无专断权力:正当法律程序的原旨主义理论

Randy E. Barnett, Evan D. Bernick
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引用次数: 5

摘要

“正当法律程序”可以说是美国宪法中最具争议和最常被提起诉讼的短语。虽然原旨主义的主流观点长期以来一直认为,第五和第十四修正案的正当法律程序条款仅仅是“程序”的保证,根本不限制立法的“实质”,但近年来,原旨主义学者对历史证据进行了新的调查,并得出结论,认为存在某种形式的实质性正当程序的重要案例。在本文中,我们运用我们的诚信原旨主义解释和建构理论来回顾和批判这些发现。我们从调查正当法律程序条款的“信”开始——也就是说,它们文本的原始含义。接下来,为了发展可以实施这一含义的理论,我们确定了这些条款的原始功能——它们的“精神”——即禁止仅仅依靠意志而不是宪法上适当的理由对个人任意行使权力。我们认为,这两个条款中“正当法律程序”的原始文字和精神要求联邦和州立法者通过颁布实际旨在实现符合宪法的正当目的的立法来善意地行使其自由裁量权,并要求州和联邦法官都有义务善意地确定立法是否旨在实现符合宪法的正当目的。最后,我们面对有关各州保留权力范围的棘手问题,承认与所谓的“洛克纳时代”相关的“警察权力”法理学中的缺陷,并描述了一种更好地保护所有“人”免受专断权力侵害的方法。通过这样做,我们帮助州和联邦立法者明确联邦和州立法者可以追求的符合宪法的正当目的;帮助州和联邦法官审查立法者对这些目标的追求;并帮助公众监督立法和司法人员的工作表现。
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No Arbitrary Power: An Originalist Theory of the Due Process of Law
“Due process of law” is arguably the most controversial and frequently-litigated phrase in the American Constitution. Although the dominant originalist view has long been that Fifth and Fourteenth Amendment’s Due Process of Law Clauses are solely “process” guarantees and don’t constrain the “substance” of legislation at all, originalist scholars have in recent years made fresh inquiries into the historical evidence and concluded that there’s a weighty case for some form of substantive due process. In this Article, we review and critique these findings employing our theory of good-faith originalist interpretation and construction. We begin by investigating the “letter” of the Due Process of Law Clauses — that is, the original meaning of their texts. Next, to develop doctrine by which this meaning can be implemented, we identify the clauses’ original function — their “spirit” — of barring arbitrary exercises of power over individuals that rest upon mere will rather than constitutionally proper reasons. We contend that the original letter and spirit of the “due process of law” in both clauses requires federal and state legislators to exercise their discretionary powers in good faith by enacting legislation that is actually calculated to achieve constitutionally proper ends and imposes a duty upon both state and federal judges to make a good-faith determination of whether legislation is calculated to achieve constitutionally proper ends. Finally, we confront hard questions concerning the scope of the states’ reserved powers, acknowledging the flaws in the “police-power” jurisprudence associated with the so-called “Lochner era” and we delineate an approach that will better safeguard all “person(s)” against arbitrary power. By so doing, we assist state and federal legislators by providing clarity concerning the constitutionally proper ends that federal and state legislators can pursue; aid state and federal judges by equipping them to review legislators’ pursuit of those ends; and help members of the public by enabling them to monitor the performance of their legislative and judicial agents.
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