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題名:從人民概念論自由民主憲政體制之穩定維持
作者:李俊增 引用關係
校院名稱:國立臺灣大學
系所名稱:政治學研究所
指導教授:吳庚
許介鱗
學位類別:博士
出版日期:2001
主題關鍵詞:人民人民主權憲法共識意志法治HobbesLockeRousseauSieyesCarl SchmittHabermasJohn Rawls
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論文摘要
上帝或上帝法在中古世紀歐洲的政治世界同時履行了三項角色功能:提供世俗權力與法律之正當性泉源,實現法律主治以及維繫政治上整合。現代自由民主國家同樣存在權力與法律之正當性、法治以及政治整合三個問題。本文並認為由於現代自由民主憲政國家之建立,奠定在人民主權概念之上,因此這三項問題的解決進一步涉及人民之一元性存在與多元主義事實間之矛盾;人民意志與憲法之治間潛藏的緊張。而這些問題以及涉及之矛盾難題即攸關自由民主憲政體制之維持與自由民主政治社會之穩定整合。針對此,本文之核心論旨指出必須依賴具共識型同質性之人民的存在,這些問題與矛盾才能迎刃而解。
在本文之論述中,Hobbes以其孤獨、理性自利之原子式個人的人性假設,根本上眾多個人不可能構成一個可以集體行動之人民,因此他對於政治權力與法律之正當性,以及國家整合這兩項難題,求諸於位居所有個人之外,之上的國家主權者(或者更具體而言,國王主權者)。另一方面,Hobbes則徹底放棄法律主治的傳統,法律不過是王之命令。至所謂自由、平等公民相互約定共同生活之規範,在Hobbes看來,只是暫定協議,隨時可能被撕毀,背棄,不足以形成政治社會。政治社會之所以可能的關鍵在於主權者之意志決定。Hobbes之理論說明了許多國家追求自由民主憲政的失敗經驗。
  至於Rousseau則企圖建構一種具有機式同質性的人民概念。在此一概念下,個人間之差異不再具有重要意義,個人與人民整體形成一種有機式的關係,人民在每個方面均係以一種一元整體而存在。這使Rousseau之人民主權者,不但有效解決政治權力與法律之正當性問題,政治社會更是獲得了完美的整合,其間不可能存在數個人民代理人競奪正當性的問題,也沒有人民之一元存在與多元主義事實的矛盾有待解決。更重要的是,具有機式同質性之人民概念下,個別公民恆以公共利益為念,亦即Rousseau以人民之普遍意志的觀念,解決了意志與法律主治間之矛盾,主權者人民之直接統治即是依法統治;而法律同時作為一個人民之意志決定的產物與所有自由、平等公民間相互約定之共同規範,亦不存在矛盾。只是Rousseau這種具有機式同質性之人民概念,除非進行徹底的人性改造,並重塑每個國家之社會、經濟,乃至地理等條件,否則,在今日自由民主社會,根本不可能存在。
  Schmitt立於政治神學之觀點下,來理解人民、民主、憲法等概念。因此提出「政治性」概念作為這些概念之基礎,據此人民之存在,必須其同質性能夠構成友敵區別之基礎,使得能夠與其他人民相區別,並得以發現自己之特定同一性。在Schmitt之理論中,這種人民概念具關鍵重要性,因為它一方面是權力與法律之正當性基礎,並使得國家之整合得以實現,甚至自由憲政體制的維持也必須依賴這種人民的存在。進一步言,Schmitt認為制憲行為僅僅表現為一個人民就其政治的實存態樣與形式,自由地作下決斷。憲法對他而言並非當為規範,而只是具政治性統一的人民就其存在型態所作的決斷。而Schmitt之民主觀念,民主的功能只是在維持或甚至是創造人民之同質性。因此,在Schmitt看來,自由憲政秩序的維持與自由主義國家之整合,即必須仰賴由全體人民選舉產生,為人民意志之具體化的總統,以其中立地位,行使決斷權限,維持人民意志之精神的一元性,使人民意志之同質性維持活力,阻止人民在多元主義情境下,退化為自利個人與各種特殊社會勢力聚集的烏合之眾。
  最後,自由主義者如Locke與Rawls之人民概念,係以公民們對於政治社會成立之目的,或憲法基本原則之共識為基礎。Locke理論中,共識形成係奠立在人們基於其天賦理性,對於自然法與應該恪遵自然法之共同理解上,共識之焦點是公正地執行自然法。在此一共識基礎上,一個人民得以構成,並具有自主行動能力以建立政府,以及抵抗政府暴政,維護政治社會成立之目的。
Rawls之理論雖然未特別強調人民概念,但他認為自由民主之政治社會一旦就政治之正義概念存在交疊共識,這表示社會之基本結構為最合理的政治之正義概念所有效規範,在這種良序社會中,所有的公民具有共同的使命,即同心協力實現其共享之最終目的──建立且使得此正義之民主制度長期合理的運作,並共享此一目的達成時之榮耀,就此而言,確實可以說這些公民已構成了一個人民。
當然,這個人民所以能夠構成,正是奠基在合理之交疊共識上,而民主社會所以能夠就一個或一組政治之正義概念形成交疊共識,則是由於下述幾個原因:(a).在其公共之政治文化中,存在某些共享之基本觀念,這些基本觀念正是發展出關於政治之正義概念的共享資源;(b).各合理的整全性原則在社會上居於優勢,那些不合理的整全性原則未能獲得足夠力量來破壞這個社會之基本正義;(c).此政治之正義概念僅應用於社會的基本結構;(d).政治之正義概念是一種不預設立場的觀點;(e).人是理性的且是講理的。
Rawls並指出政治社會中就政治之正義概念存在有交疊共識,即表示政治權力之運用具備了正當性,其次,也意味這個社會獲致了社會統一性最合理的基礎,在其中關於憲政本質事項或基本正義問題的公共討論,能夠總是(或至少幾乎總是)在此最合理的政治正義概念所表述的理由基礎上,合理的決定。
本文之核心論旨與Locke及Rawls接近,強調自由民主憲政體制之維護及自由民主政治社會的穩定,終極而言必須依賴公民們對於憲法之基本原則能夠形成共識。進一步言,本文認為穩定之自由民主政治社會中,儘管無法避免多元主義事實,儘管存在許多利益及價值觀念等之分歧,但政治社會成員之間仍必須共享政治社會成立之目標,此一目標即具體化為憲法之基本原則。當然,對於憲法基本原則形成共識的程度,容有不同。有的政治社會如Rawls所言,或可就一個或一組範圍含蓋不甚廣泛的政治之正義概念,形成交疊共識,如此則其憲政體制運作必然相當良好而穩定;有的政治社會雖無法就特定之政治正義概念形成共識,但至少必須對於自由民主憲法之基本原則──自由及平等原則──具有共識。就此而言,政治社會之成員間存在著同質性,本文稱為「共識型同質性」。具有這種共識型同質性之政治社會所有成員,即構成一個以實現憲法之基本原則此一共享之目標為導向之具集體行動能力的人民,從而可以說存在一個人民整體,具有單一之共同意志。這種人民之一元性存在與自由主義政治社會中之多元主義事實併存不背。另一方面,此一人民之一元性存在避免了由於政治社會成員對政治社會成立之共同生活目的之願景的歧異,所導致各種自稱代表人民真正意志之人民代理人間的鬥爭,從而提供了政治社會政治權力與法律之穩定的正當性基礎,並維繫了政治社會之整合。從另一個角度而言,這表示自由、平等之公民雖然各自懷有不同之利益或價值觀念,但對於經營共同生活之共同目的與條件,形成共識,從而這些目的及條件構成了一切政治權力或強制性規範之公所接受之共同理據。亦即任何公權力的行使或強制性規範的制訂,均能在此共同生活之目的及條件所提供的理由基礎上,合理的決定,並取得其正當性。
此外,本文不採德國之實質立憲國家的概念,反對人民主權者在制定憲法之後即自殘身亡,人民只是立於憲法秩序之下作為憲政機關而存在這種觀念。另一方面,本文亦與Sieyès等之觀點相異,亦即本文認為人民主權者雖然恆在,但並非立於憲法規範之上,之外,不受憲法規範之拘束。反之,本文借用Rousseau普遍意志理論的觀點,指出由於主權者人民對於憲法之基本原則存在共識,人民意志恆以憲法基本原則之實現為依歸。亦即具共識型同質性之人民,自我馴服於憲法之基本原則下,遵循自己意志所訂立之基本規範原則而行,就此而言,主權者人民意志自我轉變為穩定、普遍之意志,甚至可以說主觀之意志狀態轉型為穩定、持續之客觀存在,從而當涉及關於憲法本質事項或基本正義問題的討論及決定時,人民依循公共理性而行。從另一角度而言,這意味憲法對於政治社會所有公民而言,不是一種暫定協議,不是一種貫徹個別公民或團體一己意識形態或謀取一己利益之工具,由於對憲法之基本原則存在共識,所以自由、平等公民共同參與同意之憲法被視為是經營共同生活之共同規範。本文認為即是在此意義下,自由民主政治社會中,人民主權與法治間之矛盾得以化解,自由民主憲政秩序得以穩定維持。
總之,現代自由民主國家存在權力與法律之正當性、法治以及政治整合三個基本問題,這些問題攸關自由民主憲政體制之維持與自由民主政治社會之穩定整合。欲解決這些問題,須進一步處理人民之一元性存在與多元主義事實間之矛盾;人民意志與憲法之治間潛藏的緊張;以及憲法表現為一個人民意志決定之產物與另一方面又被理解為所有自由、平等公民共同參與、相互約定之共同規範,這兩種意涵間的矛盾等難題。就本文之觀點而言,只有當自由民主政治社會之成員對於憲法之基本原則形成共識,從而構成一個具共識型同質性,以憲法基本原則之實現為導向之具集體行動能力的人民,這些問題及其涉及之矛盾困難才可能舒解。
除了上述政治哲學層次之論述,本文並依D. Held之論點「成功的政治理論要求對原則作哲學分析,以及對政治過程與結構作經驗的了解」,兼採歷史與經驗研究途徑,探討法國大革命期間憲政運作之實際情形,美國之制憲經驗以及瑞士公投之實際運作,以佐證本文論證。
參考書目
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