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Chapter Four: The problem of Sovereignty as the problem of the Legal Form and of the Decision in The Book of the New Sun

THE PROBLEM OF SOVEREIGNTY AS THE PROBLEM OF THE LEGAL FORM AND OF THE DECISION IN THE BOOK OF THE NEW SUN

When theories and concepts of public law change under the impact of political events, the discussion is influenced for a time by the practical perspectives of the day. Traditional notions are modified to serve an immediate purpose. New realities can bring about a new sociological interest and a reaction against the “formalistic” method of treating problems of public law.(143)
POLITICAL THEOLOGY: FOUR CHAPTERS ON THE CONCEPTS OF SOVEREIGNTY
CARL SCHMITT

The Book of the New Sun does not only engage, however, with a definition of sovereignty, but with the application of sovereignty, especially the role of the judiciary in upholding or hampering sovereignty in the event of an exception, as discussed in the second chapter of Political Theology and the critical literature on Carl Schmitt. Asleep on his journey out of the vast city of Nessus towards his new home of Thrax, Severian is visited in his dreams by his now deceased teacher, Master Malrubius. The oneiric conversation further expands the scope of the engagement with sovereignty within the text. Master Malrubius and Severian converse,
‘Severian. Name for me the seven principles of governance.’
‘Anarchy …’
‘That is not governance, but the lack of it. I taught you that it precedes all governance. Now list the seven sorts.’
‘Attachment to the person of the monarch. Attachment to a bloodline or other sequence of succession. Attachment to the royal state. Attachment to a code legitimising the governing state. Attachment to the law only. Attachment to a greater or lesser board of electors, as fragments of the law. Attachment to an abstraction conceived as including the body of electors, other bodies giving rise to them, and numerous other elements, largely ideal.’
(144)
Within the dream discussion Master Malrubius asks Severian to explain which is the highest, the answer for which is the relationship to the monarch. The ‘seven principles’ vignette outlines the forms of sovereignty Severian encounters on the way to becoming Autarch; anarchy, monarchy, aristocracy, constitutionalism, the judiciary, parliamentarianism and democracy are represented by characters and events throughout Severian’s travels. The Book of the New Sun establishes the political state of the Commonwealth, and goes on to discusses in detail the conflict between the norm and the exception that establishes the need for an absolute sovereign in politics and as well as other forms of sovereignty in briefer form.

In The Book of the New Sun Severian is the personification of the need for an absolute sovereign; his adventures take the form of a series of political events that highlight the disjuncture between the norm and the exception in the rule of law in the Commonwealth. Just as the political structure of the Commonwealth takes the form of Schmitt’s ‘friend-enemy’ thesis, Severian’s narrative arc illustrates Schmitt’s argument that an exception is inevitable in a democratic system and the state must be concerned with the concrete application of sovereignty in the maelstrom of politics. As Schmitt explained,
What is argued about is the concrete application [of sovereignty], and that means who decides in a situation of conflict what constitutes the public interest or the interest of the state, public safety and order.(145)
Political struggle in the Commonwealth allows discussion of the concepts of sovereignty because ‘of all juristic concepts the concept of sovereignty is the one most governed by actual interests.’(146) Throughout The Book of the New Sun Severian encounters the interests of the state in situations and characters that are, like him, the personification of one concept of sovereignty, and their interaction with him explicates the need for an absolute sovereign.

Severian’s youthful support for Vodalus and the overthrow of the Autarch comes from his misunderstanding of the interests of the Commonwealth. Severian conceives of revolutionaries - exultants and commons alike - as an alternative to the Autarch, in revolution righting the wrongs of the Autarchical government. By the time Severian is a man and the Autarch, his experience of sovereignty throughout the text in fact argues for the true nature of absolute sovereignty he despises as a youth, and its effectiveness in controlling politics. In Political Theology Schmitt considered the relationship of the prince to his estates, asking if ‘the commitments of the prince to the estates or the people dissolve his sovereignty.’(147) Schmitt decided that checking mechanisms such as the estates created a conflict that would mean ‘sometimes the people and sometimes the prince would rule, and that would be contrary to all reason and law.’(148) Severian’s dismissal from the Guild starts with this very question of the right of the estates and the judiciary to protect the rule of law from the prince.

As punishment for his transgressions against the rules of the Guild Severian is exiled, although some in the Guild had wished him to be executed. One of the Masters of the Guild, Master Palaemon, explains the ramifications to Severian,
“If we slay you without judicial order, we are no better than you: you have been false to us, but we will have been false to the law.”
“Still, we have no right in law to take life on our own authority. Those who have that right are properly jealous of it. If we were to go to them, the verdict would be sure. But were we to go, the repute of the guild would be publicly and irrevocably stained. Much of the trust now reposed in us would be gone, and permanently. We might confidently expect our affairs to be supervised by others in the future. Would you enjoy seeing our clients guarded by soldiers, Severian?”
(149)
Severian has allowed one of the female ‘clients’ of the Guild to commit suicide before the completion of her sentence of torture, and the immediate political decision for the Guild is to preserve their reputation for delivering blind justice and their agency within the Autarchical state. By showing mercy to a client he had fallen in love with, Severian had betrayed his place in the Guild, and the Guild only carries out, in the words of another senior member, Master Gurloes, ‘the sentences that are delivered to us, doing no more than we are told, and no less, and making no changes.’(150)

Severian’s actions have placed the Guild in a position recognisable from Schmitt, for whom the exception in liberal democratic jurisprudence produces in the contemporary theory of state,
the interesting spectacle of the two tendencies facing one another, the rationalist tendency, which ignores the emergency, and the natural law tendency, which is interested in the emergency and emanates from an essentially different set of ideas.(151)
The rational rule of law is the basis of all the Guild’s actions and the Masters of the Guild are loath to risk the gaze of the Autarch on their enforcing of the rule of law for fear of interference from a power they do not trust to maintain the same impartiality. Master Palaemon is reluctant to allow the Autarch’s prisoners to be held by the Autarch’s legions and not the Guild, and for good reason, as Severian reveals in the sequel to The Book of the New Sun, ‘when I lived among the torturers, I often saw clients beaten. Not by us, for we inflicted only such punishments as had been decreed, but by the soldiers who conveyed them to us and took them from us.’(152) Master Palaemon is defending the Guild’s tendency to follow the norm and the rule of law from the Autarch, who is of the tendency to suspend the rule of law to consider the exception.

As Severian negotiates the adventures of The Book of the New Sun he experiences for himself the exception to the rule of law. His life does not conform to the norm on which rests the law that is essential for his dispensation of justice as a Guild Journeyman and the Lictor of Thrax. Within the isolation of the Guild the rule of law is sovereign, but away from the Guild interactions with the law becomes more problematic. When having to defend himself in the mountains, Severian admits ‘I was tempted to kill him and be done with it; we are taught strictly to kill and maim only at the order of a judge, but that training had been weakening in me as I moved farther and farther from Nessus and toward war and the wild mountains.’(153) Later still, when assuming one of the many leadership roles of his travels, Severian reflects that he is used to obedience and not command, given that as an institution that tortured in the name of justice,
we torturers obey. In the lofty order of the body politic, the pyramid of lives that is immensely taller than any material tower … the pyramid that stretches from the Autarch on the Phoenix Throne to the most humble clerk grubbing for the most dishonourable trader – a creature lower that the lowest beggar – we are the only sound stone. No one truly obeys unless he will do the unthinkable in obedience; no one will do the unthinkable save we.(154)
When conceiving of the ‘friend-enemy’ relationship Schmitt stated ‘the state as the decisive political entity possesses an enormous power … the right to demand from its own members the readiness to die and unhesitatingly to kill enemies.’(155) In The Book of the New Sun the Guild conceive of themselves as doing the unthinkable in service of the rule of law, but eventually their role becomes clear to Severian - they are, like the legions, an unhesitatingly violent arm of the state, the army kills the external enemy, the torturers the internal enemy. Severian’s banishment from the Guild and his travels expose the exception to the rule of law and once Autarch, his first action is to resolve an aspect of this tension.

In an extended philosophical monologue in Thrax, Severian contemplates his own upbringing and training and debates the need for state torture. Severian justifies the Guild’s existence by explaining the Guild’s impersonal and impartial completion of sentences from a properly constituted judiciary, and while admitting judicial corruption existed, decides the common good of the populace is served better by deterrents and the knowledge that most that are executed are guilty in fact.(156) Immediately after this introspective passage Severian decides he can no longer reconcile his role as an agent of the judiciary, abandons the position of Lictor of Thrax and starts out on the final leg of his journey to the Autarchy. At this moment and as Autarch, Severian reaches the same decision that Schmitt does, Schmitt believing that ‘the discipline of jurisprudence was intellectually moribund, and needed to look for sources of renewal in both the classical traditions of political thought and modern social theory.'(157) The remaking of an imperfect judiciary is the first action of Severian as the Autarch. Severian abolishes the Guild from which he came, completely dismantling the use of torture within the State, announcing to Master Gurloes ‘it is intolerable that good men should spend a lifetime dispensing pain.’(158) While Master Gurloes tries to argue for the Guild’s continued existence because ‘you will find in the end that you require men to do what we do,’(159) Severian is determined to bring new humanity to the agents of the judiciary.

Severian’s decision to spare men the necessity of torturing for the state is a product of his reflections on the ideals of thoughtful governing. Immediately prior to his second encounter with the Autarch at the House Absolute, Severian is captured by the security of the House Absolute and when submitting to their authority he observes,
my captor now lifted the wire noose until I stood. I was conscious, as I had been on several similar occasions, that we were in some sense playing a game. We were pretending that I was totally in his power, when in fact I might have refused to rise until he either strangled or called over some of his comrades to carry me … nine-tenths of life, so it seems to me, consists of these surrenders.(160)
Severian is becoming conscious of the nature of the pact between sovereign and nation, and as a former citizen of that nation he will respect the submission of the nation. For although the surrender to sovereignty in The Book of the New Sun is surrender to absolute sovereignty, perhaps the most striking aspect of the Autarch is that his position is not at all based on notions of hereditary monarchy. The position is conferred by consuming the forebrain of the previous Autarch along with the alzabo potion, a potion made up of the bile of an interstellar creature that allows the memories held within the brain consumed to become fused with the host brain. The Autarch is in reality a hive mind, ‘in one body is a thousand,’(161) and individuals from all levels of society have been Autarch before Severian the Torturer, including women and servants.

In creating such a fantastic method of election Wolfe is not concerned with the right to rule but the ability to rule, and in Severian and The Book of the New Sun he has created a sovereign who experiences all permutations of sovereignty before he takes his place as absolute ruler of the people and for the people. This is of some interest in regards to the comparison with Schmitt. The recent rescuing of Schmitt from obscurity due to his association with Nazism has meant that some commentators, including Schmitt’s main translator, George Schwab, have noticed an 'incongruity between his non-ethnic notion of sovereignty and Nazi racist politics … he could never bring himself to express biological anti-Semitism.’(162) Schwab discerns a lack of even traditional Catholic anti-Semitism in Schmitt’s earlier works,(163) and in Political Theology Schmitt does not define sovereignty or state by ethnicity or race.

Wolfe populates his Commonwealth with the entire range of possible citizens; genetically and surgically modified humans, interstellar races and many unique cultures make up the teeming masses of the Commonwealth and are equally ruled by and qualified to be the Autarch of their nation. Paul Gottfried points out that Schmitt did not believe in meddling in the lives of citizens, although 'Schmitt as interpreted by Schwab did indeed favour an authoritarian state, with limited functions. Such a state was to impose its will in exceptional circumstances; whence Schmitt's decisionist theory of sovereignty. But the Schmittian state, which combined power at the top with freedom below, was not intended to destroy private relations.'(164) Wolfe’s freedom for the masses is articulated in extraordinary, lightning fast philosophical discourses on the universal nature of hierarchy in both theoretical(165) and social terms.(166) Severian contemplates the concept of free will and its surrender in circumstances ranging from the surgical removal of consciousness of the zoanthrops(167) to the meeting of the reanimated tyrant Typhon,(168) a sovereign from before the age of the Autarchical reign. These commentaries on the aspect of the absolute sovereign are fantastic to be sure, but they create in the character of Severian an absolute monarch with the real experience of the contemporary state of politics and the absorbed wisdom of generations of rulers, creating a sovereign for the people and of the people.

Absent from sustained discussion in The Book of the New Sun are the elements of the liberal democratic state in which Schmitt showed little interest. There is no mention at all of a Constitution of any kind in the political system of the Commonwealth. This mirrors Schmitt’s own ambivalence towards a constitution due to 'the exceptional position of the law in the Weimar Republic, where the historic importance of theoretical jurisprudence in a Roman-based legal culture was suddenly and massively over determined by the ram-shackle nature of the Constitution itself.'(169) Parliamentarianism also gets short shrift from Wolfe in The Book of the New Sun, no entity within the Commonwealth actually seeming to involve any kind of election to office. Schmitt held the opinion that 'modern mass politics seemed to be veering towards permanent revolution; in these texts [Political Theology and the preceding treatise Roman Catholicism and Political Form] he looked to certain strands of Catholicism for a perspective on the present which could inform a radical counter-offensive, an alternative to a fatalistic acceptance of the decline of European political civilization.'(170) Wolfe conceives of politics, but not along the parliamentary lines of liberal democracy, but the ‘friend-enemy’ relationship of Schmitt.

Schmitt set out his political theory in The Concept of the Political and Political Theology to engage with the idea of sovereignty, as did Wolfe in The Book of the New Sun. In the form of characterisation and narrative Wolfe embodies Schmitt’s ideas and intentions in a genre text written at a time of awakening interest in Schmitt’s political theories and in a similar political milieu. The Book of the New Sun is, as a result, a confident re-imagining of the historical record, embedding a controversial political critique of its own current political reality in his powerful text.

CHAPTER THREE: THE 'FRIEND-ENEMY' RELATIONSHIP AND THE DEFINITION OF SOVEREIGNTY IN THE BOOK OF THE NEW SUN

CONCLUSION AND BIBLIOGRAPHY

NOTES

(143) Schmitt, Political Theology, p. 36.
(144) Wolfe, Shadow and Claw, p. 283.
(145) Schmitt, Political Theology, p. 6.
(146) Schmitt, Political Theology, p. 16.
(147) Schmitt, Political Theology, pp. 8-9.
(148) Schmitt, Political Theology, p. 9.
(149) Wolfe, Shadow and Claw, p. 122.
(150) Wolfe, Shadow and Claw, p. 116.
(151) Schmitt, Political Theology, p. 14.
(152) Wolfe, The Urth of the New Sun, New York, Tom Doherty Associates Inc, 1987, p. 246.
(153) Wolfe, Sword and Citadel, p. 179.
(154) Wolfe, Sword and Citadel, p. 252.
(155) Schmitt, The Concept of the Political, p. 46.
(156) Wolfe, Sword and Citadel, pp. 25-27.
(157) Balakrishnan, An Intellectual Portrait of Carl Schmitt, p4.
(158) Wolfe, Sword and Citadel, p. 566.
(159) Wolfe, Sword and Citadel, p. 566.
(160) Wolfe, Shadow and Claw, p. 439.
(161) Wolfe, Sword and Citadel, p. 522.
(162) Gottfried, Carl Schmitt, p. 31.
(163) Gottfried, Carl Schmitt, p. 31.
(164) Gottfried, Carl Schmitt, p. 31.
(165) Wolfe, Shadow and Claw, p. 12.
(166) Wolfe, Shadow and Claw, p. 42.
(167) Wolfe, Sword and Citadel, pp. 140-144.
(168) Wolfe, Sword and Citadel, pp. 201-215.
(169) Balakrishnan, An Intellectual Portrait of Carl Schmitt, p. 3.
(170) Balakrishnan, An Intellectual Portrait of Carl Schmitt, p. 43.

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