多问题之一,当然举这个例子是最容易的。一般而言,政治和公民权利的积极作用表现在它有助于防止出现经济和社会性灾难。如果一个国家诸事顺利、一切都走上了轨道,人们或许不会特别注意到民主的这种工具性作用。但当形势因种种原因变坏时,民主政治所提供的政治激励机制就显现出巨大的现实意义。

        我相信,从中可以得出一个重要的教训,即许多经济技术官僚主张使用由市场经济提供的经济激励机制,但却忽视由民主政治所保证的政治激励机制,这意味着实行一种极不平衡的制度基础。当一个国家运气不错、未经历严重的灾难、一切顺利时,民主政治对弱势群体的保护性功能可能未必引起人们的重视。然而,当经济或其他环境发生变化,或者发生政策失误而未予纠正时,由此会产生不安全的危险,这时哪怕一个国家看上去十分正常,其中也可能潜伏着这类危险。

        最近东亚和东南亚发生的问题就是实行不民主的政治制度的一系列惩罚,这在两个方面表现得特别明显。首先,在这一地区的某些国家(包括韩国、泰国、印度尼西亚)里,金融危机的发展与商业上缺乏透明度有极为密切的关系,特别是在金融运作方面缺乏由公众参与的监督。没有有效的民主制度下的舆论监督是导致这场金融危机的核心原因。其次,一旦这场金融危机导致经济全面衰退时,在印度尼西亚这样的国家里,民主制度对弱势群体的保护性功能方面的真空就显得极为突出了,这与民主国家可避免饥馑是同样的道理。在印度尼西亚,很多人被这场经济衰退剥夺而生机困难,当权者却根本不理睬他们的诉求。

        这些国家在过去的几十年里年平均经济增长率都达到了百分之五至十,也许在金融危机中国民生产总值跌落百分之十看上去并没有什么大不了的,但是若经济收缩的负担不是由全社会分担,而是集中压在承受力最低的失业者或社会上的过剩劳工身上,那么,哪怕经济增长率只下降百分之十,也会使数百万人陷入悲惨境地,甚至夺去人们的生命。在印度尼西亚的情势一帆风顺时,这些社会地位脆弱的人们或许不觉得没有民主会如何影响他们的生活,但在没有民主的社会里他们的声音被压抑住了,而危机来临时所带来的沉重代价就会轻易地压倒他们。在最需要民主政治对弱势群体的保护性功能发挥作用时,他们才体会到了没有民主政治的悲哀。


      民主的各种功能 


        以上讨论主要是回应对民主政治的批评,特别是回答了经济中心论者的批评。下面,我将回到与民主政治的批评者的争论,侧重于回答文化差异论。不过,现在我准备先从正面进一步分析民主政治的特点,并说明为什么民主的价值观放之四海而皆准。

        究竟什么是民主呢?我们不能把民主等同于多数人的统治。民主政治所提出的要求是多方面的,其中当然包括投票以及尊重选举结果,但民主也要求保护各种自由权利、尊重立法机构、保障言论自由以及发布新闻和公正评论而不受政府检查。如果在选举中不同党派未能得到充份机会表达自己的立场,或者选民没有获得新闻的自由、也无法自由地考虑不同候选人的观点,那么即使有例行的选举,这样的选举也是弊端重重的。民主政治需要一整套机制,它并非一个孤立的、机械的由多数人实行统治之类的原则。

        从这一角度来看,民主政治的优点以及它放之四海而皆准的价值观反映出人类社会中一些独到的德行,这在其充份的实践中得到了体现。事实上,我们可以提出,民主政治从三个方面丰富了民主社会公民的生活。首先,政治自由是人类一般自由的组成部份,而作为社会成员的个人的幸福生活当中,关键的一个部份就是行使公民和政治权利。政治和社会参与在人类的生存和生活里具有内在的价值。而阻挠人们参与社会政治生活实际上是对人们的一大剥夺。其次,如上所言(我曾与那种认为民主与经济发展相互冲突的观点争论过),民主具有一种重要的工具性价值,能促使当政者倾听民众所表达出来的要求(包括经济方面的要求)。再次,民主的实践给公民们一个互相学习的机会,从而有助于在社会中形成价值观、并明确各类问题的优先顺序,这个问题尚待进一步探讨。即使是 “需求”这样一个简单的概念(包括对“经济方面的需求”的理解),也需要在公众中展开讨论,需要交换不同的信息、观点和判断。由此可见,民主除了是公民生活中的内在价值、在政治决策中具有工具性价值外,它还具有重要的建设性价值。当我们讲到民主是放之四海而皆准的价值观时,必须同时考虑到民主在这三方面的贡献。

        若要把“需求”(包括“经济需求”)所包含的内容加以概念化、甚至综合化,本身就需要行使政治和公民权利。欲恰当地了解经济需求的涵义(其内容及影响),就需要在社会成员之间展开讨论并彼此交换意见。在产生资讯充份、深思熟虑之选择的过程里,政治和公民权利,特别是那些与保障言论、争辩、批评及持异议的自由有关的权利,是核心的条件。在社会的价值形成和决定各项需要的优先顺序时,上述过程是至关重要的;一般来说,我们不能把大众的各种偏好视为既定的、与公众的讨论无关,不能无视在一个社会中当局是否允许有公开的意见交换和争论。

        实际上,在评估社会和政治问题时,公开对话的范围和效用常常被低估了。例如,许多发展中国家都存在着生育率过高的问题,在公众中组织相关讨论可以卓有成效地降低生育率。在印度有大量证据证明,在识字率较高的邦,组织公众讨论高生育率对社区、特别是对青年妇女的生命的不良影响,对这些地区生育率的大幅度下降有明显作用。如果说,在印度的克拉拉邦或塔米尔.那都邦,现在出现了小型家庭是现代社会的幸福家庭这样的观念,这无疑要归功于一系列相关的公众讨论和争辩。克拉拉邦现在的生育率是1.7(与英国和法国相同,比中国的1.9还低),实现这一目标完全未使用任何强制性手段,而是主要依靠一种新的价值观的出现──在这一价值观的形成过程中政治和社会对话扮演了重要的作用。而克拉拉邦的高识字率(比中国的任何省份都高),特别是妇女识字率,则是这种社会和政治对话的重要的前提条件。

        人类社会里曾出现过各种各样的苦难和剥夺现象,其中有一些可以比较容易地通过社会手段而消除掉。当我们衡量人类自身的“需求”时,应该充份考虑到人类社会中仍然存在着的种种困苦境遇。例如,我们会觉得世界上有许多东西值得追求,一旦可行的话我们也会把这些视为一种需求。我们甚至会想到“长生不老”,就象西天的佛那样用上三千年时间去探讨经书中的奥秘。但是,我们毕竟不会把“长生不老”看成是自己的“需求”,因为那很明显是不可能的。我们了解有些剥夺现象是可以预防的,也懂得如何这样做,而我们关于需求的概念是与此密切相关的。在关于哪些事是可行的(特别是从社会的角度来看是否可行)这类问题上,我们要形成共识和信念,就需要借重公众讨论。政治权利,包括言论和讨论的自由,不仅在产生对需求的社会认知时是关键性的,而且在确定经济需求的含义时也是至关重要的。


      民主价值观的普适性 


        如果以上的分析是对的,那么,民主的诉求之所以有高度的价值,就不仅仅是基于它具有某一特殊的优点。民主的优长是多方面的:首先,自由和政治参与在人类生活中具有内在的重要性;其次,民主是一种重要的工具,能产生激励而令政府面向其公民并对他们负责;再次,在形成价值观念以及形成民众对需求、权利和责任的理解的过程中,民主具有建设性的作用。根据这一判断,现在我们可以提出本文欲表达的核心问题,即为什么说民主的价值观放之四海而皆准。

        在关于这一问题的争论中,有一种看法认为,并非人人都认同民主的绝对重要性,若把民主与其他我们关心和忠于之事相比,尤其如此。这确实是事实,在此问题上人类并无完全的共识。而在有些人看来,这种缺乏共识的现象就充份证明,民主的价值观并不具普适性。

        显然,我们必须从方法论方面的问题入手讨论下去:到底什么是具普适性的价值呢?若有一种价值被视为有普适性,那么这是否就意味着人人都得对此价值表示赞同呢?如果确实必得如此,则世界上恐怕就没有什么具普适性的价值了。据我所知,世界上没有哪种价值未曾被人反对过,即便是对母爱大概也不例外。我认为,如果某些理念具有普适性意义,那并不需要所有的人都一致赞同,所谓的价值的普适性,其实就是指任何地方的人都有理由视之为有价值的理念。

        当甘地宣扬他的非暴力理念是普适价值时,他并不认为世界各地的人们都已按此理念行事,而是相信人们有充份的理由承认这一理念是有价值的。同样地,当泰戈尔提出“思想自由”是普适价值时,他并没有说人人都接受了这一观念,他的意思是,人人都有足够的理由去接受这一理念,而泰戈尔毕生都在为探求、表述和传播这样的理由而努力。[6] 从这一角度去理解,任何关于某理念具普适价值的主张都会涉及到一些反事实的分析(counterfactual analysis)。特别是当人们对这样的主张尚未充份思考之时,他们未必会从中发现其价值。不光是在民主的价值普适性问题上,所有关于普适性价值的主张都有这样的隐含性前提假设。

        我想说明的是,在二十世纪里所发生的最大的对民主的态度之转变,正是与这个常见的隐含性前提假设相关的。当考虑到一个国家尚未实行民主政治、那里的民众也没有机会实践它时,现在通常会假定,一旦民主政治在那里变成现实时,人民就会认同它。而在十九世纪,典型的情况是不会采用这样的假设,而那时被视为很自然的看法(恰如我前面提到的那种预设式(default))在二十世纪里却发生了急剧的变化。

        同时也应注意到,这一变化在很大程度上是建立在观察二十世纪历史的基础之上的。随着民主的扩展,民主制度的支持者就必然越来越多,而不是日益减少。民主制度从欧洲和美洲发源,伸展到世界上的许多遥远的角落,在那里人民积极地参与到民主政治当中去并接受了这一制度。不仅如此,一旦某一现存的民主制度被推翻,即使抗议这一政治变化的活动常常遭到粗暴的镇压,广泛的抗议活动也仍然会此起彼伏地出现,许多人宁可冒着生命危险也要为恢复民主而战。

        有一些人质疑民主的价值普适性,其理由并不是民主未得到所有人的赞同,而是各国的国情不同。他们所讲的不同国情有时是指一些国家的贫穷状态。他们的观点是,穷人感兴趣的和关心的是面包而不是民主。这种时常听得到的说法有两大层面的错误。

        首先,正如以上所言,对穷人来说,民主的保护性作用显得特别重要。当饥荒的受害者面临饥饿的威胁时,这是非常明显的;对那些被金融危机从经济阶梯上甩下来的贫民来说,也是如此。有经济方面需要的人民同样需要在政治上发出自己的声音。民主并不是一种非得达到普遍富裕后才可享用的奢侈品。

        其次,几乎没有证据能证明,如果穷人有选择的话,他们宁可拒绝民主。有一个值得引起注意的事例,七十年代中期的印度政府曾试图用同样的观点为它宣布的“紧急状态”(以及对政治和公民权利的压制)辩护,在随后的选举中选民们围绕着这一问题分成了两个阵营。对印度的民主制度来说,这是一场命运攸关的选举,选举中主要的争议就是实施“紧急状态”的问题。结果,虽然印度也许是世界上最贫穷的国家之一,但印度选民们的多数坚定地拒绝了政府压制政治和公民权利的企图,他们挺身抗议政府忽视民众的自由和权利的做法,并未把注意力放在抱怨经济剥夺方面。

        印度的现实完全驳斥了这种穷人不在乎公民和政治权利的说法。若观察韩国、泰国、孟加拉、巴基斯坦、缅甸、印度尼西亚以及亚洲其他国家争取民主自由的斗争,结论也并无二致。同样地,虽然非洲的许多政府排拒政治自由,一旦条件允许,那里就会出现反对政治压迫的各种运动和抗议活动。


      关于文化差异问题的争论 


        还有一种观点也强调民主有明显的地区差异性,它谈的不是经济条件,而是文化上的差异,或许其中最著名的就是所谓的“亚洲价值观”。这种观点认为,亚洲人传统上高度评价纪律,而不重视自由;所以,与其他国家的人相比,亚洲人不可避免地会对民主制度持更为怀疑的态度。我在卡内基基金会关于伦理和国际事务的摩根索纪念讲座中曾比较详细地谈过这个问题。[7]

        从亚洲文化的历史中,特别是考察印度、中东、伊朗和亚洲其他国家的古典传统,很难找到任何支持这一观点的根据。例如,在公元前三世纪的印度帝王Ashoka的铭文中,就可以发现主张容忍多元主义和国家有责任保护少数的最早、最明确的记载。

        当然,亚洲面积广袤,人口占世界人口的百分之六十,很难就这样一个地区的不同民族下一个一般性的结论。有时,“亚洲价值”的鼓吹者往往会主要把东亚当作这一观点的适用地域,一般是把泰国以东的亚洲国家与西方作对比,不过也有人提出过更令人怀疑的观点,即亚洲的其他国家也是十分“相似”的。我们应当感谢李光耀,因为他明确地解释了下述观点(也就相关的纷乱杂陈、表述含混的说法清晰地提出了他的说明)。当李光耀说明“西方和东亚在社会和政府的概念上完全不同”时,他解释说,“当我提到东亚时,我指的是韩国、日本、中国、越南,它们与东南亚不同,后者是一个中国和印度文化的混合物,不过印度文化本身也强调同样的价值观”。[8]

        然而,即便只考虑到东亚地区,这一地区也是千差万别的,不仅在日本、中国、韩国及这一地区的其他国家之间存在着许多差异,而且在每个国家内部也有很多差异。在诠释“亚洲价值”时,学者们往往引用孔子的话,但在这些国家里对文化产生过影响的并不止孔子一人(例如,在日本、中国、韩国,佛教的文化传统既古老且深远,其强大的影响曾绵延达一千五百多年,此外,这些国家还受到了包括基督教在内的其他影响)。在所有这些文化传统中,没有哪一种曾一贯如一地鼓吹对秩序的崇尚比对自由的崇尚更重要。

        更进一步看,孔子本人也并不主张对国家的盲目崇拜。当子路问孔子,“应当如何为君王服务”时,孔子回答说,“告诉君王真话,别管是不是会冒犯他”。(【译者注】《论语.宪问篇》云,子路问事君,子曰:“勿欺也而犯之”。)[9] 孔子的这一回答可能值得威权政权的新闻检查官深思。孔子并不反对谨慎从事、讲究策略,但(如果策略上必要的话)却不会姑息一个坏政府。他说:“如果政府的表现良好,就要大胆地说话行事;如果政府的表现不好,要行事勇敢但说话温和。”(【译者注】《论语.宪问篇》云,“邦有道,危言危行;邦无道,危行言逊”。)[10]

        想象中的所谓亚洲价值这座大厦的两大支柱是对家庭的忠诚(【译者注】即“孝”)和对国家的服从(【译者注】即“忠”),而孔子的确曾明确地指出这样的事实,即这两者彼此之间可能发生严重的冲突。许多亚洲价值的鼓吹者把国家的作用视为家庭作用的延伸,但正如孔子所说的,这两者其实是相互矛盾的。叶公对孔子说:“我的族人中有一个人刚直不阿,他父亲偷了一只羊,于是他就谴责父亲。”孔子答道:“在我的族人中,正直的人行事方法不同:父亲为儿子遮掩,儿子为父亲遮掩,这样做也是正直的。”(【译者注】《论语.子路篇》:叶公语孔子曰:“吾党有直躬者,其父攘羊,而子证之。”孔子曰:“吾党之直者异于是,父为子隐,子为父隐,直在其中矣。”)[11]

        把亚洲价值笼而统之地说成是反对民主和政治权利的,其实经不起严格推敲。我想,既然提出所谓的亚洲价值的那些人并不是学者,而是些政治领导者,他们经常扮演着威权政府的官方或非官方发言人,所以我不应该对这种缺乏学术论据的观点过于苛求。不过,有趣的是,我们学者考虑现实政治问题时可能会不那么实际,而现实政治家则用不实事求是的态度来对待学术问题。

        当然,要在亚洲的传统中找到威权主义式的说法并非难事。但是,在西方的经典文献中也不难发现这样的论述。只要查一下柏拉图(Plato)和阿奎那(Aquinas)的著作就会发现,崇尚纪律并非亚洲国家独有的主张。若仅仅因为亚洲国家的一些述着中强调了纪律和秩序,就否认民主的价值观所可能具有的普适性,就好比仅仅根据柏拉图和阿奎那的著作(姑且不提大量的欧洲中世纪文献曾支持天主教审判异端的宗教法庭),就要否定民主制度是欧洲和美国政府的一种自然形式。

        人们基于当代、特别是中东地区政治摩擦的经验,往往把伊斯兰文化描绘成根本不容忍个人自由、甚至排拒个人自由的一种传统。但是,正象在其他文化传统中一样,伊斯兰文化其实也充满了差异性和多样性。在印度,阿克巴(Akbar)和大多数莫卧尔王朝(Moghul)的其他帝王在理论和实践上所表现出的政治和宗教方面的宽容就可算是个典范(只有Aurangzeb是个明显的例外)。土耳其的帝王们常常比他们同时代的欧洲帝王们宽容得多。在开罗和巴格达的统治者那里也可以发现大量的例子。实际上,十二世纪伟大的犹太学者Maimonides曾被迫逃离毫无宽容精神的欧洲(那里本是他的出生地),以逃避欧洲对犹太人的迫害,最后在萨拉丁(Saladin)苏丹的庇护下,这个犹太学者才在宽容礼貌的开罗找到了避风港。

        多样性是世界上多数文化的一个特徵,西方的文明亦非例外。民主的实践之所以能在现代的西方国家赢得胜利,很大程度上是自文艺复兴和工业革命以来、特别是过去的一个世纪中所出现的共识之硕果。若把这一进步理解成过去一千年来西方社会追求民主的一项历史使命,然后再把它与非西方社会的传统相比(并笼而统之地看待每个非西方的传统),那将是个极大的错误。这种过于简单化的倾向不仅仅存在于亚洲国家一些政府发言人的表述当中,也存在于某些西方的著名学者的著作当中。

        下面,让我举一位重要学者的文章为例,塞谬尔.杭廷顿(Samuel Huntington)的著作曾在许多方面给人留下了深刻的印象,但他关于文明之冲突的论文却未充份注意到每一种文化内部的差异。他的研究导出了明确的结论,西方国家“对个体主义的偏好以及追求权利及自由的传统”是“文明社会所独有的”。[12] 杭廷顿还认为,“西方社会核心特徵的存在决定了西方的现代化的出现,而这些特徵与其他的文明显然不同”。他的看法是,“早在西方进入现代化之前,西方就表现出其不同于其他文明的特徵”。[13] 我认为,从历史的角度来看,这篇论文显然漏洞百出。

        每当我们看到有亚洲国家的政府发言人试图把所谓的“亚洲价值”拿来与所谓的西方观念对比时,似乎就也有西方的知识分子试图从另一端作相同的比较。即使每次亚洲国家对“亚洲价值”的强调都能与西方知识分子的对应诠释相匹配,这也丝毫不能削弱民主的价值普适性。


      结语


         我在本文中曾涉猎了不少与民主的价值普适性相关的问题。民主的价值观包括这样一些内容,民主在人类的生活中具有内在的重要性,民主在产生政治激励方面具有工具性作用,民主在形成社会价值体系(以及关于需求、权利和责任的力量与可行度的理解)的过程中具有建设性功能。这些非常宝贵的特徵并不受地域的局限,也不会被鼓吹纪律和秩序的主张所抑制。差不多所有的主要文化其内部都具有价值体系方面的多样性。所以,关于文化上的差异之争论并不能阻止我们、也不能约束我们去选择当今的政治制度。
        考虑到当代世界赖以生存的民主制度的种种功能性作用,选择这样的政治制度应该是时不我待的。我一直强调,民主制度的生命力确实非常强盛,绝不是在某些地区偶然出现的个案。民主的价值观之所以放之四海而皆准,其影响力最终来源于民主制度的生命力。这就是关于民主价值的普适性所强调的根本之点。任何想象出来的文化上的清规戒律,或者根据人类复杂多样的过去而假设出来的各种文明当中的预设框架,都不可能抹杀民主制度及其价值。
     

     【编者注】
      本文以作者去年二月在印度新德里举行的关于“建立全球范围的民主运动”会议上的主题演讲为基础,也采用了他去年的新着《自由:发展的目的和手段(Development as Freedom)》一书中的观点。原文载于Journal of Democracy(Vol.10, No.3(July 1999):3-17 (The John Hopkins University Press and the National Endowment for Democracy's International Forum for Democratic Studies)。本刊编辑部获该刊许可翻译转载,并将于下期杂志刊登介绍该作者新着《自由:发展的目的和手段》的书评。

     

     【注释】 
      [1] 在Aldous Huxley的小说Point Counter Point中,在近代的印度,一位丈夫告诉妻子,他必须远行去伦敦的大英博物馆,以便到那里的图书馆里学习民主,而实际上他却是去与情妇会面。那时在印度一个对妻子不忠的丈夫就已知道,出门去学习民主是个欺骗妻子的巧妙理由。
      [2] Adam Przeworski, et al., Sustainable Democracy(可支撑的民主)(Cambridge: Cambridge University Press, 1995);Robert J. Barro, Getting It Right: Markets and Choices in a Free Society(促其归正:自由社会中的市场和选择)(Cambridge, Mass.: MIT Press, 1996).
      [3] 在我的新书Development as Freedom当中,我也考察了有关这一问题的经验性证据和因果关联的某些细节。
      [4] 见我的文章"Development: Which Way Now?" Economic Journal 93 (December 1983);Resources, Values, and Development (Cambridge, Mass.:Harvard University Press, 1984);及我的文章"Rationality and Social Choice," 我作为学会主席在美国经济学会年会上的报告,发表于American Economic Review (March, 1995)。也参见Jean Dreze and Amartya Sen, Hunger and Public Action (Oxford: Clarendon Press, 1987);Frances D'Souza, ed., Starving in Silence: A Report on Famine and Censorship (London: Article 19 International Center on Censorship, 1990);Human Rights Watch, Indivisible Human Rights: The Relationship between Political and Civil Rights to Survival, Subsistence and Poverty (New York: Human Rights Watch, 1992);and International Federation of Red Cross and Red Crescent Societies, World Disaster Report 1994 (Geneva: Red Cross, 1994).
      [5] Dreze and Sen, Hunger and Public Action.
      [6] 见我的文章“泰戈尔和他的印度(Tagore and His India)”,载New York Review of Books, 26 June, 1997.
      [7] Amartya Sen, “Human Rights and Asian Values," Morgenthau Memorial Lecture(New York: Carnegie Council on Ethics and International Affairs, 1997), published in a shortened form in The New Republic, 14-21 July 1997.
      [8] Fareed Zakaria, “Culture is Destiny: A Conversation with Lee Kuan Yew," Foreign Affairs 73(March-April 1994): 113.
      [9] 《论语.宪问篇第十四》(The Analects of Confucius, Simon Leys, trans.(New York: Norton, 1997), 14.22, 70)。
      [10] 《论语.宪问篇第十四》(The Analects of Confucius, 14.3, 66)。
      [11] 《论语.子路篇第十三》(The Analects of Confucius, 13.18, 63。
      [12] Samuel P. Huntington, The Clash of Civilizations and the Remaking of World Order(New York: Simon and Schuster, 1996), 71.
      [13] Huntington, The Clash of Civilizations, 69.
      
       
       当代中国研究 [2000年] [第2期(总第69期)] 
     

     

     

    Democracy as a Universal Value
    Amartya Sen

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    In the summer of 1997, I was asked by a leading Japanese newspaper what I thought was the most important thing that had happened in the twentieth century. I found this to be an unusually thought-provoking question, since so many things of gravity have happened over the last hundred years. The European empires, especially the British and French ones that had so dominated the nineteenth century, came to an end. We witnessed two world wars. We saw the rise and fall of fascism and Nazism. The century witnessed the rise of communism, and its fall (as in the former Soviet bloc) or radical transformation (as in China). We also saw a shift from the economic dominance of the West to a new economic balance much more dominated by Japan and East and Southeast Asia. Even though that region is going through some financial and economic problems right now, this is not going to nullify the shift in the balance of the world economy that has occurred over many decades (in the case of Japan, through nearly the entire century). The past hundred years are not lacking in important events.

    Nevertheless, among the great variety of developments that have occurred in the twentieth century, I did not, ultimately, have any difficulty in choosing one as the preeminent development of the period: the rise of democracy. This is not to deny that other occurrences have [End Page 3] also been important, but I would argue that in the distant future, when people look back at what happened in this century, they will find it difficult not to accord primacy to the emergence of democracy as the preeminently acceptable form of governance.

    The idea of democracy originated, of course, in ancient Greece, more than two millennia ago. Piecemeal efforts at democratization were attempted elsewhere as well, including in India.1 But it is really in ancient Greece that the idea of democracy took shape and was seriously put into practice (albeit on a limited scale), before it collapsed and was replaced by more authoritarian and asymmetric forms of government. There were no other kinds anywhere else.

    Thereafter, democracy as we know it took a long time to emerge. Its gradual--and ultimately triumphant--emergence as a working system of governance was bolstered by many developments, from the signing of the Magna Carta in 1215, to the French and the American Revolutions in the eighteenth century, to the widening of the franchise in Europe and North America in the nineteenth century. It was in the twentieth century, however, that the idea of democracy became established as the "normal" form of government to which any nation is entitled--whether in Europe, America, Asia, or Africa.

    The idea of democracy as a universal commitment is quite new, and it is quintessentially a product of the twentieth century. The rebels who forced restraint on the king of England through the Magna Carta saw the need as an entirely local one. In contrast, the American fighters for independence and the revolutionaries in France contributed greatly to an understanding of the need for democracy as a general system. Yet the focus of their practical demands remained quite local--confined, in effect, to the two sides of the North Atlantic, and founded on the special economic, social, and political history of the region.

    Throughout the nineteenth century, theorists of democracy found it quite natural to discuss whether one country or another was "fit for democracy." This thinking changed only in the twentieth century, with the recognition that the question itself was wrong: A country does not have to be deemed fit for democracy; rather, it has to become fit through democracy. This is indeed a momentous change, extending the potential reach of democracy to cover billions of people, with their varying histories and cultures and disparate levels of affluence.

    It was also in this century that people finally accepted that "franchise for all adults" must mean all--not just men but also women. When in January of this year I had the opportunity to meet Ruth Dreyfuss, the president of Switzerland and a woman of remarkable distinction, it gave me occasion to recollect that only a quarter century ago Swiss women could not even vote. We have at last reached the point of recognizing that the coverage of universality, like the quality of mercy, is not strained. [End Page 4]

    I do not deny that there are challenges to democracy's claim to universality. These challenges come in many shapes and forms--and from different directions. Indeed, that is part of the subject of this essay. I have to examine the claim of democracy as a universal value and the disputes that surround that claim. Before I begin that exercise, however, it is necessary to grasp clearly the sense in which democracy has become a dominant belief in the contemporary world.

    In any age and social climate, there are some sweeping beliefs that seem to command respect as a kind of general rule--like a "default" setting in a computer program; they are considered right unless their claim is somehow precisely negated. While democracy is not yet universally practiced, nor indeed uniformly accepted, in the general climate of world opinion, democratic governance has now achieved the status of being taken to be generally right. The ball is very much in the court of those who want to rubbish democracy to provide justification for that rejection.

    This is a historic change from not very long ago, when the advocates of democracy for Asia or Africa had to argue for democracy with their backs to the wall. While we still have reason enough to dispute those who, implicitly or explicitly, reject the need for democracy, we must also note clearly how the general climate of opinion has shifted from what it was in previous centuries. We do not have to establish afresh, each time, whether such and such a country (South Africa, or Cambodia, or Chile) is "fit for democracy" (a question that was prominent in the discourse of the nineteenth century); we now take that for granted. This recognition of democracy as a universally relevant system, which moves in the direction of its acceptance as a universal value, is a major revolution in thinking, and one of the main contributions of the twentieth century. It is in this context that we have to examine the question of democracy as a universal value.

    The Indian Experience
    How well has democracy worked? While no one really questions the role of democracy in, say, the United States or Britain or France, it is still a matter of dispute for many of the poorer countries in the world. This is not the occasion for a detailed examination of the historical record, but I would argue that democracy has worked well enough.

    India, of course, was one of the major battlegrounds of this debate. In denying Indians independence, the British expressed anxiety over the Indians' ability to govern themselves. India was indeed in some disarray in 1947, the year it became independent. It had an untried government, an undigested partition, and unclear political alignments, combined with widespread communal violence and social disorder. It was hard to have faith in the future of a united and democratic India. [End Page 5] And yet, half a century later, we find a democracy that has, taking the rough with the smooth, worked remarkably well. Political differences have been largely tackled within the constitutional guidelines, and governments have risen and fallen according to electoral and parliamentary rules. An ungainly, unlikely, inelegant combination of differences, India nonetheless survives and functions remarkably well as a political unit with a democratic system. Indeed, it is held together by its working democracy.

    India has also survived the tremendous challenge of dealing with a variety of major languages and a spectrum of religions. Religious and communal differences are, of course, vulnerable to exploitation by sectarian politicians, and have indeed been so used on several occasions (including in recent months), causing massive consternation in the country. Yet the fact that consternation greets sectarian violence and that condemnation of such violence comes from all sections of the country ultimately provides the main democratic guarantee against the narrowly factional exploitation of sectarianism. This is, of course, essential for the survival and prosperity of a country as remarkably varied as India, which is home not only to a Hindu majority, but to the world's third largest Muslim population, to millions of Christians and Buddhists, and to most of the world's Sikhs, Parsees, and Jains.

    Democracy and Economic Development
    It is often claimed that nondemocratic systems are better at bringing about economic development. This belief sometimes goes by the name of "the Lee hypothesis," due to its advocacy by Lee Kuan Yew, the leader and former president of Singapore. He is certainly right that some disciplinarian states (such as South Korea, his own Singapore, and postreform China) have had faster rates of economic growth than many less authoritarian ones (including India, Jamaica, and Costa Rica). The "Lee hypothesis," however, is based on sporadic empiricism, drawing on very selective and limited information, rather than on any general statistical testing over the wide-ranging data that are available. A general relation of this kind cannot be established on the basis of very selective evidence. For example, we cannot really take the high economic growth of Singapore or China as "definitive proof" that authoritarianism does better in promoting economic growth, any more than we can draw the opposite conclusion from the fact that Botswana, the country with the best record of economic growth in Africa, indeed with one of the finest records of economic growth in the whole world, has been an oasis of democracy on that continent over the decades. We need more systematic empirical studies to sort out the claims and counterclaims.

    There is, in fact, no convincing general evidence that authoritarian [End Page 6] governance and the suppression of political and civil rights are really beneficial to economic development. Indeed, the general statistical picture does not permit any such induction. Systematic empirical studies (for example, by Robert Barro or by Adam Przeworski) give no real support to the claim that there is a general conflict between political rights and economic performance.2 The directional linkage seems to depend on many other circumstances, and while some statistical investigations note a weakly negative relation, others find a strongly positive one. If all the comparative studies are viewed together, the hypothesis that there is no clear relation between economic growth and democracy in either direction remains extremely plausible. Since democracy and political liberty have importance in themselves, the case for them therefore remains untarnished.3

    The question also involves a fundamental issue of methods of economic research. We must not only look at statistical connections, but also examine and scrutinize the causal processes that are involved in economic growth and development. The economic policies and circumstances that led to the economic success of countries in East Asia are by now reasonably well understood. While different empirical studies have varied in emphasis, there is by now broad consensus on a list of "helpful policies" that includes openness to competition, the use of international markets, public provision of incentives for investment and export, a high level of literacy and schooling, successful land reforms, and other social opportunities that widen participation in the process of economic expansion. There is no reason at all to assume that any of these policies is inconsistent with greater democracy and had to be forcibly sustained by the elements of authoritarianism that happened to be present in South Korea or Singapore or China. Indeed, there is overwhelming evidence to show that what is needed for generating faster economic growth is a friendlier economic climate rather than a harsher political system.

    To complete this examination, we must go beyond the narrow confines of economic growth and scrutinize the broader demands of economic development, including the need for economic and social security. In that context, we have to look at the connection between political and civil rights, on the one hand, and the prevention of major economic disasters, on the other. Political and civil rights give people the opportunity to draw attention forcefully to general needs and to demand appropriate public action. The response of a government to the acute suffering of its people often depends on the pressure that is put on it. The exercise of political rights (such as voting, criticizing, protesting, and the like) can make a real difference to the political incentives that operate on a government.

    I have discussed elsewhere the remarkable fact that, in the terrible history of famines in the world, no substantial famine has ever occurred [End Page 7] in any independent and democratic country with a relatively free press.4 We cannot find exceptions to this rule, no matter where we look: the recent famines of Ethiopia, Somalia, or other dictatorial regimes; famines in the Soviet Union in the 1930s; China's 1958-61 famine with the failure of the Great Leap Forward; or earlier still, the famines in Ireland or India under alien rule. China, although it was in many ways doing much better economically than India, still managed (unlike India) to have a famine, indeed the largest recorded famine in world history: Nearly 30 million people died in the famine of 1958-61, while faulty governmental policies remained uncorrected for three full years. The policies went uncriticized because there were no opposition parties in parliament, no free press, and no multiparty elections. Indeed, it is precisely this lack of challenge that allowed the deeply defective policies to continue even though they were killing millions each year. The same can be said about the world's two contemporary famines, occurring right now in North Korea and Sudan.

    Famines are often associated with what look like natural disasters, and commentators often settle for the simplicity of explaining famines by pointing to these events: the floods in China during the failed Great Leap Forward, the droughts in Ethiopia, or crop failures in North Korea. Nevertheless, many countries with similar natural problems, or even worse ones, manage perfectly well, because a responsive government intervenes to help alleviate hunger. Since the primary victims of a famine are the indigent, deaths can be prevented by recreating incomes (for example, through employment programs), which makes food accessible to potential famine victims. Even the poorest democratic countries that have faced terrible droughts or floods or other natural disasters (such as India in 1973, or Zimbabwe and Botswana in the early 1980s) have been able to feed their people without experiencing a famine.

    Famines are easy to prevent if there is a serious effort to do so, and a democratic government, facing elections and criticisms from opposition parties and independent newspapers, cannot help but make such an effort. Not surprisingly, while India continued to have famines under British rule right up to independence (the last famine, which I witnessed as a child, was in 1943, four years before independence), they disappeared suddenly with the establishment of a multiparty democracy and a free press.

    I have discussed these issues elsewhere, particularly in my joint work with Jean Dr'eze, so I will not dwell further on them here.5 Indeed, the issue of famine is only one example of the reach of democracy, though it is, in many ways, the easiest case to analyze. The positive role of political and civil rights applies to the prevention of economic and social disasters in general. When things go fine and everything is routinely good, this instrumental role of democracy may not be particularly missed. It is when things get fouled up, for one [End Page 8] reason or another, that the political incentives provided by democratic governance acquire great practical value.

    There is, I believe, an important lesson here. Many economic technocrats recommend the use of economic incentives (which the market system provides) while ignoring political incentives (which democratic systems could guarantee). This is to opt for a deeply unbalanced set of ground rules. The protective power of democracy may not be missed much when a country is lucky enough to be facing no serious calamity, when everything is going quite smoothly. Yet the danger of insecurity, arising from changed economic or other circumstances, or from uncorrected mistakes of policy, can lurk behind what looks like a healthy state.

    The recent problems of East and Southeast Asia bring out, among other things, the penalties of undemocratic governance. This is so in two striking respects. First, the development of the financial crisis in some of these economies (including South Korea, Thailand, Indonesia) has been closely linked to the lack of transparency in business, in particular the lack of public participation in reviewing financial arrangements. The absence of an effective democratic forum has been central to this failing. Second, once the financial crisis led to a general economic recession, the protective power of democracy--not unlike that which prevents famines in democratic countries--was badly missed in a country like Indonesia. The newly dispossessed did not have the hearing they needed.

    A fall in total gross national product of, say, 10 percent may not look like much if it follows in the wake of a growth rate of 5 or 10 percent every year over the past few decades, and yet that decline can decimate lives and create misery for millions if the burden of contraction is not widely shared but allowed to be heaped on those--the unemployed or the economically redundant--who can least bear it. The vulnerable in Indonesia may not have missed democracy when things went up and up, but that lacuna kept their voice low and muffled as the unequally shared crisis developed. The protective role of democracy is strongly missed when it is most needed.

    The Functions of Democracy
    I have so far allowed the agenda of this essay to be determined by the critics of democracy, especially the economic critics. I shall return to criticisms again, taking up the arguments of the cultural critics in particular, but the time has come for me to pursue further the positive analysis of what democracy does and what may lie at the base of its claim to be a universal value.

    What exactly is democracy? We must not identify democracy with majority rule. Democracy has complex demands, which certainly [End Page 9] include voting and respect for election results, but it also requires the protection of liberties and freedoms, respect for legal entitlements, and the guaranteeing of free discussion and uncensored distribution of news and fair comment. Even elections can be deeply defective if they occur without the different sides getting an adequate opportunity to present their respective cases, or without the electorate enjoying the freedom to obtain news and to consider the views of the competing protagonists. Democracy is a demanding system, and not just a mechanical condition (like majority rule) taken in isolation.

    Viewed in this light, the merits of democracy and its claim as a universal value can be related to certain distinct virtues that go with its unfettered practice. Indeed, we can distinguish three different ways in which democracy enriches the lives of the citizens. First, political freedom is a part of human freedom in general, and exercising civil and political rights is a crucial part of good lives of individuals as social beings. Political and social participation has intrinsic value for human life and well-being. To be prevented from participation in the political life of the community is a major deprivation.

    Second, as I have just discussed (in disputing the claim that democracy is in tension with economic development), democracy has an important instrumental value in enhancing the hearing that people get in expressing and supporting their claims to political attention (including claims of economic needs). Third--and this is a point to be explored further--the practice of democracy gives citizens an opportunity to learn from one another, and helps society to form its values and priorities. Even the idea of "needs," including the understanding of "economic needs," requires public discussion and exchange of information, views, and analyses. In this sense, democracy has constructive importance, in addition to its intrinsic value for the lives of the citizens and its instrumental importance in political decisions. The claims of democracy as a universal value have to take note of this diversity of considerations.

    The conceptualization--even comprehension--of what are to count as "needs," including "economic needs," may itself require the exercise of political and civil rights. A proper understanding of what economic needs are--their content and their force--may require discussion and exchange. Political and civil rights, especially those related to the guaranteeing of open discussion, debate, criticism, and dissent, are central to the process of generating informed and considered choices. These processes are crucial to the formation of values and priorities, and we cannot, in general, take preferences as given independently of public discussion, that is, irrespective of whether open interchange and debate are permitted or not.

    In fact, the reach and effectiveness of open dialogue are often underestimated in assessing social and political problems. For example, [End Page 10] public discussion has an important role to play in reducing the high rates of fertility that characterize many developing countries. There is substantial evidence that the sharp decline in fertility rates in India's more literate states has been much influenced by public discussion of the bad effects of high fertility rates on the community at large, and especially on the lives of young women. If the view has emerged in, say, the Indian state of Kerala or of Tamil Nadu that a happy family in the modern age is a small family, much discussion and debate have gone into the formation of these perspectives. Kerala now has a fertility rate of 1.7 (similar to that of Britain and France, and well below China's 1.9), and this has been achieved with no coercion, but mainly through the emergence of new values--a process in which political and social dialogue has played a major part. Kerala's high literacy rate (it ranks higher in literacy than any province in China), especially among women, has greatly contributed to making such social and political dialogue possible.

    Miseries and deprivations can be of various kinds, some more amenable to social remedies than others. The totality of the human predicament would be a gross basis for identifying our "needs." For example, there are many things that we might have good reason to value and thus could be taken as "needs" if they were feasible. We could even want immortality, as Maitreyee, that remarkable inquiring mind in the Upanishads, famously did in her 3000-year old conversation with Yajnvalkya. But we do not see immortality as a "need" because it is clearly unfeasible. Our conception of needs relates to our ideas of the preventable nature of some deprivations and to our understanding of what can be done about them. In the formation of understandings and beliefs about feasibility (particularly, social feasibility), public discussions play a crucial role. Political rights, including freedom of expression and discussion, are not only pivotal in inducing social responses to economic needs, they are also central to the conceptualization of economic needs themselves.

    Universality of Values
    If the above analysis is correct, then democracy's claim to be valuable does not rest on just one particular merit. There is a plurality of virtues here, including, first, the intrinsic importance of political participation and freedom in human life; second, the instrumental importance of political incentives in keeping governments responsible and accountable; and third, the constructive role of democracy in the formation of values and in the understanding of needs, rights, and duties. In the light of this diagnosis, we may now address the motivating question of this essay, namely the case for seeing democracy as a universal value. [End Page 11]

    In disputing this claim, it is sometimes argued that not everyone agrees on the decisive importance of democracy, particularly when it competes with other desirable things for our attention and loyalty. This is indeed so, and there is no unanimity here. This lack of unanimity is seen by some as sufficient evidence that democracy is not a universal value.

    Clearly, we must begin by dealing with a methodological question: What is a universal value? For a value to be considered universal, must it have the consent of everyone? If that were indeed necessary, then the category of universal values might well be empty. I know of no value--not even motherhood (I think of Mommie Dearest)--to which no one has ever objected. I would argue that universal consent is not required for something to be a universal value. Rather, the claim of a universal value is that people anywhere may have reason to see it as valuable.

    When Mahatma Gandhi argued for the universal value of non-violence, he was not arguing that people everywhere already acted according to this value, but rather that they had good reason to see it as valuable. Similarly, when Rabindranath Tagore argued for "the freedom of the mind" as a universal value, he was not saying that this claim is accepted by all, but that all do have reason enough to accept it--a reason that he did much to explore, present, and propagate.6 Understood in this way, any claim that something is a universal value involves some counterfactual analysis--in particular, whether people might see some value in a claim that they have not yet considered adequately. All claims to universal value--not just that of democracy--have this implicit presumption.

    I would argue that it is with regard to this often implicit presumption that the biggest attitudinal shift toward democracy has occurred in the twentieth century. In considering democracy for a country that does not have it and where many people may not yet have had the opportunity to consider it for actual practice, it is now presumed that the people involved would approve of it once it becomes a reality in their lives. In the nineteenth century this assumption typically would have not been made, but the presumption that is taken to be natural (what I earlier called the "default" position) has changed radically during the twentieth century.

    It must also be noted that this change is, to a great extent, based on observing the history of the twentieth century. As democracy has spread, its adherents have grown, not shrunk. Starting off from Europe and America, democracy as a system has reached very many distant shores, where it has been met with willing participation and acceptance. Moreover, when an existing democracy has been overthrown, there have been widespread protests, even though these protests have often been brutally suppressed. Many people have been willing to risk their lives in the fight to bring back democracy. [End Page 12]

    Some who dispute the status of democracy as a universal value base their argument not on the absence of unanimity, but on the presence of regional contrasts. These alleged contrasts are sometimes related to the poverty of some nations. According to this argument, poor people are interested, and have reason to be interested, in bread, not in democracy. This oft-repeated argument is fallacious at two different levels.

    First, as discussed above, the protective role of democracy may be particularly important for the poor. This obviously applies to potential famine victims who face starvation. It also applies to the destitute thrown off the economic ladder in a financial crisis. People in economic need also need a political voice. Democracy is not a luxury that can await the arrival of general prosperity.

    Second, there is very little evidence that poor people, given the choice, prefer to reject democracy. It is thus of some interest to note that when an erstwhile Indian government in the mid-1970s tried out a similar argument to justify the alleged "emergency" (and the suppression of various political and civil rights) that it had declared, an election was called that divided the voters precisely on this issue. In that fateful election, fought largely on this one overriding theme, the suppression of basic political and civil rights was firmly rejected, and the Indian electorate--one of the poorest in the world--showed itself to be no less keen on protesting against the denial of basic liberties and rights than on complaining about economic deprivation.

    To the extent that there has been any testing of the proposition that the poor do not care about civil and political rights, the evidence is entirely against that claim. Similar points can be made by observing the struggle for democratic freedoms in South Korea, Thailand, Bangladesh, Pakistan, Burma, Indonesia, and elsewhere in Asia. Similarly, while political freedom is widely denied in Africa, there have been movements and protests against such repression whenever circumstances have permitted them.

    The Argument from Cultural Differences
    There is also another argument in defense of an allegedly fundamental regional contrast, one related not to economic circumstances but to cultural differences. Perhaps the most famous of these claims relates to what have been called "Asian values." It has been claimed that Asians traditionally value discipline, not political freedom, and thus the attitude to democracy must inevitably be much more skeptical in these countries. I have discussed this thesis in some detail in my Morganthau Memorial Lecture at the Carnegie Council on Ethics and International Affairs.7

    It is very hard to find any real basis for this intellectual claim in the history of Asian cultures, especially if we look at the classical [End Page 13] traditions of India, the Middle East, Iran, and other parts of Asia. For example, one of the earliest and most emphatic statements advocating the tolerance of pluralism and the duty of the state to protect minorities can be found in the inscriptions of the Indian emperor Ashoka in the third century B.C.

    Asia is, of course, a very large area, containing 60 percent of the world's population, and generalizations about such a vast set of peoples is not easy. Sometimes the advocates of "Asian values" have tended to look primarily at East Asia as the region of particular applicability. The general thesis of a contrast between the West and Asia often concentrates on the lands to the east of Thailand, even though there is also a more ambitious claim that the rest of Asia is rather "similar." Lee Kuan Yew, to whom we must be grateful for being such a clear expositor (and for articulating fully what is often stated vaguely in this tangled literature), outlines "the fundamental difference between Western concepts of society and government and East Asian concepts" by explaining, "when I say East Asians, I mean Korea, Japan, China, Vietnam, as distinct from Southeast Asia, which is a mix between the Sinic and the Indian, though Indian culture itself emphasizes similar values."8

    Even East Asia itself, however, is remarkably diverse, with many variations to be found not only among Japan, China, Korea, and other countries of the region, but also within each country. Confucius is the standard author quoted in interpreting Asian values, but he is not the only intellectual influence in these countries (in Japan, China, and Korea for example, there are very old and very widespread Buddhist traditions, powerful for over a millennium and a half, and there are also other influences, including a considerable Christian presence). There is no homogeneous worship of order over freedom in any of these cultures.

    Furthermore, Confucius himself did not recommend blind allegiance to the state. When Zilu asks him "how to serve a prince," Confucius replies (in a statement that the censors of authoritarian regimes may want to ponder), "Tell him the truth even if it offends him."9 Confucius is not averse to practical caution and tact, but does not forgo the recommendation to oppose a bad government (tactfully, if necessary): "When the [good] way prevails in the state, speak boldly and act boldly. When the state has lost the way, act boldly and speak softly."10

    Indeed, Confucius provides a clear pointer to the fact that the two pillars of the imagined edifice of Asian values, loyalty to family and obedience to the state, can be in severe conflict with each other. Many advocates of the power of "Asian values" see the role of the state as an extension of the role of the family, but as Confucius noted, there can be tension between the two. The Governor of She told Confucius, [End Page 14] "Among my people, there is a man of unbending integrity: when his father stole a sheep, he denounced him." To this Confucius replied, "Among my people, men of integrity do things differently: a father covers up for his son, a son covers up for his father--and there is integrity in what they do."11

    The monolithic interpretation of Asian values as hostile to democracy and political rights does not bear critical scrutiny. I should not, I suppose, be too critical of the lack of scholarship supporting these beliefs, since those who have made these claims are not scholars but political leaders, often official or unofficial spokesmen for authoritarian governments. It is, however, interesting to see that while we academics can be impractical about practical politics, practical politicians can, in turn, be rather impractical about scholarship.

    It is not hard, of course, to find authoritarian writings within the Asian traditions. But neither is it hard to find them in Western classics: One has only to reflect on the writings of Plato or Aquinas to see that devotion to discipline is not a special Asian taste. To dismiss the plausibility of democracy as a universal value because of the presence of some Asian writings on discipline and order would be similar to rejecting the plausibility of democracy as a natural form of government in Europe or America today on the basis of the writings of Plato or Aquinas (not to mention the substantial medieval literature in support of the Inquisitions).

    Due to the experience of contemporary political battles, especially in the Middle East, Islam is often portrayed as fundamentally intolerant of and hostile to individual freedom. But the presence of diversity and variety within a tradition applies very much to Islam as well. In India, Akbar and most of the other Moghul emperors (with the notable exception of Aurangzeb) provide good examples of both the theory and practice of political and religious tolerance. The Turkish emperors were often more tolerant than their European contemporaries. Abundant examples can also be found among rulers in Cairo and Baghdad. Indeed, in the twelfth century, the great Jewish scholar Maimonides had to run away from an intolerant Europe (where he was born), and from its persecution of Jews, to the security of a tolerant and urbane Cairo and the patronage of Sultan Saladin.

    Diversity is a feature of most cultures in the world. Western civilization is no exception. The practice of democracy that has won out in the modern West is largely a result of a consensus that has emerged since the Enlightenment and the Industrial Revolution, and particularly in the last century or so. To read in this a historical commitment of the West--over the millennia--to democracy, and then to contrast it with non-Western traditions (treating each as monolithic) would be a great mistake. This tendency toward oversimplification can be seen not only in the writings of some governmental spokesmen [End Page 15] in Asia, but also in the theories of some of the finest Western scholars themselves.

    As an example from the writings of a major scholar whose works, in many other ways, have been totally impressive, let me cite Samuel Huntington's thesis on the clash of civilizations, where the heterogeneities within each culture get quite inadequate recognition. His study comes to the clear conclusion that "a sense of individualism and a tradition of rights and liberties" can be found in the West that are "unique among civilized societies."12 Huntington also argues that "the central characteristics of the West, those which distinguish it from other civilizations, antedate the modernization of the West." In his view, "The West was West long before it was modern."13 It is this thesis that--I have argued--does not survive historical scrutiny.

    For every attempt by an Asian government spokesman to contrast alleged "Asian values" with alleged Western ones, there is, it seems, an attempt by a Western intellectual to make a similar contrast from the other side. But even though every Asian pull may be matched by a Western push, the two together do not really manage to dent democracy's claim to be a universal value.

    Where the Debate Belongs
    I have tried to cover a number of issues related to the claim that democracy is a universal value. The value of democracy includes its intrinsic importance in human life, its instrumental role in generating political incentives, and its constructive function in the formation of values (and in understanding the force and feasibility of claims of needs, rights, and duties). These merits are not regional in character. Nor is the advocacy of discipline or order. Heterogeneity of values seems to characterize most, perhaps all, major cultures. The cultural argument does not foreclose, nor indeed deeply constrain, the choices we can make today.

    Those choices have to be made here and now, taking note of the functional roles of democracy, on which the case for democracy in the contemporary world depends. I have argued that this case is indeed strong and not regionally contingent. The force of the claim that democracy is a universal value lies, ultimately, in that strength. That is where the debate belongs. It cannot be disposed of by imagined cultural taboos or assumed civilizational predispositions imposed by our various pasts.

    Amartya Sen, winner of the 1998 Nobel Prize for Economics, is Master of Trinity College, Cambridge, and Lamont University Professor Emeritus at Harvard University. The following essay is based on a keynote address that he delivered at a February 1999 conference in New Delhi on "Building a Worldwide Movement for Democracy," cosponsored by the National Endowment for Democracy, the Confederation of Indian Industry, and the Centre for Policy Research (New Delhi). This essay draws on work more fully presented in his book Development as Freedom, to be published by Alfred Knopf later this year.

    Notes
    1. In Aldous Huxley's novel Point Counter Point, this was enough to give an adequate excuse to a cheating husband, who tells his wife that he must go to London to study democracy in ancient India in the library of the British Museum, while in reality he goes to see his mistress.

    2. Adam Przeworski et al., Sustainable Democracy (Cambridge: Cambridge University Press, 1995); Robert J. Barro, Getting It Right: Markets and Choices in a Free Society (Cambridge, Mass.: MIT Press, 1996).

    3. I have examined the empirical evidence and causal connections in some detail in my book Development as Freedom, forthcoming from Knopf in 1999.

    4. See my "Development: Which Way Now?" Economic Journal 93 (December 1983); Resources, Values, and Development (Cambridge, Mass.: Harvard University Press, 1984); and my "Rationality and Social Choice," presidential address to the American Economic Association, published in American Economic Review in March 1995. See also Jean Dr'eze and Amartya Sen, Hunger and Public Action (Oxford: Clarendon Press, 1987); Frances D'Souza, ed., Starving in Silence: A Report on Famine and Censorship (London: Article 19 International Centre on Censorship, 1990); Human Rights Watch, Indivisible Human Rights: The Relationship between Political and Civil Rights to Survival, Subsistence and Poverty (New York: Human Rights Watch, 1992); and International Federation of Red Cross and Red Crescent Societies, World Disaster Report 1994 (Geneva: Red Cross, 1994).

    5. Dr'eze and Sen, Hunger and Public Action.

    6. See my "Tagore and His India," New York Review of Books, 26 June 1997.

    7. Amartya Sen, "Human Rights and Asian Values," Morgenthau Memorial Lecture (New York: Carnegie Council on Ethics and International Affairs, 1997), published in a shortened form in The New Republic, 14-21 July 1997.

    8. Fareed Zakaria, "Culture is Destiny: A Conversation with Lee Kuan Yew," Foreign Affairs 73 (March-April 1994): 113.

    9. The Analects of Confucius, Simon Leys, trans. (New York: Norton, 1997), 14.22, 70.

    10. The Analects of Confucius, 14.3, 66.

    11. The Analects of Confucius, 13.18, 63.

    12. Samuel P. Huntington, The Clash of Civilizations and the Remaking of World Order (New York: Simon and Schuster, 1996), 71.

    13. Huntington, The Clash of Civilizations, 69.

                 
     

    回顾一下历史吧

      以下为中国共产党党报《新华日报》和《解放日报》在解放前在国民党国民党统治时期的民主先声!
      目前推行民主政治,主要关键在于结束一党治国。……因为此问题一日不解决,则国事势必包揽于一党之手;才智之士,无从引进;良好建议,不能实行。因而所谓民主,无论搬出何种花样,只是空有其名而已。
                            ---《解放日报》1941年10月28日
      共产党要夺取政权,要建立共产党的“一党专政”。这是一种恶意的造谣与诬蔑。共产党反对国民党的“一党专政”,但并不要建立共产党的“一党专政”。
                            ---《刘少奇选集》上卷第172-177页
      是要彻底地、充分地、有效地实行普选制,使人民能在实际上,享有“普通”、“平等”的选举权、被选举权,则必须如中山先生所说,在选举以前,"保障各地方团体及人民有选举之自由,有提出议案及宣传、讨论之自由。"也就是"确定人民有集会、结社、言论、出版的完全自由权。"否则,所谓选举权,仍不过是纸上的权利罢了。
                            ---《新华日报》1944年2月2日
      愚民政策虽然造成了沙漠,却绝难征服民心。
                            ---《解放日报》1942年4月23日
      可见民主和言论自由,实在是分不开的。我们应当把民主国先进的好例,作为我们实现民主的榜样。
                            ---《新华日报》1944年4月19日
      像林肯总统和罗斯福总统那样的民主的政治生活中产生的领袖,是虽在战时也一点不害怕民主制度的巡行的。他们害怕民主的批评和指责,他们不害怕人民公意的渲泄,他们也不害怕足以影响他们的地位的全民的选举。他们不仅不害怕这些民.主制度,而且他们坚决地维护支持这些民主制度。因此他们才被人民选中了是大家所需要的人。
                            ---《新华日报》1944年11月15日
      但是只有建立在言论出版集会结社的自由与民主选举政府的基础上面,才是有力的政治。(毛泽东答中外记者团)
                            ---《解放日报》1944年6月13日
      由于各个国家的历史发展、社会状况等具体条件的不同,他们各自所实行的民主政治,可能在形式和内容上,都存在着多少差异。但无论如何,它们之间有一个基本点是相同的,那就是政权为人民所握有,为人民所运用,而且为着人民的幸福和利益而服务。这样的政权必然尊重和保障人民的自.由权利;使失掉自由权利的人民重新获得自由权利;没有失掉自.由权利的充分享有自.由权利;特别是言论、出版、机会、结社,这些作为实行民主政治的基本条件的人民的最低限度的自由权利,是必须切实而充分地加以保障的。
                           ---《新华日报》1943年9月15日社论
      二十年来,尤其是最近几年,我们天天见的是“只许州官放火,不许百姓点灯。”政府所颁布的法令,其是否为人民着想,姑置不论。最使人愤慨的是连这样的法,政府并未遵守。政府天天要人民守法,而政府自己却天天违法。这样的作风,和民主二字相距十万八千里!所以民主云云者是真是假,我们卑之无甚高论,第一步先看政府所发的那些空头民主支票究竟兑现了百分之几?如果已经写在白纸上的黑字尚不能兑现,还有什么话可说?所以在政治协商会议开会以前,我们先要请把那些诺言来兑现,从这一点起码应做的小事上,望政府示人民以大信。
                            ---《新华日报》1946年2月1日
      中国人民为争取民主而努力,所要的自然是真货,不是代用品。把一党专政化一下妆,当做民主的代用品,方法虽然巧妙,然而和人民的愿望相去十万八千里。中国的人民都在睁着眼看:不要拿民主的代用品来欺骗我们啊!
                            ---《新华日报》1945年1月28日
      他们以为中国实现民主政治,不是今天的事,而是若干年以后的事,他们希望中国人民知识与教育程度提高到欧美资产阶级民主国家那样,再来实现民主政治……正是在民主制度之下更容易教育和训练民众。
                            ---《新华日报》1939年2月25日
      限制自由、镇压人民,完全是日德意法西斯的一脉真传,无论如何贴金绘彩,也没法让吃过自由果实的人士,尝出一点民主的甜味的。
                            ---《新华日报》1944年3月5日
      他们说这一套都是外国人的东西,决不适用于中国……原来,科学为求真理,而真理是不分国界的……现在固然再也没有顽固派用国情特殊,来反对科学——自然科学的真理了。只有在社会现象上,顽固派还在用八十年前顽固派用过的方法来反对真理……民主制度比不民主制度更好,这和机器工业比手工业生产更好一样,在外国如此,在中国也如此。而且也只能有在某国发展起来的民主,却没有只适用于某国的民主。有人说:中国虽然要民主,但中国的民主有点特别,是不给人民以自由的。这种说法的荒谬,也和说太阳历只适用外国、中国人只能用阴历一样。
                            ---《新华日报》1944年5月17日
      中国要实行民主政治,必须“取资欧美”,但又要避免欧美民主政治的一些流弊,更驾而上之,这正是中山先生的伟大识见。
                            ---《新华日报》1942年11月12日
      这些一切,只有证明全国人民及各民主党派对实施纲领的意见,首先是对人民自由的主张,是切实的,迫切需要实现的,万万“撤销”不得的。
                            ---《新华日报》1946年1月18日
      这说明英美在战时也还是尊重人民的言论出版等民主自由的。英美两大民主国家采取这些重大措置,正说明英美两国是尊重和重视共产党及其他党派,和他们所代表的意见和力量的……同时,(他们)也有一些批评。他的批评对不对,是另外一回事。这种民主团结的精神,是值得赞扬和提倡效法的……全国各党派能够融洽的为共同目标奋斗到底,这是英美的民主精神,也是我国亟应提倡和效法的。
                            ---《新华日报》1942年8月29日
      这正如前天座谈会主席左舜生先生说的:"我们不去敦促,自由这一客人是永远不会进我们的门的"!
                            ---《新华日报》1944年5月16日
      我们认为最重要的先决条件有三个:一是保障人民的民主自由;二是开放党禁;三是实行地方自治。人民的自由和权利很多,但目前全国人民最迫切需要的自由,是人身居住的自由,是集会结社的自由,是言论出版的自由。
                            ---《中共党史教学参考资料》
      “现在是非变不可了!”“但如何变呢?”我们只要看看人家。换句话说我们一切要民主。我们一切制度、政策以及其他种种,都要向着能配合世界转变上去改造。
                            ---《新华日报》1945年4月8日
      一切力量来自人民!一切光荣归于民主!
                            ---《解放日报》1945年7月2日
      曾经有一种看法,以为民主可以等人家给与。以为天下有好心人把民主给人民,于是就有了等待这种"民主",正如等待二百万元的头奖一样。但是中外古今的历史都证明了,民主是从人民的争取和斗争中得到的成果,决不是一种可以幸得的礼物。
                            ---《新华日报》1945年7月3日
      必须真正做到民主动员,必须有民主政府持行并保障一切民主的措施,这真理还不简单明了吗?
                            ---《新华日报》1945年1月18日
      英国人民把言论、集会、身体等自由作为民主政治的基础而加以无比重视,从美国方面也同样表现出来。上引赫尔国务卿自称一生为这目标奋斗力争的正是这个东西。"平等"与"自由"为什么被民主国家这样重视,重视到认为没有这就无从谈民主政治呢?这是很简单的。国父孙中山先生曾经说:"提倡人民权利,便是公天下的道理。公天下和家天下的道理是相反的;天下为公,人人的权利都是很平的;到了家天下,人人的权利便有不平,……所以对外族打不平,便要提倡民族主义。对于国内打不平,便要提倡民权主义".英美民主政治所重视的平等,正是这一含义……假如至今英美仍不准人民有平等的权利,那末怎样能够谈得到民主、怎样能够实现民治呢?说到"自由"也是一样,如果连人民言论、集会、身体的自由都不允许,则民治从何谈起?……英国没有成文宪法,但是英国人民有平等有自由,所以虽没有宪法也是民主国家。由此看来,民主政治的主要标志是人民有自由平等的权利……民主的潮流正在汹涌,现在是民权的时代,人民应有言论、出版、集会、结社和身体的自由是真理,实现民主政治是真理,真理是要胜利的,所以高举民主的大旗奋斗着的世界和中国人民是一定要胜利的。
                            ---《新华日报》1944年3月30日
      年青的民主的美国,曾经产生过华盛顿、杰弗逊、林肯、威尔逊,也产生过在这一次世界大战中领导反法西斯战争的民主领袖罗斯福。这些伟大的公民们有一个传统的特点,就是民主,就是为多数的人民争取自由和民主。美国现在是反法西斯战争中联合国四大主要国之一,担负了彻底消灭法西斯、消灭侵略、建立世界永久和平安全的重大责任,从美国的革命历史,从美国人民爱好民主自由的传统精神,从美国人民的真正利益,我们深信美国将继续罗斯福的民主政策,不会忽视世界各处,尤其是中国人民的声音,人民的要求。
                            ---《新华日报》1945年7月4日
      民主颂——献给美国的独立纪念日:从年幼的时候起,我们就觉得美国是个特别可亲的国家。我们相信,这该不单因为她没有强占过中国的土地,她也没对中国发动过侵略性的战争;更基本地说,中国人对美国的好感,是发源于从美国国民性中发散出来的民主的风度,博大的心怀……但是,在这一切之前,之上,美国在民主政治上对落后的中国做了一个示范的先驱,教育了中国人学习华盛顿、学习林肯,学习杰弗逊,使我们懂得了建立一个民主自由的中国需要大胆、公正、诚实。
                            ---《新华日报》1943年7月4日
      七月四日万岁!民主的美国万岁!中国的独立战争和民主运动万岁!打倒日本帝国主义!
                            ---《新华日报》1944年7月4日
      杰斐逊的民主精神孕育了两个世纪以来的美国民主政治,杰斐逊的民主精神也推进和教育了整个人类的历史行进。
                            ---《新华日报》1945年4月13日
      不论程度之深浅,美国是始终保有一种传统精神的国家,那传统就是民主。
                            ---《新华日报》1943年4月15日
      一个平凡而又不平凡的新闻:据说美国在马绍尔战场协助土人实行民主,让他们自己选举行政官。这是很平凡的事:从民主的美国来说,正应当如此。这也是不平凡的事:从不民主或尚未民主的国家来看,觉得新奇、觉得刺耳、觉得不平凡。
                            ---《新华日报》1944年10月3日
      我们尊重并且愿意接受美国朋友善意的批评和建议,正如我们对孤立主义提出批评,应受到尊重一样,这也是从彼此激励互求进步以加强两国人民的合作出发的。我们丝毫也不心存疑惧,认为美国朋友的批评是对中国内政的干涉。
                            ---《新华日报》1944年3月15日
      如何使青年的思想和行动能有正当的发展……可分两种,一种是主张思想统制。这就是说,把一定范围以内的思想,灌输给青年,对于这种思想是没有怀疑和选择的馀地的。……另一种主张是思想自由。……只有自觉和自愿,才能产生心悦诚服的信仰,和惊天动地的创造活动。一般民众都是如此,青年尤其是这样。如果走相反的道路,则结果都是十分可悲的。有许多事实说明在强迫注入的训练之下,青年感到很大的痛苦……这种办法是必须改正的。我们主张思想应当是自由的。
                            ---《新华日报》1941年6月2日
      统制思想,以求安于一尊;箝制言论,以使莫敢予毒,这是中国过去专制时代的愚民政策,这是欧洲中古黑暗时代的现象,这是法西斯主义的办法,这是促使文化的倒退,决不适于今日民主的世界,尤不适于必须力求进步的中国……言论出版的自由,是民主政治的基本要件,没有言论出版的自由便不可能有真正的民主,不民主便不能团结统一,不能争取胜利,不能建国,也不能在战后的世界中享受永久和平的幸福……新闻自由,是民主的标帜;没有新闻自由,便没有真正的民主。反之,民主自由是新闻自由的基础,没有政治的民主而要得到真正的新闻自由,决不可能。
                            ---《新华日报》1945年3月31日
      作统治者的喉舌,看起来象自由了,但那自由也只限于豪奴、恶仆应得的"自由",超出范围就是不行的。也就是说你尽可以有吆喝奴隶——人民大众的自由,但对主子则必需奉命唯谨的,毕恭毕敬,半点也不敢自由。
                            ---《新华日报》1946年9月1日
      要真正做到出版自由,必须彻底废除现行检查办法
                            ---《新华日报》1945年6月26日
      为了国家利益和革命事业,我们应该贡献出自己的一切。但这必须事先解决两个问题,第一,我们那样牺牲自己是真正为了国家和革命么?第二,我们所有的一切是些什么?……一面说青年"根本不能谈民主",一面是叫青年"必须牺牲个人的自由",这就是在我们这个国度里对青年所施行的"标准"的"民主自由"的教育……那不过是为着要装装门面而已。
                            ---《新华日报》1945年4月15日
      “五四”运动以来三十年的中国史,就是学生爱国运动与人民自主运动密切结合的历史,就是学生运动充作人民运动的先锋和辅助军的历史。在一代的时间内,中国学生用自己的血、泪和汗写下了中国民族民主运动史上光辉的史页,也是世界革命史上特出的史页。事实证明:中国学生将一本过去传统的爱国精神,继续为自己祖国的独立自主和民主自由而努力,也就是为世界和平而努力。
                            ---《新华日报》1946年11月17日
      民主一日不实现,中国学生的爱国运动却是一天也不会停止的。
                            ---《新华日报》1945年12月9日
      反动者企图以“共党煽动”,轻轻把“一二一”惨案的责任推得一干二净,但是七日的新民报说:"学生罢课反对内战,当地军警出动镇压……,在这情形中谁是谁非,几乎不待判断","看昆明学潮惨案,受害的却是赤手空拳的学生,他们既无武器,更非军队,而竟受到武力的攻击";"这次惨案却证明基本人权无保障……政府当局亟须反省".
                            ---《新华日报》1945年12月11日
      这件惨案的事理至为清楚,责任也很分明:一般青年学生只不过激于爱国热忱,凭了赤手空拳,起来要求民主反对内战,究有何罪?而国民党反动派竟采取残暴手段,惨加屠戮,并在屠戮之后,为了"嫁祸"起见,还不惜含血喷人,肆意诬蔑,居心恶毒以至于此,真是史无前例。但是人民是不会受欺骗的,人民是最公正的裁判者,国民党反动派要想一手掩尽天下耳目,徒见其日益心劳力拙而已。
                            ---《新华日报》1945年12月7日
      中国青年在现阶段中所从事的运动,应该是争取民族独立,经济平等,和政治民主。为这三大目标而奋斗的人,在历史中就有他的地位。
                            ---《新华日报》1946年11月17日
      而民主与不民主的尺度,主要地要看人民的人权、政权、财权及其他自由权利是不是得到切实的保障,不做到这点,根本就谈不到民主……保证一切抗日人民(地主、资本家、农民、工人等)的人权、政权、财权及言论、出版、集会、结社、信仰、居住、迁移之自由权……中国共产党一向是忠实于它对人民的诺言的,一向是言行一致的,因此它的纲领中的每一条文与每一句语,都是兑现的。我们决不空谈保障人权,而是要尊重人类崇高的感情与向上发展的愿望。
                            ---《解放日报》1941年5月26日
      单说英美吧。英美是民主国家。这是人人公认的。英美人民有各种民主权利……为了国际的地位,必须从保障基本的民主权利开步走。恐惧是懦夫,疑虑是自私,反对便是倒行。我们再度呼吁:保障人民的基本民主权利。
                           ---《新华日报》社论1944年2月1日
      本市消息内政部公开颁行一种限制人民游行自由的法令,借口是“恐稍有不慎,足以影响社会秩序与公共安宁”。据中央社讯,其要点如下:负责筹备游行的人员,需于事前将姓名、年龄、职业、住址、游行宗旨、集会地点、进行日期及时间经过路线等呈报当地"治安主管机关".散发的印刷品和张贴的标语须事先送当地"治安主管机关"审查。上项法令,已由内政部发致全国各省市地方机关,本市市政府业已接到,且已分令警察局及各区公所"遵照办理".有了这个"法"的根据,今后各地当局更可以随意于事先防止临时禁止一切人民团体之游行。人民游行已无自由可言了。
                            ---《新华日报》1946年5月13日
      立即释放全国政治犯!严惩虐待犯人、毒杀犯人的凶手!未获释放的政治犯应切实保证他们的生命安全,不准再有虐待和私刑拷打犯人的非法行为。
                            ---《新华日报》1946年2月18日
      维持一党专政的政策是建立在制造饥饿和灾荒上的,所以这些救灾的治本办法,只有国民党确定的和各党派一道走上和平、民主的道路时,才能完满解决。
                          ---《新华日报》社论1946年3月30日
      党对政府的领导,在形式上不是直接的管辖。党和政府是两种不同的组织系统,党不能对政府下命令。
                            ---《董必武选集》第54-55页
      一个民主国家,主权应该在人民手中,这是天经地义的事;如果一个号称民主的国家,而主权不在人民手中,这决不是正轨,只能算是变态,就不是民主国家……不结束党治,不实行人民普选,如何能实现民主?把人民的权利交给人民!
                           ---《新华日报》1945年9月27日社论
      现在,官方豢养的论客们更公然地企图恐吓人民,说国民党是希望中国安定的,而共产党却希望天下大乱……中国共产党,不但"要变不要乱",而且正是要"以变止乱"……(国民党反动派)也是希望某一种"安定"的,但那并不是全中国的安定,并不是全中国人民的安定,而仅仅是他们坐在压迫人民的宝座上的"安定".他们那个小集团可以统治全国、为所欲为的"安定"……他们的统治"安定"了,中国百分之九十五以上的老百姓就更会没有饭吃、没有衣穿、没有事做、没有书读、没有说话的自由、没有走路的自由、没有住家的自由……废止国民党的一党专政!
                           ---《新华日报》1946年5月17日社论
      而在重庆被打得头破血流的青年学生们的组织与行动也被当局宣布为"不合法组织……妨害治安",而加以取缔。反之,那些打人的暴徒,是合法的组织,是有益治安,而应力加保护。这就是合法政府的合法措施。让我们在这个不合法的罪名下继续奋斗,一直到"人民的宪法"出现的一天吧!
                            ---《新华日报》1947年2月22日
      昨天报载:慕尼黑在上周未暴动,"革命精神炽烈",这是真的民意了,"纳粹调集坦克出动镇压".希特勒要有他自己的"民意",就叫戈林去说话。真的民意出现了,希特勒就派坦克去说话了。
                            ---《新华日报》1944年3月15日
      现在,假如我们承认战后的世界是一个不可抗而又不可分的民主的世界,那么要在这个世界里生存,要在这个世界的国际机构里当一个"优秀分子",第一就是立刻在实践中尊重"新闻自由"这种人民的"不可动摇的权利。"
                            ---《新华日报》1944年10月9日
      国际民主既然与国内民主不可分割,所以要想参加到世界民主国家家庭中去的人们,就无法违反国内民主的原则。
                            ---《新华日报》1944年1月19日
      法西斯的新闻“理论家”居然公开无耻地鼓吹“一个党、一个领袖、一个报纸”的主张。它们对于"异己"的进步报纸,采取各色各样的限制、吞并和消灭的办法,如检查稿件、任意删削,威胁读者、阻碍推销,派遣特务打入报馆、逐渐攘夺管理权,最后则强迫收买,勒令封闭。
                            ---《解放日报》1943年9月1日
    发表评论请点下面原文链接 : http://www.weekmag.com/html/3959.htm
    June 03

    真TMD

    李鹏之子弃商从政 调任山西副省长

    明报 2008年06月02日 


    前总理李鹏之子丶华能国际董事长李小鹏昨日宣布辞职,据北京消息透露,李小鹏将调任山西省委常委丶常务副省长。华能国际电力股份昨日发表公告称,董事长李小鹏已辞职并立即生效,其职位由副董事长黄永达代行。公告中并未透露李小鹏辞职的原因。

    华能国际是国资委属下的副部级大型央企,在去年十月举行的中共十七大上,李小鹏获选为中央候补委员。

    消息指出,李小鹏到山西省任职,很可能会分管属於山西省「支柱工业」的煤炭工作,而山西原本分管煤炭的副省长梁滨,则将会外调河北省任职。消息并称,由於山西省高层短期内将再有人事变动,省委书记张宝顺可能调返北京,省长孟学农有望升任省委书记,李小鹏仕途上还有可能「更上一层楼」。

    辞华能董事长职位

    今年49岁的李小鹏是李鹏的长子,由於父亲李鹏长期在电力行业任职,李小鹏和妹妹李小琳上大学时也选择电力工程专业(李小琳现为中国电力投资公司董事长)。

    李小鹏1982年毕业於华北电子学院发电厂及电力系统专业,曾到加拿大留学。回国後,李小鹏先在电力科学研究院任职,1991年起调到华能国际电力开发公司,1999年起先後任华能集团总经理丶华能国际电力开发公司董事长丶华能国际电力股份有限公司董事长。

    由於华能国际是中国最大装机容量的上市电力公司,因此,有内地传媒称他为「亚洲电王」。

    什么是普世价值

    如果不了解什么是普世价值,可以找如下7个国际公约去看,这是国际上对“普世价值”最直接最具象化也最无争议的简单阐释:
    《公民权利和政治权利国际公约》
    《经济、社会和文化权利国际公约》
    《消除一切形式种族歧视国际公约》
    《消除对妇女一切形式歧视公约》
    《禁止酷刑和其他残忍、不人道和有辱人格的待遇或处罚的公约》
    《儿童权利公约》
    《保护所有移徙工人及其家庭成员权利公约》

    第三类爱国宣言(转)

    作者:林忌(按这里浏览原文)

    读者 WiL,一个真诚坦率的爱国者,令我非常尊重与敬佩,他提出了一个问题,想和大家分享。
    林忌觉得这个故事很有意思,因此特别写一篇文来反应,我们先看看他的内容:

    WiL 提到…

    charles, 不会冒犯, 你说得不错, 我的思路上的确没有把党国分开…原因就是..哈哈..我真的不是政治人..我不太了解共党的背景(我想应该是了解不深吧), 什至中国的背景. 不知道人生阅历可不可以当作借口, 我现在还在求学中, 还没有正式在社会上工作. 若不是奥运年, 可能我知道的会更少. 但我估计像我这样的人应该是估大多数的, 特别是在香港这个地方,所以希望代表这群人(没有政治见识)发表一下意见.

    林忌, 其实我也略微知道内地的情况, 我现在身在外国留学, 不少来自中国的朋友都是因为不喜欢共党而出国留学什至移民, 他们说中国大部人其实也不喜欢共党, 可是敢怒不敢言, 所以我觉得愤青暂时还是一小部分的人.

    我有一个少少的个人经历分享一下, 只是分享, 不是表达立场. 刚巧..对我说不喜欢共党的..都是些懒惰/没有用功读书的中国朋友-_-”没有用功读书..我会理解为不是真正了解国家的情况. 他们有些什至说”中国现在真掉脸..奥运还没开始已乱七八糟” 他们有抱住看戏的心态看近期发生的情,中国被批没人权,圣火被抢等等. 就是因为恨党, 而可能都变得不爱国了. 另外, 我亦有中国朋友”相对地”不那么恨党, 又刚巧..他们都是知识份子..用功读书,”像是比较有见识的人”. 一个例子就是我的室友, 她毕业于北京大学, 现在想在这里拿居留权, 原因就是中国的工作环境不好. 在这里找工作时, 也不会找中国人的工作, 因为中国人很刻薄. 她也会告诉我中国的官员贪污很利害. 她也会说共党的不好, 可是她也说过”中国这么大, 这么多人, 如果不是一党专政, 只会更混乱, 管理不了”

    曾经有个外国人来到家里, 他们说起中国的一党专政, 室友就站在支持的一方辩论起来.

    我还没有能说我室友的话对或错, 可是我想如果中国有多些像我室友的人, 应该会更好吧. 我”猜想”我室友是那些知道自己国家的毛病在哪里的人, 可是国家有困境时, 也会少许偏袒地维护国家, 而不是那种纯理性的, 就是国家, 错了也”无面俾”.

    在我的两类中国朋友中, 那些估大多数才对中国好呢? 我的室友与外国人论一党专政时, 大可以由辩论转为讨论, 讨论一党专政的弊, 那为什么她要选择做支持的一方呢? 我会理解为因为她真的爱国家.在外国人面前, 她希望维护自己的国家, 在50:50 选说正/反, 她自然地选了说正. 在这个BLOG的常客, 面对这样一个议题时, 会不会很自然地选了反呢?

    这个分享, 我自己说完也不太知道主旨是什么…纯粹有感而发, 想到什么打什么, 请大家当成是一个经验分享看待.

    爱,是一种自我投入的情感,有理性的部份,亦有非理性的部份,套用莎士比亚一句用到烂的名句:爱,或者燃烧,或可长久,但两者不能并存。

    其实除了两性(或同性)爱情的爱,由爱你的父母,爱你的朋友,爱你的国家,甚至爱你的敌人,简单而言,都是一种爱,只是程度有深浅,性质有一定分别,可是莎翁的名句,却依然适用--或可燃烧,或可长久,但两者不能并存。

    为何不能并存呢?就是因为理性与感性的冲动问题;除了爱的「感觉」以外,燃烧的爱一味讲感性,失却理性的平衡,必然毁灭--毁灭,就是因为爱的本身。

    由小朋友做错事,你爱他,应该闹他打他,还是溺他纵他?去到国家,情况依然相同。有人认为只靠称赞,循循善诱就可以了;事实证明,一孩政策的溺爱,关怀不够吗?物质不够丰富吗?教出来的,就只有一大群小霸王,以及今日渐渐长大的大霸王。

    就正如那些被称为「脑残」的明星 Fans 一样,爱国爱到发疯的时候,情况亦是一样!当因为你爱上某明星,而不容许他人批评他/她的外表与技艺之时,就和一个爱国愤青不容他人批评国家腐败一样,患上的病是一样的,就是失去理性,爱到发疯了。

    你爱你的母亲吗?可会见到有人把「我爱老母」的衣服着上身?你爱你的父亲吗?可会见到「我爱老爸/老豆/爸爸」的 MSN 红心大放送? (当然,有恋父恋母情结、或特殊原因的例外)把爱日日提在口边,把爱提高到「示众」的程度,林忌归纳出三种类型,让大家分享一下。

    第一类爱国表态,就是假爱国--就有如对「情人」口花花一样,口甜舌滑却诚意欠奉。
    第二类爱国表态,就是表应爱国--有如对公众公开宣示,我对他/她的爱--是带有示众目的动机的,为了证明一些事情。
    第三类爱国表态,就是头脑发热的爱--就有如 Fans 对偶像的爱--盲目的、非理性的,要时时刻刻分分秒秒的爱,要和全世界分享的爱。(包括对完全的外人、如对着其他女性大赞某 AV 女星的身材一样)

    读者 Wil 所讲的爱,很不幸往往属于第三类爱国表态;相信大家亦遇见过不少,明明是一位受过教育,有理想有抱负的热血青年嘛,偏偏他迷恋某人/事/物/国家,于是一讲到这个话题,就热血上身变了另一个人。

    第三类爱国表态,简单而言就是绝对盲目--正如某歌星明明五音不全,Fans 却赞她技艺高超;某艺人五官不正,Fans 却赞他玉树临风;某女星满脸脂粉,毒男们却坚称她没有化妆云云,类似的事情实在太多了。

    对,这就是问题所在了--那些人头脑发热的爱,以为凡反对他们的,都是头脑发热的恨,的确有这样的人呀,但看看大家是理性讨论,还是几句都忍不住就要人身攻击,答案就出来了。

    希特拉、毛泽东之流,就是太清楚这些人性的弱点--他就是要你去爱,不但是普通亲情的爱,却要的是完完全全燃烧发疯式的爱,因此希特拉才说,他不会结婚,因为他已经和德国结婚了。(直至 1945 年自杀前,才和情妇结婚)。

    因为这种疯狂的热爱,人们才会忘记一切理性,忘记一切道理,把你的一切完全奉上,甚至事后还有「斯德哥尔摩症」--爱上绑匪的事情发生。

    真正理性的爱,正如爱你的老爸老妈,是靠实践而非靠把口的,更绝对不会天天挂在口边--凡是天天挂在口边,凡是要你挂在口边,凡是煽动你去发疯的,就如上文所讲的三类宣言,你就要小心了!

    就正如教育犯错的小朋友,不停护短的结果--「父为子隐、子为父隐」,就正如中语文明一样,沉沦于表面和谐当中,永永远远都不会改过;每一次都说,下次我才严厉一些吧,但次次都狠不下心肠,结果孩子大了,大错亦铸成了,永永远远都无法把时针逆转,结果又是那句:「年轻人,靠你了」--把责任推到下一代身上。

    中国今日的下一代,正正就是面对这个问题:一大群被娇纵惯宠坏的孩子,既自大又自卑,甚么也要最好,却不懂得付出努力代价,不懂得世上没有免费午餐,以为人生就有如温室的考试,不愿学、不愿听、不愿相信历史,以为西方的物质文明,可以在没有西方的精神文明下强行移植接枝--就正如不学好好学音乐艺术,就以为可以成为歌神一样,结果会怎样?不问也知。

    就是因为知得太少,才会头脑发热;就是因为对事情一无所知,才会盲目相信;就是因为疯狂爱国,结果就变成了疯狂害国--所以爱因斯坦说:民族主义是婴儿病,所谓的民族主义,就是这种非理性的爱--不需要理由的爱。

    爱 X 需要理由吗?当然需要!你老爸是疯的,要不要制止他当街杀人?还是要爱到陪他去杀人?

    爱 X 是与生俱来的!对,排泄也是与生俱来的,与生俱来就等如无限制,无理由,无界线吗?当然不!

    不需要理由的爱,没有条件、没有保留的爱,就正如没有理由、没有条件、没有保留的细胞--癌细胞,就只有终极的毁灭。

    问题就是,你要选择做燃烧的疯子,还是长久而理性的爱--两者,你只可选其一。 

    河蟹上岸原文跨墙浏览:第三类爱国宣言
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