关于非授权主义已死的报道被过分夸大了

IF 1.9 2区 社会学 Q1 LAW University of Chicago Law Review Pub Date : 2003-09-25 DOI:10.2139/SSRN.449020
L. Alexander, S. Prakash
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These two principles underlay the conventional nondelegation doctrine, which maintains that if a statutory delegation of discretion to third parties sweeps too broadly, it will constitute an impermissible delegation of legislative power.In their recent article, Interring the Nondelegation Doctrine, Professors Eric Posner and Adrian Vermeule reconsider the meaning of Locke's epigram and reassess the foundations of the nondelegation doctrine. In their view, the \"legislative power\" generally references the right to vote on bills in a legislature along with the other de jure powers of legislators. Moreover, Locke's maxim means no more than that the legislature cannot make third parties \"legislators\" by giving them the power to vote in the legislature. So when Article I of the Constitution speaks of \"legislative Powers,\" it refers to those powers individually held by federal legislators, including most prominently the right to vote on bills. Furthermore, under their \"naive\" nondelegation doctrine, these are the legislative powers that cannot be delegated to third parties. Under their view, neither Locke's epigram nor the federal Constitution go further and prohibit broad delegations of discretion to third parties because such delegations do not create legislators and hence cannot delegate legislative power. Accordingly, should Congress delegate to some third party its entire power to \"regulate Commerce,\" Congress has not delegated legislative power at all in either a Lockean or a constitutional sense.Professors Posner and Vermeule deserve praise for reexamining fundamental assumptions about the nature and meaning of legislative power and of the nondelegation doctrine. When scholars don't periodically reconsider conventional wisdom, scholarship stagnates and shibboleths are unreflectively accepted as constitutional gospel.Having said this, we doubt that they truly have laid to rest either the traditional understanding of legislative power or the conventional nondelegation doctrine. Our disagreements are both normative and descriptive. We cannot discern (and they do not advance) a plausible rationale for simultaneously permitting Congress to delegate large amounts of lawmaking or rulemaking discretion to third parties while strictly forbidding delegations of the right to vote in Congress. Moreover, as an original matter, we believe that Locke and the Constitution used the phrase \"the legislative power\" to refer to the power to make rules for society and not the ability to exercise the de jure powers of legislators. Hence, if one concludes that Congress cannot delegate legislative powers (either because such grants are not authorized or, alternatively, are implicitly forbidden), one must be worried that at some point, the delegation of large amounts of discretion might constitute a delegation of legislative power.Furthermore, whatever meaning one should ascribe to the phrase \"legislative Powers\" found in the Article I Vesting Clause, we think that Posner and Vermeule too quickly reject the conventional reading of Locke's nondelegation principle. Their revisionist reading simply cannot make sense of Locke's repeated claims that only those whom the people have appointed as legislators can make rules for the people. Locke denied that the legislative power entailed the power to make third parties into legislators by delegating to them the right to make laws. He was not merely claiming that those with the legislative power could not cede votes in the legislature.Finally, we conclude that if Posner and Vermeule applied the relentless criticism that they visit upon the conventional nondelegation doctrine to the naive prohibition on the delegation of legislative voting rights, the naive prohibition would seem equally dead. The \"heavy burden\" that they insist applies to the conventional nondelegation doctrine makes all implicit constraints extremely dubious. Perhaps we should prepare for two interments rather than one.Although we have sympathy for the conventional nondelegation doctrine, space considerations prevent us from mounting an adequate defense of it here. Hence, all we claim is that if one concludes that the delegation of legislative power is impermissible (for whatever reason), one must have in mind a prohibition akin to the conventional nondelegation doctrine. If, as Posner and Vermeule claim and as many others believe, the Constitution prohibits the delegation of legislative power, the nondelegation doctrine is alive and kicking.","PeriodicalId":51436,"journal":{"name":"University of Chicago Law Review","volume":"35 1","pages":"1297-1329"},"PeriodicalIF":1.9000,"publicationDate":"2003-09-25","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":"11","resultStr":"{\"title\":\"Reports of the Nondelegation Doctrine's Death Are Greatly Exaggerated\",\"authors\":\"L. Alexander, S. Prakash\",\"doi\":\"10.2139/SSRN.449020\",\"DOIUrl\":null,\"url\":null,\"abstract\":\"The nondelegation doctrine has roots that extend as far back as three centuries, or so most of us suppose. In The Second Treatise of Government, John Locke listed four constraints on the legislative power, the last that the power, being derived from the People by a positive voluntary Grant and Institution, can be no other, than what that positive Grant conveyed, which being only to make Laws, and not to make Legislators, the Legislative can have no power to transfer their Authority of making Laws, and place it in other hands.Most contemporary readers have assumed two things about Locke's statement: First, that the legislative power was the power to make rules for society. Second, that this delegated power to make laws could not be transferred to third parties because the people had never authorized their agents to further delegate. These two principles underlay the conventional nondelegation doctrine, which maintains that if a statutory delegation of discretion to third parties sweeps too broadly, it will constitute an impermissible delegation of legislative power.In their recent article, Interring the Nondelegation Doctrine, Professors Eric Posner and Adrian Vermeule reconsider the meaning of Locke's epigram and reassess the foundations of the nondelegation doctrine. In their view, the \\\"legislative power\\\" generally references the right to vote on bills in a legislature along with the other de jure powers of legislators. Moreover, Locke's maxim means no more than that the legislature cannot make third parties \\\"legislators\\\" by giving them the power to vote in the legislature. So when Article I of the Constitution speaks of \\\"legislative Powers,\\\" it refers to those powers individually held by federal legislators, including most prominently the right to vote on bills. 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When scholars don't periodically reconsider conventional wisdom, scholarship stagnates and shibboleths are unreflectively accepted as constitutional gospel.Having said this, we doubt that they truly have laid to rest either the traditional understanding of legislative power or the conventional nondelegation doctrine. Our disagreements are both normative and descriptive. We cannot discern (and they do not advance) a plausible rationale for simultaneously permitting Congress to delegate large amounts of lawmaking or rulemaking discretion to third parties while strictly forbidding delegations of the right to vote in Congress. Moreover, as an original matter, we believe that Locke and the Constitution used the phrase \\\"the legislative power\\\" to refer to the power to make rules for society and not the ability to exercise the de jure powers of legislators. Hence, if one concludes that Congress cannot delegate legislative powers (either because such grants are not authorized or, alternatively, are implicitly forbidden), one must be worried that at some point, the delegation of large amounts of discretion might constitute a delegation of legislative power.Furthermore, whatever meaning one should ascribe to the phrase \\\"legislative Powers\\\" found in the Article I Vesting Clause, we think that Posner and Vermeule too quickly reject the conventional reading of Locke's nondelegation principle. Their revisionist reading simply cannot make sense of Locke's repeated claims that only those whom the people have appointed as legislators can make rules for the people. Locke denied that the legislative power entailed the power to make third parties into legislators by delegating to them the right to make laws. 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引用次数: 11

摘要

非授权原则的根源可以追溯到三个世纪以前,至少我们大多数人是这么认为的。在《政府论第二篇》中,约翰·洛克列出了对立法权的四个限制,最后一个是,权力是由积极的自愿授予和机构从人民那里获得的,只能是积极的授予所传达的,这只是制定法律,而不是制定立法者,立法者无权转移他们的立法权,并将其置于他人手中。大多数当代读者对洛克的陈述有两个假设:第一,立法权是为社会制定规则的权力。第二,这种制定法律的授权不能转移给第三方,因为人民从来没有授权他们的代理人进一步授权。这两个原则是传统的非授权原则的基础,该原则认为,如果法定将自由裁量权委托给第三方的范围太广,它将构成不允许的立法权授权。在他们最近的文章《探究非授权主义》中,Eric Posner教授和Adrian Vermeule教授重新考虑了洛克警句的含义,并重新评估了非授权主义的基础。在他们看来,“立法权”一般是指立法机关对法案的投票权以及立法者的其他法律权力。此外,洛克的格言只不过意味着立法机关不能通过赋予第三方在立法机关中投票的权力而使他们成为“立法者”。因此,当宪法第一条提到“立法权”时,它指的是联邦立法者个人拥有的权力,其中最重要的是对法案的投票权。此外,根据他们“天真”的非授权原则,这些立法权是不能委托给第三方的。在他们看来,洛克的警句和联邦宪法都没有进一步禁止将自由裁量权广泛委托给第三方,因为这种委托不会产生立法者,因此不能授权立法权。因此,如果国会将其“监管商业”的全部权力委托给某个第三方,无论从洛克的观点还是从宪法的观点来看,国会都根本没有授权立法权。波斯纳和维米尔教授重新审视了立法权和非授权原则的本质和意义的基本假设,值得赞扬。当学者们不定期地重新考虑传统智慧时,学术就会停滞不前,教条就会被不假思索地接受为宪法的福音。话虽如此,我们怀疑它们是否真的推翻了对立法权的传统理解或传统的非授权原则。我们的分歧既是规范性的,也是描述性的。在允许国会将大量立法或规则制定的自由裁量权委托给第三方的同时,严格禁止国会投票权的委托,我们无法辨别(他们也没有提出)一个合理的理由。此外,作为一个原创性问题,我们认为洛克和宪法使用的“立法权”一词指的是为社会制定规则的权力,而不是立法者行使法理权力的能力。因此,如果有人得出结论认为国会不能授权立法权(要么是因为这种授权没有得到授权,要么是因为这种授权是被暗中禁止的),那么人们一定会担心,在某种程度上,大量自由裁量权的授权可能构成立法权的授权。此外,无论我们应该赋予第一条授予条款中的“立法权”一词什么含义,我们认为波斯纳和维米尔都过快地拒绝了对洛克的非授权原则的传统解读。他们的修正主义解读根本无法理解洛克的反复主张,即只有那些被人民任命为立法者的人才能为人民制定规则。洛克否认立法权包含通过授予第三方制定法律的权利而使他们成为立法者的权力。他不仅仅是在宣称那些拥有立法权的人不能放弃在立法机构中的投票权。最后,我们得出结论,如果波斯纳和维米尔将他们对传统的非授权原则的无情批评应用于对立法投票权授权的天真禁止,那么天真禁止似乎也会同样死亡。他们坚持认为“沉重的负担”适用于传统的非授权原则,这使得所有隐含的约束都极其可疑。也许我们应该准备两次葬礼而不是一次。虽然我们对传统的非授权原则表示同情,但由于空间方面的考虑,我们无法在这里为它进行充分的辩护。 因此,我们所主张的是,如果一个人得出结论认为立法权的授权是不允许的(无论出于何种原因),那么他必须考虑到一种类似于传统的非授权原则的禁止。如果正如波斯纳和维米尔所主张的,以及其他许多人所相信的那样,宪法禁止立法权的授权,那么非授权原则就是活生生的。
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Reports of the Nondelegation Doctrine's Death Are Greatly Exaggerated
The nondelegation doctrine has roots that extend as far back as three centuries, or so most of us suppose. In The Second Treatise of Government, John Locke listed four constraints on the legislative power, the last that the power, being derived from the People by a positive voluntary Grant and Institution, can be no other, than what that positive Grant conveyed, which being only to make Laws, and not to make Legislators, the Legislative can have no power to transfer their Authority of making Laws, and place it in other hands.Most contemporary readers have assumed two things about Locke's statement: First, that the legislative power was the power to make rules for society. Second, that this delegated power to make laws could not be transferred to third parties because the people had never authorized their agents to further delegate. These two principles underlay the conventional nondelegation doctrine, which maintains that if a statutory delegation of discretion to third parties sweeps too broadly, it will constitute an impermissible delegation of legislative power.In their recent article, Interring the Nondelegation Doctrine, Professors Eric Posner and Adrian Vermeule reconsider the meaning of Locke's epigram and reassess the foundations of the nondelegation doctrine. In their view, the "legislative power" generally references the right to vote on bills in a legislature along with the other de jure powers of legislators. Moreover, Locke's maxim means no more than that the legislature cannot make third parties "legislators" by giving them the power to vote in the legislature. So when Article I of the Constitution speaks of "legislative Powers," it refers to those powers individually held by federal legislators, including most prominently the right to vote on bills. Furthermore, under their "naive" nondelegation doctrine, these are the legislative powers that cannot be delegated to third parties. Under their view, neither Locke's epigram nor the federal Constitution go further and prohibit broad delegations of discretion to third parties because such delegations do not create legislators and hence cannot delegate legislative power. Accordingly, should Congress delegate to some third party its entire power to "regulate Commerce," Congress has not delegated legislative power at all in either a Lockean or a constitutional sense.Professors Posner and Vermeule deserve praise for reexamining fundamental assumptions about the nature and meaning of legislative power and of the nondelegation doctrine. When scholars don't periodically reconsider conventional wisdom, scholarship stagnates and shibboleths are unreflectively accepted as constitutional gospel.Having said this, we doubt that they truly have laid to rest either the traditional understanding of legislative power or the conventional nondelegation doctrine. Our disagreements are both normative and descriptive. We cannot discern (and they do not advance) a plausible rationale for simultaneously permitting Congress to delegate large amounts of lawmaking or rulemaking discretion to third parties while strictly forbidding delegations of the right to vote in Congress. Moreover, as an original matter, we believe that Locke and the Constitution used the phrase "the legislative power" to refer to the power to make rules for society and not the ability to exercise the de jure powers of legislators. Hence, if one concludes that Congress cannot delegate legislative powers (either because such grants are not authorized or, alternatively, are implicitly forbidden), one must be worried that at some point, the delegation of large amounts of discretion might constitute a delegation of legislative power.Furthermore, whatever meaning one should ascribe to the phrase "legislative Powers" found in the Article I Vesting Clause, we think that Posner and Vermeule too quickly reject the conventional reading of Locke's nondelegation principle. Their revisionist reading simply cannot make sense of Locke's repeated claims that only those whom the people have appointed as legislators can make rules for the people. Locke denied that the legislative power entailed the power to make third parties into legislators by delegating to them the right to make laws. He was not merely claiming that those with the legislative power could not cede votes in the legislature.Finally, we conclude that if Posner and Vermeule applied the relentless criticism that they visit upon the conventional nondelegation doctrine to the naive prohibition on the delegation of legislative voting rights, the naive prohibition would seem equally dead. The "heavy burden" that they insist applies to the conventional nondelegation doctrine makes all implicit constraints extremely dubious. Perhaps we should prepare for two interments rather than one.Although we have sympathy for the conventional nondelegation doctrine, space considerations prevent us from mounting an adequate defense of it here. Hence, all we claim is that if one concludes that the delegation of legislative power is impermissible (for whatever reason), one must have in mind a prohibition akin to the conventional nondelegation doctrine. If, as Posner and Vermeule claim and as many others believe, the Constitution prohibits the delegation of legislative power, the nondelegation doctrine is alive and kicking.
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来源期刊
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期刊介绍: The University of Chicago Law Review is a quarterly journal of legal scholarship. Often cited in Supreme Court and other court opinions, as well as in other scholarly works, it is among the most influential journals in the field. Students have full responsibility for editing and publishing the Law Review; they also contribute original scholarship of their own. The Law Review"s editorial board selects all pieces for publication and, with the assistance of staff members, performs substantive and technical edits on each of these pieces prior to publication.
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