2.2. Second exclusion: Power-conferring rules cannot adequately be understood in terms of definitions, conceptual rules, or qualifying dispositions
In several publications after Normative Systems, Carlos Alchourron and Eugenio Bulygin have defended the view that power-conferring rules are definitions or conceptual rules. And Rafael Hernandez Marin understands them to be part of what he calls 'qualifying dispositions'.
In our opinion, these are simply two different ways of formulating the same thesis. Alchourron and Bulygin as well as Hernandez Marin think that the law consists of two kinds of provisions (although they concede the possibility — which none of them elaborates — that there may be legal provisions of other types): norms of conduct, on the one hand, and definitions or conceptual rules (Alchourron/ Bulygin) or qualifying dispositions (Hernandez Marin), on the other. In our view, Alchourron and Bulygin's concept of 'definition' or 'conceptual rule' is (at least as far as it con- cems the problem we are interested in here) the same concept Hernandez Marin designates with the expression 'qualifying disposition'. This will become clear when we look at their own formulations. Let us begin with Hernandez Marin:"In the law, there are dispositions of two different kinds: norms in the strict sense, i. e., norms of obligation (or prohibition), and qualifying norms. Perhaps there are also other types of dispositions, but here we will only consider norms and qualifying dispositions." (Hemdndez Mann 1984, 29)
"Qualifying dispositions are sentences attributing a property to, or including in a certain class, all entities with a certain property or belonging to a certain class." (Ibid., 30 f.)
Examples of such qualifying dispositions are dispositions about the ways in which property can be acquired, i. e., "dispositions qualifying the buyer, the heir, etc., of a thing as the owner of that thing"; "the disposition by which someone is appointed minister (mailman, professor, etc.) [which] qualifies as a minister (mailman, professor, etc.) all entities equal to that someone"; "dispositions by which it is defined what an official document is [which] qualify certain objects as official documents" (ibid., 31).
The same is true for rules conferring public or private normative powers:"Dispositions 'conceding private powers' (H. L. A. Hart) also are qualifying dispositions since they qualify as a will, a marriage, a sale, etc., acts performed by persons who satisfy certain requirements." (Ibid., 31)
"Norms of competence are qualifying dispositions. [...] Because, in fact, a norm or legal disposition of competence is a legal disposition qualifying as legal, or as belonging to the law, all sentences with a certain property: that they come from organ O, are in accordance with procedure P and on subject S. Hence, what a norm of competence qualifies are sentences or dispositions; and the qualification given by a legal norm of competence to the dispositions it refers to is that of being valid, or legal, or of belonging to the law. I must confess that I do not know of any other acceptable meaning of legal validity than that of belonging to the law, and in that sense, the expressions 'validity' and 'valid' are superfluous." (Ibid., 38 and 40)
"Most important are the consequences of that interpretation of norms of competence. One of them [...] is that norms of competence cannot be violated. And for that same reason, they also cannot be obeyed, they cannot be effective. As a consequence, since the application of the law is a 'form' of obeying the law or of legal norms being effective, norms of competence cannot be applied. Hence, it is not true that when a legal norm is created another legal norm — a legal norm of competence — is applied." (Ibid., 42; the same theses can be found in a more succinct form in Hemdndez Mann 1989, 160 ff.)
Let us now compare this with some passages from Alchourron and Bulygin:
"Definitions serve to identify the norms that contain the defined terms, and this is the only function of definitions." (Alchourron/Bulygin 1991a, 449)
"While in a norm certain words are used for referring to certain conducts in order to regulate or permit them, that is, to declare them obligatory, prohibited, or permitted, in a definition certain words are used in order to indicate the sense of other words that are mentioned, but not used." (Ibid., 455)
"Against those authors who, in order to preserve the idea that all legal norms are of the same kind (norms of obligation), assimilate nullity to a sanction, Hart argues that these are two completely different notions.
Hart's aim is to show that in the law there are two different types of rules which he calls (primary) rules of obligation and (secondary) power-conferring rules [...] Hart has hit upon a very important point here. Sanction and nullity are indeed — as Hart's argument shows — two distinct notions not reducible to each other. The different ways in which a sanction and nullity work attest to a radical difference between the two kinds of rules. Power-conferring rules are indeed different from rules of obligation, but one can ask the question: What are those rules? [...] Hart's argument clearly shows that power-conferring rules cannot be interpreted simply as permissive norms, because it does not make sense to speak of nullity in the case of a permissive norm. If someone does not make use of an authorization, he does not thereby perform an act that is null. In contrast, if there is a definition that stipulates what requirements an act, a document, or a norm must satisfy, absence of any one of the essential requirements will determine the nullity of the act, document, or norm [...]. The presence of both these institutions — sanctions and nullity — is a clear sign that there exist in the law two radically different kinds of rules: norms of conduct, on the one hand, and conceptual rules or definitions, on the other." (Ibid., 461 ff.)"The existence of these two kinds of institutions, sanctions and nullity, is a sign that there exist in the law (at least) two kinds of rules: norms of conduct and conceptual rules, or, in Searle's terminology, regulative and constitutive rules. [...] I think that the distinction between conceptual rules and rules of conduct or — what amounts to the same — between constitutive and regulative rules offers an interesting conceptual tool for an explication of the obscure concept of legal power (rechtliches Konnen). Its explication in terms of permission is rather problematic [...] It seems more promising to try to explain it in terms of conceptual or constitutive rules.
On that interpretation, the norms that establish the competence of the legislator (in its personal, material, and procedural aspects) define the concept of legislator and make the activity of legislating possible. [...] [I]t is not always easy to find out whether we are dealing with a (defining or constitutive) norm of competence or with a norm of conduct. I think one of the criteria could be the following: When the 'legal power' persists despite of the prohibition to exercise it [...] we are dealing with competence; when the prohibition causes the 'legal power' to disappear, we are dealing with a permission, a liberty, or a privilege conferred by a norm of conduct and not by a conceptual rule." (Bulygin 1991,496 f.)In our view, the characterization of power-conferring rules in terms of conceptual rules, definitions or qualifying dispositions does have advantages over their characterization in deontic terms. For the latter, the irregular exercise of normative powers was the crucial test that determined its failure. This is not the case with the position we are considering now. As the last quote from Bulygin shows, this conception is perfectly able to account for the fact that the domain of what a subject X can do, in the sense of having the normative power to do it, may not coincide with the domain of what that same subject can do, in the sense of being permitted to do it.
The problems with this position rather seem to be that it puts into one and the same category — that of definitions, conceptual or constitutive rules, or qualifying dispositions — legal provisions sufficiently different in relevant aspects as to require the elaboration of separate categories.[17] Consider, e. g., the following two examples (both would be conceptual rules, definitions or constitutive rules according to Alchourron/Bulygin, or qualifying dispositions according to Hernandez Marin):
1) "To the effects of the present law, 'rural estates' will be understood to mean estates with the following characteristics..."
2) "In order validly to lay down a will, the presence of two witnesses is required."
Apparently, the function of provision 1) is exclusively that of identifying the norms expressed by the norm-formulations which in the corresponding law use the term 'rural estate', while provision 2), besides the function of stipulating a necessary condition for certain expressions of will to be identifiable as 'a will', also has the function of indicating what (or part of what) someone who wishes to generate, through his or her action, all the normative consequences other norms link to the valid giving of a will, must do. That means that with the use of provision 1) all one can do is identify the norms contained in the respective law, while with the use of provision 2), one can do more than just identify a will, namely, one can make a will.
More on the topic 2.2. Second exclusion: Power-conferring rules cannot adequately be understood in terms of definitions, conceptual rules, or qualifying dispositions:
- After having treated, in the first two chapters, the problems of mandatory norms — rules and principles — and of power-conferring rules, purely constitutive rules and definitions, we will now set out to examine permissive sentences.
- First exclusion: Power-conferring rules are not deontic or regulative norms
- 3.4. Power-conferring rules, non-normative powers, and interests
- A functional approach: Power-conferring rules as reasons for action
- 3. What power-conferring rules are
- 2. What power-conferring rules are not
- Chapter II Power-Conferring Rules
- We will approach our topic by, first of all, excluding a few things, that is, we will begin by explaining what, in our view, power-conferring rules are not.
- Principles, rules, powers, and interests
- 2. Principles and rules
- Principles and rules as reasons for action
- Chapter I Mandatory Norms: Principles and Rules
- Mandatory rules as peremptory reasons and principles as non- peremptory reasons; the 'closed' or 'open' configuration of the conditions of application
- 8. How many rules of recognition? Certainty and penumbra in the rule of recognition