大众宪政与承认规则:谁的实践是美国法律的基础?

IF 2 2区 社会学 Q1 LAW Northwestern University Law Review Pub Date : 2004-10-12 DOI:10.2139/SSRN.603442
M. Adler
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引用次数: 15

摘要

每个法律体系中的法律都是某个社会群体实践的功能。简而言之,法律是一种基于社会的规范。哈特(H.L.A Hart)在他的著作《法律的概念》(The Concept of Law)中提出了这一观点,他认为法律源于一种社会规则,即所谓的承认规则。但是,社会事实在法律的产生中起着基础性作用这一命题,是所有英美传统现代法学家的共识:不仅是哈特及其实证主义学派的追随者,最突出的是约瑟夫·拉兹(Joseph Raz)和朱尔斯·科尔曼(Jules Coleman),还有反实证主义者罗纳德·德沃金(Ronald Dworkin),他认为法律必须将道德考虑与社会事实综合起来。但是,哪个群体的做法是每个法律体系的基础呢?特别是,哪个团体的做法是美国法律的基础?自哈特以来的实证主义者普遍指出,官员或法官是公认的共同体(我的术语):这个群体的规则、惯例、合作活动或在某种意义上的实践是社会事实,而特定法律体系的法律是从这些社会事实中衍生出来的。因此,哈特和所有其他实证主义者都认为,美国官员或美国法官是美国法律的公认群体。本文试图探讨实证主义者对承认共同体的官方或以法官为中心的描述,与现在被宪法学者如拉里·克莱默、罗伯特·波斯特、瑞瓦·西格尔、马克·图什内特、杰里米·沃尔德伦和许多其他人广泛捍卫的流行宪政之间的紧张关系。当然,受欢迎的宪法主义者会想要宣称,美国公民,而不是法官或官员,才是美国法律的认可群体。我把这种立场称为深度大众宪政。事实上,德沃金对法律的描述,在其为全体公民产生关联道德义务的野心中,隐含着深刻的大众宪政主义。在这一点上,德沃金和实证主义者之间存在一个迄今未被注意到的分歧。对于这种分歧,我的解决方案是,通过提供一种与群体相关的法律解释,消解这种分歧——对于根深蒂固的大众立宪主义者与根深蒂固的官方或司法至上主义者之间的辩论。社会规范,如着装或饮食规范,显然是群体相关的。一个特定的穿着或饮食行为可能相对于一个群体的社会规范是合适的,但相对于另一个群体的社会规范是不合适的。本文将群体相关的观点从社会规范扩展到法律本身,并特别关注美国法律和宪政。第一部分是法学文献综述。它显示了哈特和后继者实证主义者是如何将承认规则视为官员或官员的某些子集(法官)所从事的社会实践,而不是一般的公民,并认为德沃金相反地将公民视为一个整体作为他的承认共同体。第二部分和第三部分对法律的群体相关解释进行了辩护。第二部分以美国的经验为参照,论证了多个群体可以同时实例化支撑法律的社会事实,可能是惯例、社会规范、共享合作活动(SCA)或其他东西。在美国宪法历史上的许多时期,按照部门、党派、地区、州-联邦、宗教或其他界线界定的多个官方或公民团体,都接受了相互竞争的美国法律承认规则。第三部分认为,法律的功能,主要是作为一个解释性或规范性的结构,坚持一个单一的承认共同体为每一个法律制度将是武断的,无论是解释的目的和规范的目的。第四部分考虑了群体相对解释对美国宪法理论的许多影响,特别是对大众宪政的影响。
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Popular Constitutionalism and the Rule of Recognition: Whose Practices Ground U.S. Law?
The law within each legal system is a function of the practices of some social group. In short, law is a kind of socially grounded norm. H.L.A Hart famously developed this view in his book, "The Concept of Law," by arguing that law derives from a social rule, the so-called rule of recognition. But the proposition that social facts play a foundational role in producing law is a point of consensus for all modern jurisprudents in the Anglo-American tradition: not just Hart and his followers in the positivist school, most prominently Joseph Raz and Jules Coleman, but also the anti-positivist Ronald Dworkin, who argues that law necessarily synthesizes moral considerations with social facts.But which group's practices ground each legal system? In particular, which group's practices undergird U.S. law? Positivists since Hart have universally pointed to either officials or judges as the recognitional community (my term): the group whose rules, conventions, cooperative activities, or practices in some other sense are the social facts from which the law of a given legal system derives. So Hart and all other positivists would identify either U.S. officials or U.S. judges as the recognitional community for U.S. law.This Article grapples with the tension between the positivist's official- or judge-centered account of the recognitional community and the popular constitutionalism now so widely defended by constitutional scholars such as Larry Kramer, Robert Post, Reva Siegel, Mark Tushnet, Jeremy Waldron, and many others. Surely the popular constitutionalist would want to claim that U.S. citizens, not judges or officials, are the recognitional community for U.S. law. I term this position deep popular constitutionalism.Indeed, it turns out that Dworkin's account of law, in its ambition to generate associative moral obligations for the citizenry as a whole, implies deep popular constitutionalism. Here there is a disagreement, hitherto unnoticed, between Dworkin and the positivists. My solution to this disagreement - to the debate between deep popular constitutionalists and deep official or judicial supremacists - is to dissolve it by providing a group-relative account of law. Social norms, such as norms of dress or eating, are clearly group-relative. A particular dressing or eating behavior may be socially appropriate relative to one group's norms, yet socially inappropriate relative to another's. This Article extends the group-relative view from social norms to law itself, with a particular focus on U.S. law and constitutionalism.Part I surveys the jurisprudential literature. It shows how Hart and successor positivists identify the rule of recognition as a social practice engaged in by officials or some subset of officials (judges), rather than citizens generally, and argues that Dworkin by contrast sees the citizenry as a whole as his-recognitional community. Parts II and III defend a group-relative account of law. Part II argues, with reference to the U.S. experience, that multiple groups can simultaneously instantiate the kind of social fact that undergirds law, be it a convention, a social norm, a shared cooperative activity (SCA), or something else. At many points in U.S. constitutional history, multiple official or citizen groups, defined along departmental, partisan, regional, state-federal, religious, or other lines, have accepted competing rules of recognition for U.S. law. Part III argues that law functions, primarily, as either an explanatory or a normative construct, and that insisting on a single recognitional community for each legal system would be arbitrary, both for explanatory purposes and for normative purposes. Part IV considers the many implications of the group-relative account for U.S. constitutional theory - in particular, for popular constitutionalism.
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