[[alternative]]Policy feasibility analysis of citizen participatory budgeting in New Taipei City Government

碩士[[abstract]]隨著民主意識抬頭以及西方審議式民主的興起，公民參與公共政策討論議題已成為現代民主所推崇的方式，預算過程是決策過程也是資源重分配的過程，我國目前預算制度係採代議制度，因而產生財政資訊不對稱及人民疏離的現象。人民無法參與預算過程討論，往往導致政府決策不符合人民真正的期待，人民無法發揮監督功能。 參與式預算起源於巴西，民眾可以預算過程中參與並決定部分或全部資源分配，因巴西是實施參與式預算實踐的典範，現已蔓延至全球，從南美洲、擴展至北美、非洲、歐洲及亞洲，估計已有1,500多個城市已陸續推行。 回顧臺灣討論相關公民參與預算過程議題闕乏，本研究採文獻分析法及深入訪談法，以政治面、行政面及法律面三大面向，分析新北市政府導入公民參與預算過程的可行性。 研究發現有四，第一，參與式預算與審議式民主之概念皆源自於參與式民主，其共通性都是追求善政，並以公開、平等、涵容、理性討論而達成共識，目的是增加決策的正當性以及提升公民的智能。第二，如新北市要推行參與式預算，必須具備十大基本條件：市長意願、議會賦權、地方自治精神、社會組織參與、既定規則、公民意識、培育市民及官員的預算能力、資訊傳播、技術性、預算資訊公開等基本條件。第三，實施前需先將成本效益分析，並參考國外實施案例修正成適合當地環境條件的規則，整合現有資源後以循序漸進的方式來推動。第四，臺灣過去十年已有審議式民主經驗，推行公民參與預算前建議對於以往公民參與及審議式民主在台灣經驗與困境作為借鏡。 政策建議於考量前述基本條件後，分為短期與長期方式推動。初期建議結合民間團體以試辦方式來推動，參與金額也不宜太高。長期建議制訂作業規範、健全制度設計(如監督機制、專責機構)，時間成熟後再逐漸擴大公民參與範圍與金額。[[abstract]]Accompanying with the upsurge of the democratic consciousness and the rise of the deliberative democracy, the citizen participation in the discussion of the public policy issues has become an esteemed way of promoting the modernized democracy. The budgeting process is one of the procedures of policy-making and re-allocation of the resources. This country’s current budgeting system, on the representative basis, has produced the phenomena of the asymmetry of financial information and the sense of alienations. The lack of citizen’s participation in the discussion of budgeting process has led to the government’s policy-making failure of meeting the genuine expectation of the people and the display of supervising functions of the people. Participatory budgeting has originated in Brazil. Under this system, the public could participate in the budgeting process and decide the allocations of parts or all of the resources. With the practice of Brazilian participatory budgeting as the model, the said participatory budgeting has spread from South America to North America, Africa, Europe and Asia, with an estimated cities of more than 1,500 globally have put it in practice. With respect to the lack of the relevant public discussion process of participatory budgeting in Taiwan, this research has been mainly aimed, by ways of the analysis of the literature and in-depth interviews, to evaluate, on the political, administrative and legal aspects, the possibilities of New Taipei City Government’s introduction of the public participatory budgeting process. The research has four findings: Firstly, the concepts of participatory budgeting and deliberative democracy have been originated from the participatory democracy, with good governance as the common goal, with openness, equality, broad mindedness, rational discussions to reach the consensus, with the purposes of augmenting the legitimacy of policy-making and the upgrading of the smartness of citizens. Secondly, the New Taipei City Government should be equipped with the following requirements to promote the participatory budgeting: the wishes of the Mayor, the authorization of the City Counsel, the essence of the regional autonomy, the involvement with the social organizations, the established rules, the civil consciousness, the bring-up of budgeting capabilities of citizens and officials, the disseminations of information, the technical improvements, and the publicizing of the budgeting information. Thirdly, before implementation, it requires to take the necessary analysis of cost-effectiveness, to see what the overseas’ sample cases can be modeled or modified to meet with the local circumstances, and to integrate the existing resources and then to gradually promote it. Fourthly Taiwan, in the last ten years, has had the deliberative democracy experience; therefore the research recommends, before implementing the public participatory budgeting, the authorities concerned shall take the predicaments as a good lesson when promoting the public participation and deliberative democracy. After considering the above-mentioned requirements, this research would like to recommend to promote the participatory budgeting step by step: short-term and long-term stages. In the first stage, the research recommends to associate the concerned civil organizations to promote it as a pilot project with limited budget. For the long-term basis, it calls for to formulate the operational norms, to perfect the system-designs (such as the supervise mechanism and the responsible organizations). It then would be better to gradually enlarge the scope of public involvement and the budget when the time is ripe.[[tableofcontents]]目次 第一章 緒論 1 第一節 研究背景 1 第二節 研究動機與目的 3 第三節 研究限制 5 第二章 文獻回顧與理論探討 6 第一節 相關研究現況回顧 6 第二節 公民參與 8 第三節 審議式民主理論 14 第四節 參與式預算制度 28 第五節 可行性分析 36 第三章 國外公民參與預算經驗探討 37 第一節 巴西 37 第二節 其他國家案例 39 第三節 國外實施參與式預算面臨困境 44 第四章 研究設計 45 第一節 研究流程與研究架構 45 第二節 研究方法 48 第三節 訪談前後準備工作 50 第五章 參與式預算可行性 51 第一節 政治可行性 51 第二節 行政可行性 58 第三節 法律可行性 69 第六章 結論與建議 74 第一節 研究結果 74 第二節 政策建議 82 第三節 研究貢獻 89 第四節 後續研究建議 90 參考書目 91 附錄一：訪談大綱 97 附錄二：參與式預算制度簡介 99 附錄三：訪談紀錄重點彙整表 102 圖表目次 圖1-1 Arnstein公民參與的階梯 10 圖2-1國外實施參與式預算國家 30 圖3-1研究流程圖 46 圖4-1研究架構圖 47 表1-1 審議民主在台灣的實踐經驗 21 表2-1 訪談名冊 49[[note]]學號: 700640070, 學年度: 10