民国宪制设计的庞德方案:安全与自由的衡平
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摘要
近代中国政潮汹涌,立宪频仍,实验了欧美成功宪制的诸多范例,然未尝胜绩。国民政府根据孙中山博稽中外的五权宪法理论,绍承清季以来的立宪之路。美国法儒庞德此时应邀来华,试图以宪法文本的解释与适用取代政治道德、政治权势之变来实现宪法的制度化。其将三民主义解读为国族统一、私权保障与服务国家。服务国家对应孙文之万能政府;而私权保障则暗合孙文所谓"听人民的话"。庞德借助这一契合重构民国宪制,从而导向其以盎格鲁美国宪政民主模式为底本,因应服务国家中社会安全与个体自由衡平之需要的司法中心模式。具体而言之,即强势且独立的司法权、弱势立法权、必要而节制的行政扩权这一服务国家理念下维持文明生活方式不易的宪制方案。
In modern China,we have experienced different constitutional modes which achieved great success in western country. However,none of them brought constitutional government for Chinese people. GMD government drafted Chinese Constitution according to Sun Yat-sen ' teachings and recruited Roscoe Pound as legal adviser. Instead of political morality and political powers,Pound tried to take the interpretation and application of Constitution as the right way to constitutional government. As his analysis,the Three People's Principle means Nation Unity,Bills of Rights,Service State. This interpretation just parallel with Sun's omnicompetent government and People 's rights. From this perspective,Pound tried to find a solution to keep balance between security and freedom in service state which sharp expansion of administrative power was inevitable. Pound suggested that strong and independent Judicial power,limited Legislation,expansion and controlled administrative power is the way to protect and develop civilized society and constitutional government for China.
In modern China,we have experienced different constitutional modes which achieved great success in western country. However,none of them brought constitutional government for Chinese people. GMD government drafted Chinese Constitution according to Sun Yat-sen ' teachings and recruited Roscoe Pound as legal adviser. Instead of political morality and political powers,Pound tried to take the interpretation and application of Constitution as the right way to constitutional government. As his analysis,the Three People's Principle means Nation Unity,Bills of Rights,Service State. This interpretation just parallel with Sun's omnicompetent government and People 's rights. From this perspective,Pound tried to find a solution to keep balance between security and freedom in service state which sharp expansion of administrative power was inevitable. Pound suggested that strong and independent Judicial power,limited Legislation,expansion and controlled administrative power is the way to protect and develop civilized society and constitutional government for China.
引文
[1]近代中国自晚清立宪以迄南京国民政府,共出台十多个宪法文件:《钦定宪法大纲》、《宪法重大信条》、《中华民国临时政府组织大纲》、《中华民国临时约法》、《中华民国宪法草案》(民国二年)、《中华民国约法》、《中华帝国宪法案》、《中华民国宪法草案》(民六宪草)、《中华民国宪法草案》(安福宪法)、《中华民国宪法》(曹锟宪法)、《中华民国宪法案》(国宪草案)、《训政纲领》、《中华民国约法草案》、《中华民国训政时期约法》、《中华民国宪法草案》(五五宪草)、《中华民国宪法草案修正草案》(期成宪草)、《中华民国宪法草案》(政协宪草)、《中华民国宪法》。
[2]有论者指出近代中国宪法从开始即试图调和总统制与内阁制,于1913年“天坛宪草”半总统制即已基本定型,1946年民国宪法正式确立比较典型的半总统制,独立完成这一混合政体的创作。参见聂鑫:《近代中国宪制的发展》,载《中国法学》2015年第6期,第202页。
[3]参见张千帆:《宪法学导论》,法律出版社2004年版,第87页。
[4]参见严泉:《〈天坛宪法草案〉与民初宪政选择的失败》,载《开放时代》2003年第5期,第43-52页。
[5]同注3引书,第106页。
[6]参见梁漱溟:《国共两党和谈中的孙科》,载《梁漱溟全集》(第7卷),山东人民出版社1993年版,第195-196页。
[7]See Frank J.Goodnow,Reform in China,9 Am.Pol.Sci.Rev.209,211-224(1915).
[8]康有为努力从传统政治与文化权威汲取养分塑造新的政治权威以实现宪制的构建,参见章永乐:《共和的诤友:康有为〈拟中华民国宪法草案〉评注》,载《中外法学》2010年第2期,第243页;余英时将儒家的仁恕、墨家的兼爱、道家的无为与西方强调人之尊严、博爱、个人自由反对政治力量的过分介入等比附,认为中国人文传统不乏与现代民主精神相契合的因子,参见余英时:《钱穆与中国文化》,上海远东出版社1994年版,第286页。
[9]参见王人博:《宪政之累---近代中国宪政文化的沉思》,载《现代法学》1997年第4期,第104页。
[10]民国时期对庞德宪制观点的批判见于1946年12月上海《大公报》发表的社论《辟“不合国情说”》及戴文葆《异哉,所谓内阁制不合国情!》。参见王健编:《西法东渐---外国人与中国法的近代变革》,中国政法大学出版社2001年版,第130-137页。
[11]参见李超:《论民初宪法顾问有贺长雄的制宪思想》,载《湖北社会科学》2015年第7期,第106-114页;张晋藩:《“变”与“不变”:20世纪上半期中国法律近代化转型的趋向问题》,载《史学月刊》2004年第7期,第5-7页。
[12]参见王健:《庞德与中国近代的法律改革》,载《现代法学》2001年第5期,第29页。
[13]庞德用服务国家(service state)一词而非福利国家(welfare state),其解释为后者无法涵盖前者政府之职能且后者往往有不少华而不实无法兑现的允诺;关于何为一般福利、公众福利等之认知亦人言言殊。See Roscoe Pound,Law in the Service State:Freedom versus Equality,36 A.B.A.J.977,977(1950).
[14]See Chun-Mai Carsun,Political Structure in the Chinese Draft Constitution,243 The Annals of the American Academy of Political and Social Science 67,75(1946).
[15]Carsun,supra note 14,at 75.
[16]See Roscoe Pound,Development of a Chinese Constitutional Law,23 N.Y.U.L.Q.Rev.375,383(1948).
[17]See Roscoe Pound,The Chinese Constitution,22 N.Y.U.L.Q.Rev.194,196(1947).
[18]Pound,supra note 16,at 384.
[19]参见孙中山:《孙中山全集》(第九卷),中华书局1986年版,第306页。
[20]Pound,supra note 16,at 384.
[21]《中华民国宪法》第24条:“凡公务员违法侵害人民之自由或权利者,除依法律受惩戒外,应负刑事及民事责任。被害人民就其所受损害,并得依法律向国家请求赔偿。”
[22]Pound,supra note 16,at 385-386.
[23]Pound,supra note 13,at 977.
[24]Pound,supra note 17,at 194.
[25]See Roscoe Pound,Justice According to Law,14 Colum.L.Rev.103,115(1914).
[26]Pound,supra note 16,at 382.
[27]同注19引书,第394页。
[28]Pound,supra note 16,at 386-387.
[29]See Roscoe Pound,The Rule of Law and the Modern Social Welfare State,7 Vand.L.Rev.1,10(1953-1954).
[30]See Roscoe Pound,The Constitution:Its Development,Adaptability,and Future,23 A.B.A.J.739,739-740(1937).
[31]See Roscoe Pound,Law and Service State:Freedom versus Equality,36 A.B.A.J.977,977-980(1950).
[32]Id.at 1050-1053.
[33]See Roscoe Pound,The Ideal Elements in Law 357-358(Indianapolis,Ind.:Liberty Fund 2002).
[34]Pound,supra note 17,at 210.
[35]See Roscoe Pound,The Place of the Judiciary in a Democratic Polity,27 A.B.A.J.133,135-139(1941).
[36]但庞德反复强调三权分立模式无法适应服务国家之需要,因此保持其制衡精义而为权力再分配与界定,将司法分支移位于宪制架构之中心,恢复普通法的传统。庞德论说常将法官、法庭或司法权置于宪制的核心,乃过去与未来的掌控者与法律的活圣人。See Roscoe Pound,Mechanical Jurisprudence,8 Colum.L.Rev.605,622(1908).
[37]Pound,supra note 17,at 214.
[38]同注19引书,第321页。
[39]Pound,supra note 29,at 19.
[40]Pound,supra note 17,at 224.
[41]See Roscoe Pound,The American Idea of Government,10 Vital Speeches of the Day 681,683(1944).
[42]Pound,supra note 17,at 223.
[43]See Pound,supra note 16,at 392.
[44]庞德肯认美国三权分立的宪制保障违背了行政追求效率的原则,但指出这是为了实现更高的价值。Pound,supra note 35,at134.
[45]Pound,supra note 17,at 227.
[46]Id.at 229-230.
[47]Id.at 222.
[48]Pound,supra note 16,at 390.
[49]See Roscoe Pound,Possibilities of Law For World Stability,1 Syracuse L.Rev.337,340(1949-1950).
[50]Pound,supra note 17,at 228-229.
[51]Pound,supra note 31,at 978.
[52]参见张君劢:《中华民国民主宪法十讲》,商务印书馆1947年版,第65-68页。
[53]Pound,supra note 33,at 86.
[54]Pound,supra note 35,at 136.
[55]Pound,supra note 17,at 204.
[56]Id.at 225.
[57]Id.at 196.
[58]Id.at 227-228.
[59]Id.at 194-232.
[60]Pound,supra note 29,at 21-22.
[61]Pound,supra note 17,at 228.
[62]Pound,supra note 30,at 742.
[63]Pound,supra note 17,at 206.
[64]Pound,supra note 16,at 387.
[65]Pound,supra note 49,at 341-342.
[66]Pound,supra note 29,at 21.
[67]Pound,supra note 16,at 389.
[68]Pound,supra note 17,at 222.
[69]Id.at 229.
[70]Id.at 224-225.
[71]Pound,supra note 16,at 390.
[72]庞德指出在行政机关不断压迫立法机关提高其司法权能及免除司法审查,不断蚕食司法权的管辖范畴,法的统治将蜕变为行政独裁。See Roscoe Pound,Report of the Special Committee on Administrative Law,63 Annu.Rep.A.B.A.331,338-339(1938).
[73]See Roscoe Pound,JurisprudenceⅡ,414(St.Paul,West Pub.Co.1959).
[74]See Roscoe Pound,The Spirit of The Common Law,176(Marshall Jones Company,1931).
[75]Pound,supra note 73,at 457.
[76]See Roscoe Pound,Executive Justice,55 Am.L.Reg.137,146(1907).
[77]Pound,supra note 35,at 135-136.
[78]Pound,supra note 72,at 344.
[79]Pound,supra note 25,at 25.
[80]Roscoe Pound papers,at pt.3,Reel 61,190,121(Harvard Law School Archive 601559).
[81]See Roscoe Pound,Law and Court in China:Progress in the Administration of Justice,34 A.B.A.J.273,275(1948).
[82]庞德关于中国法学教育美国化改革方案的详尽论述,参见庞德:《关于中国法律教育问题的初步报告》,载王健编:《西法东渐---外国人与中国法的近代变革》,中国政法大学出版社2001年版,第504-539页。
[83]Pound,supra note 41,at 681.
[84]Pound,supra note 29,at 29.
[85]Pound,supra note 30,at 739.
[86]Pound,supra note 16,at 390.
[87]Pound,supra note 35,at 136.
[88]Pound,supra note 16,at 378.
[89]Pound,supra note 30,at 741.
[90]但康有为或许是个例外,其关于美式独立司法权以制衡强行政权的论述,参见章永乐:《共和的诤友:康有为〈拟中华民国宪法草案〉评注》,载《中外法学》2010年第2期,第240页。
[91]同注2引文,第201页。
[2]有论者指出近代中国宪法从开始即试图调和总统制与内阁制,于1913年“天坛宪草”半总统制即已基本定型,1946年民国宪法正式确立比较典型的半总统制,独立完成这一混合政体的创作。参见聂鑫:《近代中国宪制的发展》,载《中国法学》2015年第6期,第202页。
[3]参见张千帆:《宪法学导论》,法律出版社2004年版,第87页。
[4]参见严泉:《〈天坛宪法草案〉与民初宪政选择的失败》,载《开放时代》2003年第5期,第43-52页。
[5]同注3引书,第106页。
[6]参见梁漱溟:《国共两党和谈中的孙科》,载《梁漱溟全集》(第7卷),山东人民出版社1993年版,第195-196页。
[7]See Frank J.Goodnow,Reform in China,9 Am.Pol.Sci.Rev.209,211-224(1915).
[8]康有为努力从传统政治与文化权威汲取养分塑造新的政治权威以实现宪制的构建,参见章永乐:《共和的诤友:康有为〈拟中华民国宪法草案〉评注》,载《中外法学》2010年第2期,第243页;余英时将儒家的仁恕、墨家的兼爱、道家的无为与西方强调人之尊严、博爱、个人自由反对政治力量的过分介入等比附,认为中国人文传统不乏与现代民主精神相契合的因子,参见余英时:《钱穆与中国文化》,上海远东出版社1994年版,第286页。
[9]参见王人博:《宪政之累---近代中国宪政文化的沉思》,载《现代法学》1997年第4期,第104页。
[10]民国时期对庞德宪制观点的批判见于1946年12月上海《大公报》发表的社论《辟“不合国情说”》及戴文葆《异哉,所谓内阁制不合国情!》。参见王健编:《西法东渐---外国人与中国法的近代变革》,中国政法大学出版社2001年版,第130-137页。
[11]参见李超:《论民初宪法顾问有贺长雄的制宪思想》,载《湖北社会科学》2015年第7期,第106-114页;张晋藩:《“变”与“不变”:20世纪上半期中国法律近代化转型的趋向问题》,载《史学月刊》2004年第7期,第5-7页。
[12]参见王健:《庞德与中国近代的法律改革》,载《现代法学》2001年第5期,第29页。
[13]庞德用服务国家(service state)一词而非福利国家(welfare state),其解释为后者无法涵盖前者政府之职能且后者往往有不少华而不实无法兑现的允诺;关于何为一般福利、公众福利等之认知亦人言言殊。See Roscoe Pound,Law in the Service State:Freedom versus Equality,36 A.B.A.J.977,977(1950).
[14]See Chun-Mai Carsun,Political Structure in the Chinese Draft Constitution,243 The Annals of the American Academy of Political and Social Science 67,75(1946).
[15]Carsun,supra note 14,at 75.
[16]See Roscoe Pound,Development of a Chinese Constitutional Law,23 N.Y.U.L.Q.Rev.375,383(1948).
[17]See Roscoe Pound,The Chinese Constitution,22 N.Y.U.L.Q.Rev.194,196(1947).
[18]Pound,supra note 16,at 384.
[19]参见孙中山:《孙中山全集》(第九卷),中华书局1986年版,第306页。
[20]Pound,supra note 16,at 384.
[21]《中华民国宪法》第24条:“凡公务员违法侵害人民之自由或权利者,除依法律受惩戒外,应负刑事及民事责任。被害人民就其所受损害,并得依法律向国家请求赔偿。”
[22]Pound,supra note 16,at 385-386.
[23]Pound,supra note 13,at 977.
[24]Pound,supra note 17,at 194.
[25]See Roscoe Pound,Justice According to Law,14 Colum.L.Rev.103,115(1914).
[26]Pound,supra note 16,at 382.
[27]同注19引书,第394页。
[28]Pound,supra note 16,at 386-387.
[29]See Roscoe Pound,The Rule of Law and the Modern Social Welfare State,7 Vand.L.Rev.1,10(1953-1954).
[30]See Roscoe Pound,The Constitution:Its Development,Adaptability,and Future,23 A.B.A.J.739,739-740(1937).
[31]See Roscoe Pound,Law and Service State:Freedom versus Equality,36 A.B.A.J.977,977-980(1950).
[32]Id.at 1050-1053.
[33]See Roscoe Pound,The Ideal Elements in Law 357-358(Indianapolis,Ind.:Liberty Fund 2002).
[34]Pound,supra note 17,at 210.
[35]See Roscoe Pound,The Place of the Judiciary in a Democratic Polity,27 A.B.A.J.133,135-139(1941).
[36]但庞德反复强调三权分立模式无法适应服务国家之需要,因此保持其制衡精义而为权力再分配与界定,将司法分支移位于宪制架构之中心,恢复普通法的传统。庞德论说常将法官、法庭或司法权置于宪制的核心,乃过去与未来的掌控者与法律的活圣人。See Roscoe Pound,Mechanical Jurisprudence,8 Colum.L.Rev.605,622(1908).
[37]Pound,supra note 17,at 214.
[38]同注19引书,第321页。
[39]Pound,supra note 29,at 19.
[40]Pound,supra note 17,at 224.
[41]See Roscoe Pound,The American Idea of Government,10 Vital Speeches of the Day 681,683(1944).
[42]Pound,supra note 17,at 223.
[43]See Pound,supra note 16,at 392.
[44]庞德肯认美国三权分立的宪制保障违背了行政追求效率的原则,但指出这是为了实现更高的价值。Pound,supra note 35,at134.
[45]Pound,supra note 17,at 227.
[46]Id.at 229-230.
[47]Id.at 222.
[48]Pound,supra note 16,at 390.
[49]See Roscoe Pound,Possibilities of Law For World Stability,1 Syracuse L.Rev.337,340(1949-1950).
[50]Pound,supra note 17,at 228-229.
[51]Pound,supra note 31,at 978.
[52]参见张君劢:《中华民国民主宪法十讲》,商务印书馆1947年版,第65-68页。
[53]Pound,supra note 33,at 86.
[54]Pound,supra note 35,at 136.
[55]Pound,supra note 17,at 204.
[56]Id.at 225.
[57]Id.at 196.
[58]Id.at 227-228.
[59]Id.at 194-232.
[60]Pound,supra note 29,at 21-22.
[61]Pound,supra note 17,at 228.
[62]Pound,supra note 30,at 742.
[63]Pound,supra note 17,at 206.
[64]Pound,supra note 16,at 387.
[65]Pound,supra note 49,at 341-342.
[66]Pound,supra note 29,at 21.
[67]Pound,supra note 16,at 389.
[68]Pound,supra note 17,at 222.
[69]Id.at 229.
[70]Id.at 224-225.
[71]Pound,supra note 16,at 390.
[72]庞德指出在行政机关不断压迫立法机关提高其司法权能及免除司法审查,不断蚕食司法权的管辖范畴,法的统治将蜕变为行政独裁。See Roscoe Pound,Report of the Special Committee on Administrative Law,63 Annu.Rep.A.B.A.331,338-339(1938).
[73]See Roscoe Pound,JurisprudenceⅡ,414(St.Paul,West Pub.Co.1959).
[74]See Roscoe Pound,The Spirit of The Common Law,176(Marshall Jones Company,1931).
[75]Pound,supra note 73,at 457.
[76]See Roscoe Pound,Executive Justice,55 Am.L.Reg.137,146(1907).
[77]Pound,supra note 35,at 135-136.
[78]Pound,supra note 72,at 344.
[79]Pound,supra note 25,at 25.
[80]Roscoe Pound papers,at pt.3,Reel 61,190,121(Harvard Law School Archive 601559).
[81]See Roscoe Pound,Law and Court in China:Progress in the Administration of Justice,34 A.B.A.J.273,275(1948).
[82]庞德关于中国法学教育美国化改革方案的详尽论述,参见庞德:《关于中国法律教育问题的初步报告》,载王健编:《西法东渐---外国人与中国法的近代变革》,中国政法大学出版社2001年版,第504-539页。
[83]Pound,supra note 41,at 681.
[84]Pound,supra note 29,at 29.
[85]Pound,supra note 30,at 739.
[86]Pound,supra note 16,at 390.
[87]Pound,supra note 35,at 136.
[88]Pound,supra note 16,at 378.
[89]Pound,supra note 30,at 741.
[90]但康有为或许是个例外,其关于美式独立司法权以制衡强行政权的论述,参见章永乐:《共和的诤友:康有为〈拟中华民国宪法草案〉评注》,载《中外法学》2010年第2期,第240页。
[91]同注2引文,第201页。