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Hélène Landemore, 开放民主

已有 14 次阅读2026-6-4 09:40 |个人分类:Hélène Landemore, 开放民主

Hélène Landemore,  Yale University: helene.landemore@yale.edu

Robert Y. Shapiro, Columbia University, Professor of Government: rys3@columbia.edu

Jane Mansbridge, Harvard University, Department of Government: jane_mansbridge@harvard.edu

Simone Chambers, University of California, Irvine, The Centre for Ethics: schamber@chass.utoronto.ca

开放民主:重塑二十一世纪的民众统治

作者:海伦·兰德莫尔 (Hélène Landemore) 2020年10月13日

“《开放民主》描绘了真正由大众领导的政府的模样。”——内森·海勒,《纽约客》

一种将权力开放给普通公民的新型民主模式,如何能够增强现代社会的包容性、响应性和问责制?

对古希腊人来说,民主意味着聚集在公共场所,辩论由随机选出的数百名公民组成的议会制定的法律。对冰岛维京人来说,民主意味着每年夏天在田野里聚会,讨论各种问题,直到达成共识。我们当代的代议制民主截然不同。现代议会戒备森严,似乎只有某些特定人群——拥有合适的西装、口音、财富和人脉——才能被接纳。 《开放民主》一书旨在诊断代议制政府的弊端,并力图恢复古代民主制度中已逝的开放性,提出了一种全新的民主范式,在这种范式中,权力真正惠及普通公民。

海伦·兰德莫尔(Hélène Landemore)推崇“轮流代表和被代表”的理念,而非直接民主模式。她支持一种全新的、非选举式的民主代表制理解,并建议以“开放的小型公众”为中心构建政治制度——这是一个由随机抽选的公民组成的大型陪审团,他们聚集在一起,与更广泛的公众共同制定政治体的法律和政策。她还捍卫了五项制度原则,作为开放民主的基石:参与权、协商、多数原则、民主代表制和透明度。

《开放民主》表明,将普通公民而非精英置于民主权力的核心,不仅是民有、民治、民享政府的真正含义,而且是切实可行的,并且在今天比以往任何时候都更加迫切需要。

海伦·兰德莫尔——捍卫“开放”民主

https://amc.sas.upenn.edu/h%C3%A9l%C3%A8ne-landemore-open-democracy

民主正面临危机,至少我们常被告知如此。本文认为,我们所熟知的民主危机——以特朗普或英国脱欧为象征——恰恰表明了民主作为一种规范性理想的活力。西方世界的人民之所以怨恨、不信任,有时甚至反抗他们的政治人员和机构,正是因为这些机构未能兑现民主的承诺:人民的权力。这些令人失望的事件也带来了一线希望:它们触及了人们渴望重新掌控权力、从那些被视为不再回应民众诉求、也不再对民众负责的失控精英手中夺回权力的强烈愿望。

仅仅因为最近发生的事件就否定民主是错误的。总而言之,我们根本不知道真正的民主能做到什么程度。迄今为止,我们尝试过的只有两种民主形式:公元前五、四世纪的雅典,以及自十八世纪以来我们不断演进的各种选举民主模式。但古典雅典的排他性极强(对妇女和奴隶等群体而言尤其如此),而且在某些方面过于直接,导致寡头两次掌控公民大会,最终推翻了民主制度。而当今的民主制度代表性不足,反过来又会引发威权主义和民粹主义的反弹,进而带来暴政的风险。我们可以做得更好。

理论上,民主是唯一一种赋予所有人平等权力的政体。为什么今天我们仍然需要捍卫民主?原因之一是,它能让我们变得更聪明。面对政治中固有的不确定性,作为一个整体,我们更应该赋予每个人平等的发言权,让他们有机会贡献可能至关重要的论点、观点或信息——无论他们的身份、外貌、口才如何,或者在政治学考试中表现如何。从这个意义上讲,让所有人平等地参与到关乎我们共同命运的讨论中,比任何其他决策过程都更加明智。

相反,那些排斥所有民众,甚至仅仅是部分民众的政权,都会使自身面临盲点的风险,也就是说,它们可能会错过来自被排斥群体的重要论点、信息和观点。如果环境足够稳定,政权也足够幸运,那么在短期甚至中期内,这或许无关紧要。但是,从长远来看,平均而言,一个尽可能地利用所有民众智慧的政权,必然会比一个排斥太多民众的政权表现得更好(Landemore 2013)。

当然,让所有人时刻参与决策是不可能的,尤其是在公民忙于其他事务的大众商业社会中。我们需要代议制治理模式,即将决策权委托给一部分公民。即使是只有约3万(男性)公民的古典雅典,也依赖于原始的代议制治理形式,由少数人代表多数人做出决策。但是,委托权力并不意味着必须将潜在代表的范围限制在人口的一小部分。在民主制度下,代表资格应该对所有人开放。此外,代表的审议过程也应该向广大民众开放。只有这样,我们才能确保所有相关信息、观点和论据都能进入决策前的审议过程,而最终的决策将约束我们所有人。

那么,我们应该如何选出民主代表呢?古希腊人使用抽签的方式。这就是为什么亚里士多德将民主定义为“轮流统治和被统治”。我们现代人在十八世纪重塑民主时选择了选举。当时的论点是,选举将民众的同意权,进而将合法性赋予统治者及其选择。基于“一人一票”的平等原则,民众的同意权被认为能够赋予选举制度民主的合法性。

但选举归根结底是一种贵族式的选拔机制,它依赖于“区分”原则。选举只会赋予那些在大多数人眼中社会地位显赫的人权力。选举会导致寡头政治的倾向,而民主制度很难抵制这种倾向。这就是为什么古希腊人从未用选举来任命政治官员。即使选举权不断扩大,参选资格的限制也逐渐消失,在选举民主制度下,权力仍然仅限于那些富有、人脉广泛,或者拥有足够雄心壮志和才能,能够变得富有或人脉广泛的人。对我们大多数人来说,今天的民主意味着“被统治”,而几乎从不意味着“统治”。

由于这种寡头政治倾向根植于其基因之中,选举民主

精英阶层往往会像寡头政体那样,存在一些常见的盲点。例如,他们忽视了穷人、年轻人、少数族裔以及自由贸易或紧缩政策等经济政策的受害者。这是因为这些人很少有机会担任民选职位(甚至根本无法获得任何权力)。然而,如果他们没有参与法律和政策的制定和讨论,他们的利益不仅无法得到充分考虑,而且即便得到考虑,也难以得到妥善维护,因为缺乏第一手的视角来解释和维护他们的利益。在美国,自美国民主诞生以来,选举制度的这些盲点就损害了非裔美国人的福祉;而自20世纪80年代新自由主义兴起以来,这些盲点也损害了工人阶级的福祉。

这种选举民主的精英主义偏见难以根除,而且随着时间的推移,情况可能会更加恶化。不幸的是,当情况变得过于糟糕——当少数群体长期被忽视,当多数群体自身也开始感到他们的愿望与精英阶层给予他们的利益之间存在巨大鸿沟——就会出现一种古希腊人也熟悉的风险:煽动家。煽动家承诺与精英阶层作斗争,将权力归还给大众,但他——通常是男性——最终往往会摧毁民主本身。正如柏拉图所预见的,民主始终面临着演变为暴政的风险。

如何才能阻止这种转变?在某些方面,人们倾向于减少民主;增加更多的权力制衡;将某些政策领域与多数人的偏好隔离开来,并将政治权力移交给国家或超国家层面的公正且知识渊博的专家。借鉴中国和新加坡的良好运行模式,或者借鉴法院和独立机构的做法,一些人提出了各种形式的精英统治、技术统治或“知识精英统治”。

我的观点是,我们需要更多的民主,而不是更少。我们当前民主模式的缺陷在于其过度精英化和知识分子化,而非不足。正是由于选举民主制度只赋予了部分民众权力,才导致其无法制定有效的政策,进而滋生威权主义和民粹主义的反弹。真正的民主应当平等地向所有公民开放,并因此变得更加明智。

在我的新书稿中,我构想并捍卫了一种新的民主范式,我称之为“开放民主”。在开放民主中,权力的行使尽可能地减少限制,即便它依赖于代表制结构才能实现。因此,开放民主采用多种非选举形式的民主代表制,包括基于随机选择的抽签式代表制;基于自我选择的自选式代表制;以及基于投票委托的流动式代表制,理论上使更多人有机会获得民选代表的地位。

除了具有不同的代表性之外,在开放民主制度下,立法权仍然对所有普通公民开放,从而确保任何相关的想法、论点或信息都不会被浪费。例如,可以通过众包平台来实现这一点,公民可以在这些平台上提交自己的想法并与他们的代表互动。

基于不同形式的非选举但民主的代表制的开放民主制度会是什么样子?在能够自信地回答这个问题之前,还需要进行更多的研究和小规模的实验。我的猜测是,它看起来更像是包容性更强、科技更发达的古典雅典(例如,一个由随机选举产生的中央全能机构,定期通过全民公投重新授权,并持续通过网络平台接受民众意见),而不是我们现在所处的那些功能失调的选举民主制度。

开放民主:重塑二十一世纪的民众统治

https://politicalscience.yale.edu/publications/open-democracy-reinventing-popular-rule-twenty-first-century

海伦·兰德莫尔

《开放民主》描述了一种新的民主模式,它将权力开放给普通公民,从而增强现代社会的包容性、响应性和问责制。

对古希腊人来说,民主意味着聚集在公共场所,辩论由数百名随机选举产生的公民组成的议会制定的法律。对冰岛维京人来说,民主意味着每年夏天在田野里聚会,讨论各种问题,直到达成共识。我们当代的代议制民主与此截然不同。现代议会戒备森严,似乎只有某些特定人群——拥有合适的西装、口音、财富和人脉——才能获准进入。我们需要诊断代议制政府存在的问题,并力图恢复古代议会失去的开放性。

在《开放民主》一书中,作者提出了一种全新的民主范式,即权力真正惠及普通公民。

海伦·兰德莫尔(Hélène Landemore)推崇“轮流代表和被代表”的理念,而非直接民主模式。她支持一种全新的、非选举式的民主代表制理解,并建议以“开放的小型公众”为核心构建政治机构。“小型公众”是由随机抽选的公民组成的大型陪审团,他们聚集在一起,与更广泛的公众共同制定政治体的法律和政策。她还捍卫五项制度原则,作为开放民主的基石:参与权、协商、多数原则、民主代表制和透明度。《开放民主》表明,将普通公民而非精英置于民主权力的核心,不仅是民有、民治、民享政府的真正含义,而且是切实可行的,在今天比以往任何时候都更加迫切需要。

对《开放民主》的赞誉

“在这本引人深思且技艺精湛的著作中,兰德莫尔对民主危机的回应出人意料:更多的民主。由于民主面临的威胁在于不可信赖的民选领导人的统治,兰德莫尔提议通过随机选举程序,建立由普通公民组成的机构来治理国家并参与政策制定,这依赖于集体民意的敏感性和国家公民的多样性。《开放民主》一书雄心勃勃且意义重大,它以引人入胜的方式将丰富的民主理论与相关的实例融为一体。”

——罗伯特·Y·夏皮罗,哥伦比亚大学

“《开放民主》一书不可或缺且鼓舞人心,它对选举代表制的失败进行了深刻的批判,并深入探讨了过去十年中为应对这些失败而发明或实现的民主创新。任何对民主运作感到失望的人都应该读读这本书。”

——简·曼斯布里奇,哈佛大学

“《开放民主》一书广泛引用当代文献和重要辩论,对民主理论与实践做出了重要且真正原创的贡献。兰德莫尔提出了一个全新且激进的观点,阐述了我们在改革、革新和重新思考民主制度方面应采取的方向。”

——西蒙娜·钱伯斯,加州大学欧文分校

Open Democracy: Reinventing Popular Rule for the Twenty-First Century

by Hélène Landemore (Author) Oct. 13 2020

"Open Democracy envisions what true government by mass leadership could look like."―Nathan Heller, New Yorker
How a new model of democracy that opens up power to ordinary citizens could strengthen inclusiveness, responsiveness, and accountability in modern societies

To the ancient Greeks, democracy meant gathering in public and debating laws set by a randomly selected assembly of several hundred citizens. To the Icelandic Vikings, democracy meant meeting every summer in a field to discuss issues until consensus was reached. Our contemporary representative democracies are very different. Modern parliaments are gated and guarded, and it seems as if only certain people―with the right suit, accent, wealth, and connections―are welcome. Diagnosing what is wrong with representative government and aiming to recover some of the lost openness of ancient democracies, Open Democracy presents a new paradigm of democracy in which power is genuinely accessible to ordinary citizens.

Hélène Landemore favors the ideal of “representing and being represented in turn” over direct-democracy approaches. Supporting a fresh nonelectoral understanding of democratic representation, Landemore recommends centering political institutions around the “open mini-public”―a large, jury-like body of randomly selected citizens gathered to define laws and policies for the polity, in connection with the larger public. She also defends five institutional principles as the foundations of an open democracy: participatory rights, deliberation, the majoritarian principle, democratic representation, and transparency.

Open Democracy demonstrates that placing ordinary citizens, rather than elites, at the heart of democratic power is not only the true meaning of a government of, by, and for the people, but also feasible and, today more than ever, urgently needed.

Hélène Landemore - DEFENDING "OPEN" DEMOCRACY

https://amc.sas.upenn.edu/h%C3%A9l%C3%A8ne-landemore-open-democracy 

DEMOCRACY IS IN TROUBLE, OR SO WE ARE TOLD. In this essay I argue that the crisis of democracy as we know it—which has come to be symbolized by Trump or Brexit—is a sign of its vitality as a normative ideal. People the Western world over resent, distrust, and sometimes rebel against their political personnel and institutions precisely because these institutions fail to deliver the promise of democracy: people’s power. The silver lining of otherwise disenchanting events is that they tap into an obvious desire to regain control and wrest power from run-away elites, seen as no longer responsive to, and responsible for, the wishes of the population.

It is misguided to reject democracy in response to recent events. All in all, we simply don’t know what a genuine democracy is capable of. The only two versions we’ve experimented with so far are fifth and fourth century BC Athens and the various versions of electoral democracy we’ve iterated since the eighteenth century. But Classical Athens was profoundly exclusionary (of women and slaves among others) and in some ways too direct, allowing for oligarchs to take over the Assembly and bring down the democracy twice. And today’s democracies are so imperfectly representative that they generate in turn authoritarian and populist backlashes that also bring up the risk of tyranny. We can do better.                                                

Democracy is, in theory, the only regime type that empowers us all equally. Why is that still worth defending today?  For one thing, it makes us smarter. In the face of uncertainty, a fundamental circumstance of politics, we are better off, as a collective, giving everyone an equal right to speak up and thus a chance to contribute a possibly crucial argument, perspective, or piece of information—no matter who they are, what they look like, how articulate they sound, or how well they do on standard political science quizzes. Including all on equal terms in deliberation about our collective fate is, in that sense, smarter than any alternative decision-making process.

By contrast, regimes that exclude all, or even just subsets of their population, condemn themselves to the risk of blind spots, that is, the risk of missing important arguments, information, and perspectives from the excluded sectors of society. This might not matter in the short or even medium run, if the environment is sufficiently stable and the regime is lucky. But, in the long run and on average, a regime that taps all the brains of its population, as much as it can, is bound to outperform a regime that excludes too many of them (Landemore 2013).

Of course, involving all at all times, especially in mass commercial societies where citizens are busy with other pursuits, is not possible. We need representative schemes of governance, that is, delegation of decision-making power to a subset of the citizenry. Even Classical Athens, which counted only around 30,000 (male) citizens, depended on proto-representative forms of governance, whereby a few made decisions on behalf of the many. But the need to delegate power does not have to mean restricting the pool of potential representatives to a narrow subset of the population. In a democracy, the status of representative should be open to all. Additionally, the deliberations of representatives should remain open to the input of the larger population. Only then do we ensure that all the relevant information, perspectives, and arguments make it into the deliberation preceding the decision-making that ultimately binds us all.

How should we, then, choose democratic representatives? The Greeks used lotteries. This is why Aristotle defined democracy as “ruling and being ruled in turn.” We moderns, when reinventing democracy in the eighteenth century, chose elections. The argument at the time was that elections transfer consent and thus legitimacy to the rulers and, consequently, their choices. The presence of consent, on the egalitarian basis of “one person, one vote,” is supposed to give electoral regimes their democratic credentials.

But elections are ultimately an aristocratic selection mechanism, which depends on the principle of “distinction.” Elections only empower those who stand out socially in the eyes of most. Elections cause an oligarchic drift that it is hard for democratic regimes to resist. This is why the Greeks never used them to staff political offices. Even as the franchise has kept expanding and the restrictions on who can run for office have disappeared, access to power, in electoral democracies, remains limited to those who are either rich, well-connected, or sufficiently ambitious and talented to become either rich or well-connected. Democracy today, for most of us, means “being ruled” and almost never “ruling.”

As a result of this oligarchic drift built into their DNA, electoral democracies tend to suffer from the blind spots one would typically expect from oligarchic regimes. They ignore, among others, their poor, their young, their minorities of color, and the losers of economic policies like free trade or austerity measures. This is so because these people rarely make it to positions of elected power (or any power at all). Yet if they are not in the room where laws and policies get deliberated on and made, not only do their interests fail to be taken into account, but, even if they are taken into account, such interests are not as likely to be served properly, for lack of the proper first-hand perspective applied to explaining and promoting them. In the US, these blind spots of electoral regimes have harmed the welfare of the African-American community since the birth of American democracy and, more recently, the welfare of the working class since the rise of neo-liberalism in the 1980s.

This elitist bias of electoral democracy cannot be easily fixed and may only get worse with time. Unfortunately, when things become too bad – when minorities are neglected for too long, when majorities themselves start to feel too great of a disconnect between what they want and what elites get them – there is a risk that ancient Greeks were also familiar with: the demagogue. While the demagogue promises to fight the elites and return power to the masses, he—it’s usually a he—often ends up bringing down the democracy itself. As Plato foresaw it, democracy is always at risk of becoming tyranny.

What can be done to prevent this transformation? The temptation, in some quarters, is to have less democracy; to add further checks and balances; to insulate certain policy areas from majoritarian preferences and hand over political power to impartial and knowledgeable experts, at the national or supra-national level. Looking to the well-run models of China and Singapore, or to courts and independent agencies, some suggest various forms of meritocracy, technocracy, or “epistocracy.”

My view is that we need more democracy, not less. The flaws in our current democratic models come from their being excessively, rather than insufficiently, elitist and epistocratic. It is because electoral democracies only empower a fraction of their population that they fail to deliver good policies and, in turn, breed both authoritarian and populist backlashes. A genuine democracy would be open to all citizens equally and all the smarter as a result.

In my new book manuscript, I imagine and defend a new paradigm of democracy, which I call “open democracy.” In open democracy the exercise of power is as little gated as possible, even as it depends on representative structures to make it possible. Open democracy thus uses various non-electoral forms of democratic representation, including lottocratic representation, based on random selection; self-selected representation, based on self-selection; and liquid representation, which is based on vote delegation and theoretically renders accessible to more people the status of elected representative.

In addition to being differently representative, the legislative power, in open democracy, remains open to the input of all ordinary citizens, thus ensuring that no relevant idea, argument, or information goes wasted. This can be rendered possible, for example, via the existence of crowdsourcing platforms where citizens can submit their ideas and engage their representatives.

What would an open democracy based on different forms of non-electoral yet democratic representation look like? Much more research and small-scale experimentation must be conducted before this question can be answered with any confidence. My guess is that it would look a lot more like an inclusive and technologically empowered version of Classical Athens (with, e.g., a central all-purpose randomly selected body regularly re-authorized by referendum and constantly open to popular input via online platforms) than the dysfunctional electoral democracies we live in.

Open Democracy: Reinventing Popular Rule for the Twenty-First Century

https://politicalscience.yale.edu/publications/open-democracy-reinventing-popular-rule-twenty-first-century

Open Democracy describes a new model of democracy that opens up power to ordinary citizens could strengthen inclusiveness,  responsiveness, and accountability in modern societies

To the ancient Greeks, democracy meant gathering in public and debating laws set by a randomly selected assembly of several hundred citizens. To the Icelandic Vikings, democracy meant meeting every summer in a field to discuss issues until consensus was reached. Our contemporary representative democracies are very different. Modern parliaments are gated and guarded, and it seems as if only certain people - with the right suit, accent, wealth, and connections - are welcome. Diagnosing what is wrong with representative government and aiming to recover some of the lost openness of ancient democracies, Open Democracy presents a new paradigm of democracy in which power is genuinely accessible to ordinary citizens.

Hélène Landemore favors the ideal of “representing and being represented in turn” over direct-democracy approaches. Supporting a fresh nonelectoral under-standing of democratic representation, Landemore recommends centering political institutions around the “open mini-public” — a large, jury-like body of randomly selected citizens gathered to define laws and policies for the polity, in connection with the larger public. She also defends five institutional principles as the foundations of an open democracy: participatory rights, deliberation, the majoritarian principle, democratic representation, and transparency.  Open Democracy demonstrates that placing ordinary citizens, rather than elites, at the heart of democratic power is not only the true meaning of a government of, by, and for the people, but also feasible and, today more than ever, urgently needed.

Praise for Open Democracy

“ In this provocative and masterful book, Landemore’s surprising answer to the crisis of democracy is more democracy. Since the threat to democracy is rule by untrustworthy elected leaders, Landemore proposes establishing—through random selection processes—bodies of ordinary citizens to govern and engage in policymaking, which banks on the sensibility of collective public opinion and the diversity of a nation’s citizenry. Ambitious and important, Open Democ-racy brings together the richness of democratic theory and relevant examples in a most engaging way.”
—Robert Y. Shapiro, Columbia University

“ Indispensable and inspiring, Open Democracy provides a penetrating critique of the failures of electoral representation and an in-depth exploration of the dem-ocratic innovations invented or brought to fruition in the last decade to combat these failures. Anyone frustrated with the workings of democracy should read this book.”
—Jane Mansbridge, Harvard University

“ Engaging a wide range of contemporary literature and prominent debates, Open Democracy makes an important and truly original contribution to demo-cratic theory and practice. Landemore presents a new and radical view of the direction we should be headed in reforming, renovating, and rethinking our democratic institutions.”
—Simone Chambers, University of California, Irvine


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