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研究生: 林天昱
Lin, Tian-Yu
論文名稱: 重新思考民主制度之理論與運作──以 Renovating Democracy 一書提出的賢能治理模型為起點
Rethinking the Theory and Operation of Democracy: The Meritocracy Democracy Model Proposed in the Book of Renovating Democracy as a Starting Point
指導教授: 王立達
Wang, Li-Dar
口試委員: 廖元豪
Liao, Yuan-Hao
張兆恬
Zhang, Chao-Tien
學位類別: 碩士
Master
系所名稱: 法學院 - 法律科際整合研究所
Institute of Law and Inter-Discipline
論文出版年: 2026
畢業學年度: 114
語文別: 中文
論文頁數: 138
中文關鍵詞: 民主理論直接民主代議民主民主正當性民主改革政治極化認知多樣性審議民主同意理論
外文關鍵詞: Democratic Theory, Direct Democracy, Representative Democracy, Democratic Legitimacy, Democratic Reform, Political Polarization, Cognitive Diversity, Deliberative Democracy, Consent Theory
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  • 當代民主制度正面臨內部與外部雙重威脅。體制外部,面臨非民主政體在治理效率,與長期規劃上的競爭挑戰;體制內部,則因全球化經濟衝擊、數位資本主義與社群媒體演算法的影響,導致深陷政治極化、民粹主義、身分政治,以及憲政體制運作衝突的否決政體危機。面對此波民主衰退浪潮,Nathan Gardels與Nicolas Berggruen於Renovating Democracy一書中,以美國加州的直接民主與代議民主為試驗對象,提出結合古典共和主義,與美國進步時代引入專家治理的民主「第三次轉向」解決方案。他們試圖透過細分選區、間接選舉的「階梯式選舉結構」反制金權俘獲,並且創建由跨領域、非黨派專業人士組成的「新參議院」,掌握公投與「冷靜二讀」的權力,以建構「民意諮詢,中介轉譯,公眾審核」的立法循環,試圖在西方民主體制中,引入「賢能治理」以緩解過熱民意。
    本研究採取詮釋性政治理論,與理論導向之比較研究方法,將Renovating Democracy的政治理想,置於當代民主理論地圖中,與Cristina Lafont、Hélène Landemore、John McCormick、F. A. Hayek等學者進行對話,從三個層次解構其認識論預設與實踐限制。
    首先,在正當性論證層次,本研究依循John Locke的同意理論,與Bernard Manin歸納總結出的代議政治特質,論證該方案的階梯式選舉,阻斷了人民持續授權的民主正當性。而新參議院在實質決策程序中抽離人民實質審議的機會,以「賢能」代替「同意」作為統治正當性來源,恐將民意授權化為橡皮圖章,陷入「開明專制」困境。其次,在菁英可靠性層次,Machiavelli的兩種性情理論,與當代的菁英捕獲研究,揭示了排他性非民選菁英機構,在缺乏大眾參與及外部制衡下,難以藉由內部自律以確保其決策公正無私,反而容易淪為特權階級囤積機會與共謀的新場域。在知識認識論層次,本文反思Hayek與James Scott關於在地知識與實踐知識的知識分散本質,指出該方案試圖將社會碎片知識集中、建模,並交由中央專家轉譯,在結構上必然導致真實民意與脈絡資訊失真。
    最後,本研究結合James Fishkin審議式民調、冰島與法國氣候公民大會等現代抽籤民主之實證經驗,論證當代民意展現之短視與非理性,實係特定未經結構設計之場域(如社群網路)所誘發之展演行為,而非公民固有之認知極限。普通公民在制度設計得當之審議空間中,完全具備處理長期且系統性複雜議題之集體智慧。專業知識在公共決策中應扮演技術輔助之「大副」,而非決定集體命運之「船長」。Renovating Democracy以賢能取代同意、以阻隔取代參與之解方已然超越民主治理之邊界。民主制度之自我革新,無須仰賴閹割民主正當性之賢能治理作為「壓艙石」,唯有透過實質賦權公民、完善微觀與宏觀領域之參與審議機制,方能真正挽回社會大眾對民主體制之信賴,讓人民奪回對命運的主宰權。


    Contemporary liberal democracy is confronting dual threats from both within and without. Externally, authoritarian regimes, challenge democracies regarding governance efficiency and long-term policy planning; internally, expanding global wealth inequality, intense political polarization, and declining public trust erode the foundations of democratic governance. Compounded by digitalization and social media algorithms, modern societies have spiraled into political polarization, populism, and identity politics, culminating in a legislative gridlock characteristic of a "vetocracy." In response to this democratic backsliding, Nathan Gardels and Nicolas Berggruen, in their book Renovating Democracy, propose a "third renovation" framework aimed at correcting direct democracy's populist excesses by using California’s systemic dysfunction as an experimental vanguard. Their institutional blueprint seeks to decouple politics from money through "stepped" indirect electoral structures within subdivided neighborhoods. Simultaneously, it creates a nonpartisan "New Senate" composed of cross-disciplinary elites. Endowed with agenda-setting powers, a "sober second reading" for ballot measures, and post-enactment amendment rights, this institutional design constructs a cyclical feedback loop of "public consultation, institutional translation, and popular affirmation," attempting to introduce "meritocracy" into Western democratic frameworks to temper volatile public passions.
    Adopting interpretive political theory and theory-guided comparative research methodologies, this study maps the meritocratic ideals of Renovating Democracy onto the landscape of contemporary democratic theory, engaging in a paradigm dialogue with scholars such as Cristina Lafont, Hélène Landemore, John McCormick, and F. A. Hayek to deconstruct its epistemic presuppositions and practical limitations on three structural levels.
    First, at the level of normative justification, drawing upon Locke’s consent theory and Manin’s principles of representative government, this thesis demonstrates that the stepped electoral structure ruptures the citizens' mechanism for continuous authorization via retrospective judgments. By removing opportunities for meaningful public deliberation from the policy-formulation process, the New Senate effectively substitutes "merit (substantive outcomes)" for "consent" as the source of political legitimacy, reducing popular sovereignty to a mere rubber stamp and trapping the regime in the undemocratic conundrum of "benevolent despotism." Second, regarding elite reliability, through the lens of Machiavelli’s theory of two conflicting humors and contemporary literature on "elite capture," this study reveals that an exclusive, non-elected elite body, absent the external checks of popular participation, cannot guarantee impartiality through mere internal self-regulation; instead, it risks mutating into a new political arena for "opportunity hoarding" and oligarchic collusion by privileged classes. Third, from an epistemic standpoint, reflecting on Hayek’s and Scott’s formulations of dispersed "local knowledge" and "practical knowledge (mētis)," this thesis argues that the framework's attempt to centralize, model, and translate fragmented societal insights through centralized experts constitutes a form of conscious control that structurally guarantees the distortion of genuine public preferences and contextual data.
    Finally, integrating the empirical insights of modern sortition-based democracy—including Fishkin’s Deliberative Polling, the Icelandic constitutional experiment, and the French Citizens’ Convention on Climate—this study argues that the short-sightedness and irrationality observed in contemporary public opinion are not indicative of inherent cognitive limitations of citizens, but are rather performance behaviors induced by unstructured interaction spaces such as social media. Ordinary citizens, when placed within a well-structured deliberative venue, demonstrate ample collective intelligence to navigate long-term, highly complex systemic challenges. In public decision-making, professional expertise should serve as the technically adept "first mate" rather than the "captain" who decides the collective destiny. The remedies proposed in Renovating Democracy—substituting consent with merit and replacing participation with insulation—transgress the legitimate boundaries of democratic governance. The self-correction of democratic institutions does not require a non-accountable "ballast" that castrates democratic legitimacy. Only by substantially empowering citizens and refining both micro- and macro-deliberative mechanisms can we truly restore public faith in democratic governance and enable the people to truly take back control of their destiny.

    謝辭 i
    摘要 iv
    ABSTRACT vi
    目次 ix
    圖目錄 xi
    第一章 緒論 1
    第一節 研究動機 1
    第二節 研究方法 6
    第二章 民主的演進、追求,與結構性障礙 9
    第一節 孱弱國家:溯源同意與集體智慧 9
    一、 因為中央孱弱,所以妥協共治:早期民主的定義與規範 9
    二、 從妥協走向共治:雅典集體治理的智慧優勢 13
    第二節 現代民主的起源:同意理論的統治正當性 14
    第三節 加總民主衰退,審議民主的認識論轉向 16
    第三章 當代民主制度衰退的危機診斷 23
    第一節 21世紀的政治僵局,與衰退共識 23
    第二節 找到民主參與,與專業治理的平衡點 30
    一、 全球化、科技焦慮,與「奪回主導權」的防禦性反撲 31
    二、 數位時代的資訊迴聲室:社群平台對共識的解消與破壞 33
    三、 否決政體,與民粹主義的崛起 37
    四、 民主的「第三次轉向」,混合民主智慧與賢能治理的中庸之道 39
    第三節 直接民主的困境改革,從加州開始? 44
    第四章 革新當代失能民主的制度理想:Renovating Democracy的方案剖析 52
    第一節 從「盲目暴民」到「賢能治理」的制度設計檢驗 52
    第二節 第一支柱:細分選區,與階梯式的代議選舉結構 53
    第三節 第二支柱:非黨派的新參議院 58
    第五章 Renovating Democracy與民主理論的範式對話 78
    第一節 代議的本質,與菁英統治的正當性來源 79
    一、 代議制?「貴族制」!代議政治中的區別原則 79
    二、 選舉的一體兩面:貴族統治者,與民主正當性 81
    三、 重複選舉,與回溯性判斷對菁英治理的制衡 84
    四、 代議制的四大原則(four principles)與賢能治理的衝突 85
    五、 民主沒有捷徑,最終的公投無法合理化參與的缺席 89
    第二節 菁英、金權與腐敗 91
    一、 Machiavelli的兩種性情理論:權貴與平民的階級本性 92
    二、 壓制支配的本能?菁英能否被制度確保無私的反思 95
    第三節 超越菁英:認知多樣性與集體智慧的挑戰 104
    一、 知識散佈在你我之中:中央機構規劃的侷限性 106
    二、 讓分散的知識說話 110
    三、 是誰在製造民粹,民眾?還是場域 114
    第四節 賢能何必壟斷,菁英與公民的審議實踐 121
    第五節 小結:改革民主,還是取代民主? 124
    第六章 結論 128
    第一節 回顧:對「民粹」發起挑戰的賢能治理 128
    第二節 賢能的本質,是對民主核心的替換 130
    第三節 研究限制與展望 132
    參考文獻 134
    中文文獻 134
    英文文獻 134

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