社會民主與法治─對Franz Leopold Neumann法理論的幾個反思─

Social Democracy and the Rule of Law: Some Reflections on Franz Leopold Neumann's Theory of Law

顏厥安(Yen, Chueh-An)

諾伊曼 ； 批判理論 ； 批判相對主義 ； 功能變遷 ； 主權 ； 權力 ； 法治 ； 自然法 ； 盧梭 ； 社會民主 ； Neumann ； critical theory ； critical relativism ； change of function ； sovereignty ； power ； the rule of law ； natural law ； Rousseau ； social democracy

輔仁法學

65期（2023 / 06 / 01）

1 - 60

繁體中文;英文

本文以法蘭克福學派第一代主要的法律與政治理論家，弗朗茲．里奧波德．諾伊曼（Franz Leopold Neumann,1900－1954）的法理論為研究對象。首先說明了諾伊曼1923年第一本博士論文的論述，尤其是批判的相對主義，以及其對法政策以及民主體制的意義。接著探討諾伊曼威瑪時期的著作，指出他受到奧地利馬克思主義者Karl Renner的影響，發展出法律體制的「社會功能命題」。諾伊曼流亡英國與美國之後（1933－），針對法治問題完成系列著作。諾伊曼透過兩個研究視角來探討，第一個是法社會學（或歷史／政治社會學），指出主權與法治，是現代國家不可或缺的兩大基本構成要素，並由此發展出「社會本位」（society-based）的法理論。諾伊曼也由此分析自然法論與權力的關係，尤其是如何運用自然法理論於政治權力鬥爭。第二個角度是規範性的政治哲學。這部份除了說明「一般法律」（general law）的三種功能外（尤其是保障自由、平等與財產權的倫理功能），諾伊曼認為盧梭的民主自然法論最具備進步思想要素。這種理論認為社會民主，亦即社會財富的平等，才能創造個別意志與總意志的同一性，才會有真正的民主。唯有社會民主下的法治，才是不需要全然借助外在國家權力的強制力即可真正保障自由與平等的法治。

This paper focuses on the legal theory of Franz Leopold Neumann (1900-1954), the leading legal and political theorist of the first generation of the Frankfurt School. It starts with an elucidation of Neumann's first doctoral dissertation in 1923, especially critical relativism and its implications for legal policy and democratic institutions. It then discusses the writings of Neumann during Weimar period, pointing out that the "social function thesis" of the legal institution he has developed was under the influence of the Austrian Marxist Karl Renner. After Neumann went into exile in Britain and the United States (1933-), he completed a series of works on the issue of the rule of law. Neumann conducted this research through two perspectives. The first is sociology of law (or historical/political sociology), pointing out that sovereignty and the rule of law are two indispensable basic components of a modern state, and from this he developed "Society-based" legal theory. Neumann also analyzed the relationship between natural law theory and power, especially how to use natural law theory in power struggle. The second perspective is normative political philosophy. In addition to explaining the three functions of "general law" (especially the ethical function of safeguarding liberty, equality and property rights), Neumann deemed Rousseau's democratic natural law theory has the most progressive elements. This theory holds that social democracy, that is, the equality of social wealth, can create the identity of the individual will and the general will, and only then can there be true democracy. Only the rule of law under social democracy can truly guarantee freedom and equality without completely resorting to the coercive force of external state power.