三种分离理论:Kelsen、Schmitt和Pashukanis以及法律形式的历史发展

Matthew Bolton
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摘要

本文考察了汉斯·凯尔森、卡尔·施密特和叶夫根尼·帕舒卡尼斯的著作中对法律、国家和经济关系的不同看法。在转向施密特和帕舒卡尼斯各自的批评之前,凯尔森将法律描述为一种动态的、“自我调节”的规范体系,建立在他对国家和法律的“二元论”分离的拒绝之上。尽管他们之间存在分歧,但两人都同意凯尔森忽视了法律的历史基础——对施密特来说,法律是“政治”的主权,对帕舒卡尼斯来说,法律是商品交换的社会关系。这篇文章以一种最非凯尔森主义的方式回应了这些批评,利用关于早期现代国家形成的历史社会学文献,对施密特和帕舒卡尼斯的历史叙述提出质疑。它认为Schmitt和Pashukanis的理论所依赖的政治权力和商品交换的形式是历史上特定的可能性,由权力关系的一般化和去人格化的相同过程打开,允许一个自治的“公共”法律规范体系。因此,与现代法律发展的固定因果基础不同,平等者之间的“政治”和交换与法律存在一种“统一差异”的关系。文章的结论是,凯尔森的基本规范概念最好解释为一种捕捉新的可能性和责任的尝试,它打开了一个规范系统,其最终的理由现在只在于其自身。
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Three theories of separation: Kelsen, Schmitt and Pashukanis and the historical development of the legal form
This article examines the different approaches to the relation between law, state and economy in the works of Hans Kelsen, Carl Schmitt and Evgeny Pashukanis. It begins with Kelsen’s depiction of law as a dynamic and ‘self-regulating’ system of norms, founded on his rejection of ‘dualist’ separations of state and law, before turning to Schmitt and Pashukanis’s respective critiques. For all their differences, both agree Kelsen ignores the historical basis of the law – for Schmitt, the sovereign power of ‘the political’, for Pashukanis, the social relations of commodity exchange. The article responds to these criticisms in a most un-Kelsenian manner, drawing upon historical sociological literature on early modern state formation to cast doubt on both Schmitt and Pashukanis’s historical accounts. It argues that the forms of political power and commodity exchange upon which Schmitt and Pashukanis’s theories rely were historically specific possibilities opened up by the same process of generalisation and depersonalisation of power relations that allowed for an autonomous ‘public’ system of legal norms. Thus, rather than the fixed causal ground for the development of modern law, ‘the political’ and exchange between equals exist in a relation of ‘difference-in-unity’ with the law. The article concludes that Kelsen’s notion of the Grundnorm is best explained as an attempt to capture the new possibilities and responsibilities opened up a normative system whose ultimate justification now lies only within itself.
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