美国司法程序中的制衡机制.docx

美国司法程序中的制衡机制.docx

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美国司法程序中的制衡机制

美国司法程序中的制衡机制

2008-7-30　【大中小】

TheAdversarySystemintheAmericanJudicialProcess

　　Thelawofprocedureisthebodyofrulesthatgovernsorprovidestheframe-workofthejudicialprocess.Thejudicialprocess,inturn,guidestheoperationofcourtsinthedeterminationoflegalcontroversies,or,asalegalscholardefinesit,thejudicialprocessisthedecisionbythecourtofcontroversiesbetweenindividuals（orbetweenanindividualandtheState）byrationalandnotmerelypersonalconsiderationssupposedlybasedonlawandjustice.1Thesedefinitionsareterriblyinadequate,buttheymayserveourpurposeifweunderstandfromthemthefollowingpoints；

（1）Thejudicialprocessdealsnotwithabstractquestionsorhypotheticalsituationsbutwithactualcontroversiesbetweenrealparties；

（2）Thesecontroversiesaresuchthatthecommunitywilldirectitscollectiveforcetotheirresolution；（3）Thisresolutionproceedsnotarbitrarilybutaccordingtosomestandardsofgeneralapplication；（4）Thesestandardsareappliedinaproceedingthatfollowssomefixedlinessetoutbyasystemofrulesknownasprocedure.2

　　Therulesofprocedurearetothelitigatinglawyerregulatoryandenablinglegislation：

3Theytellorattempttotellhimwhatthelawyermayandmaynotdo,andtheyaffordthemeansbywhichthelawyercanbringabout,orattempttobringabout,theresultssought.

　　AdistinctiveelementoftheAmericanprocedurefarresolvinglegalcontro？

versiesistheadversarysystem,whichisthecharacteristicformoftrialprocedureincommonlawcountries,incivilaswellascriminalcases.Itsessentialfeatureisthatadecisionismadebyjudge,orjudgewithjury,whofindsthefactsandap？

pliesthelawfromsubmissionsmadebypartisanadvocatesonbehalfoftheparties.4Inthissystemoftrialprocedure,theresponsibilityforbeginningsuit,forshapingtheissues,andforproducingevidencerestsalmostentirelyuponthepar？

ties.Thecourttakesalmostnoactivepart.Itdoesnotdoitsowninvestigating.Itrarelyevenasksaquestion.Mostoftenitisonlyresponsibleforguidingtheproceedingaccordingtocertainproceduralrulesandformakingdecisionsonques？

tionsoflawthatarise.Thissystemistobecontrastedwithwhatisgenerallycalledtheinquisitorialsystem,whichisusedincountriesofthecivillawtraditionsuchasFranceandGermany.Intheinquisitorialsystemoftrial,thejudgeap？

pliesthelawandfindsthefactsbyhisownactiveinvestigationandinquiriesattrial.

　　Undertheadversarysystem,thescopeofthelawyer'spowerandresponsi？

bilityiswide.Itisthelawyerwhomakestheinitialandusuallyfinaldecisionsastochoiceofcourt,sizeofclaim,natureofclaimstated,parties,extentandkindofpre-trialinvestigation,modeoftrial（whetherjuryornon-jury）,settlementoffers,extentandkindofproofs,styleofpresentationandargument,and,with？

inlimits,speedandvigorofpresentation.Thetrialsarelargelyproducedanddi？

rectedbythelawyers.Theysupplytheactorsandthescript,throughthewit？

nessescalledandthetestimonyelicitedbydirectandcrossexamination.Judgesarecalledontointerveneonlyoccasionallyandthenbriefly,toensurethatalltheproceduralsafeguardsofdueprocess5aremetandessentialfairnessisachieved.Theyruleontheadmissibilityofevidence,butthisisanegativefunctionofkeep？

ingoutunreliableevidenceratherthananaffirmativeoneofprovidingthefactsuponwhichacaseisdetermined.6

　　Thereasonsfortheprevalenceoftheadversarysystemaremanifold,butfourarecertainlyamongthemostimportant：

（1）Itisbelievedthatatruerdeci？

sionwillbereachedastheresultofacontestdirectedbyinterestedparties.7Aninterestedpartynaturallywillbemosteffectiveinseeking,discovering,andpre？

sentingthematerialswhichwillrevealthestrengthofhisowncaseandtheweak？

nessofhisadversary'scase；

（2）Theparties,whoafterallarethepersonsprinci？

pallyinterestedintheresolutionofthecontroversy,shouldbearthemajorburdenofthetime,energyandcostsrequired；（3）Althoughimpartialinvestigationmaybebetterwhennofinaldecisionneedbereached,settingupsidesmakeseasierthetypeofyes-or-nodecisionthatisthoughttobenecessaryinalawsuit；8（4）

　　Sinceresorttolawhasreplacedresorttoforcethatcharacterizedprimitiveages,thehumaninstincttodobattleisbettersatisfiedbyameansofsettlingdisputesthatareverymuchinthehandsoftheparties.

　　Contrastedwiththemethodsofscientificorhistoricalresearch,thissystemoffindinganswerstolegalcontroversiesseemssometimesunsatisfactory.Whenonereflectsonthefactthatundertheadversarysystemvictoryoftenturnsonfac？

torsotherthanthetruemeritsofthecase,thereisreasontobeskepticalaboutit.9Criticsoftheadversarysystempointoutthatittendstoreducelitigationtoacostlygame,inwhichthelawyersbecometheprincipalplayersandtheoutcomewillturnontheirskillsratherthanthejusticeortruemeritsofthecase.Inrecenttimestherehasbeenatrendtowardincreasingtheaffirmativeoractivefunctionsofthecourtthatreflectsthelargertrendawayfromthe"sporting"or"game"theoryoflitigation.Nonetheless,itcannotbequestionedthatintheUnitedStatestheprimaryresponsibilityandcontroloveralmostallphasesofthejudicialprocesscontinuetoresideintheparties.FullunderstandingoftheAmericanlegalprocedurewillrequireourconstantattentiontotheexistenceoftheadversarysys？

temaswellascriticalanalysisofitsshortcomings.

　　Thereisbutonetestofagoodsystemofprocedure：

Doesittendtothejustandefficientdeterminationoflegalcontroversies？

Inthisconnectionwemustun？

derstandonething：

DespitethefactthatthisunitisonlyanintroductiontotheAmericanlegalsystem,wearenottoassumethatourfunctionhereissimplytodigestuncriticallywhatwelearnfromthisunit.Itisapartofourlearningpro？

cesstoexamine,"towashincynicalacid,"eachrule,eachform,eachprinciplewelearn.10Butwhiledoingso；keepinmindthatmany,diverse,andcomplexaretheaspectsofbothjusticeandefficiency.11

　　WordStudy

　　partisana.党派的，派性的

　　inquisitoriala.审讯的，调查的

　　settlementn.调解

　　testimonyn.证词；证据

　　elicitvt.引出；诱出

　　examinationn.询问，质证

　　directexamination直接质证

　　crossexamination交叉质证

　　intervenevi.干涉

　　safeguardn.保护措施，保障条款

　　dueprocess正当司法程序

　　admissibilityn.可采纳；可取

　　affirmativea.肯定的，积极的

　　prevalencen.盛行，普通

　　manifolda.多方面的，种种的

　　impartiala.公正的，不偏不倚的

　　skepticala.怀疑的

　　nonethelessadv.然而，不过

　　residevi.居住；存在

　　cynicala.愤世嫉俗

　　Phrases&Expressions

　　onbehalfof代表；为了

　　becontrastedwith与……对比

　　turnon依赖，取决于

　　residein存在

　　inthis/thatconnection在这（那）一点上

　　Notes

　　1.…thejudicialprocessisthedecisionbythecourtofcontroversiesbetweenindividuals（orbetweenanindividualandtheState）byrationalandnotmerelypersonalconsiderationssupposedlybasedonlawandjustice.司法程序是由法院根据基于法律和正义的理性而不是基于个人的考虑对个人间（或个人和国家问）争议的裁决。

这个句子的结构比较复杂，“supposedlybasedonlawandjustice”修饰“considerations"，”byrationalandnotmerelypersonalconsiderations…“，”bythecourt“和”ofcontroversiesbetweenindividuals“都修饰”derision“。

”decision…ofcontroversies“是表示动宾关系的短语。

”byrationalandnotmerelypersonalconsiderations“说明”decision“的方式。

”thecourt‘实际上是“decision”这一动作的执行者，由“by”引出。

　　“bythecourt”本应放在句子的最后，但因句子太长，放在后面不清楚，故提前。

　　2.Thesestandardstitleappliedinaproceedingthatfollowssomefixedlinessetoutbyasys-temofrulesknownasprocedure.这些标准被用于遵循某些固定原则的诉讼，而这些固定原则又由一套被称为程序法的规则确定。

　　“knownasprocedure”修饰“systemofrules…”，“setoutbyasystemofrulesknownasprocedure”修饰“fixedlines”，“thatfollowssomefixedlinessetoutbyasystemofrulesknownasprocedure”为定语从句，修饰“proceeding”。

　　3.Therulesofprocedurearethelitigatinglawyerregulatoryandenablinglegislation.程序法规对诉讼律师来说既是规范性法规又是授权性法规（意思是程序法既规范了诉讼律师的行为，又是他们行动的依据）。

　　regulatoryandenablinglegislation：

规范和授权法规

　　4.Itsessentialfeatureisthatadecisionismadebyjudge，orjudgewithjury，whofindsthefactsandappliesthelawfromsubmissionsmadebypartisanadvocatesonbehalfoftheparties.它的主要特征是由法官（或法官加陪审团）根据双方辩护人所提出的证据认定事实并适用法律。

　　“findthefacts”认定事实，凡有陪审团参加的案件，由陪审团认定事实。

　　“applythelaw”适用法律，在有陪审团参加的案件审理中。

珐官只适用法律，在没有陪审团参加的案件中，法官既认定事实又适用法律。

　　"madebypartisanadvocatesonbehalfoftheparties“修饰”submissions"，“fromsub-missionsmade…”修饰“finds”和“applies”。

　　5.theproceduralsafeguardsofdueprocess：

正当司法程序条款中的程序保障

　　6.Theyruleontheadmissibilityofevidence,butthisisanegativefunctionofkeepingoutunreliableevidenceratherthananaffirmativeoneofprovidingthefactsuponwhichacaseisdetermined.他们（法官）要裁定证据的可接受性，但这是一种消极的作用，是摒弃不可靠的证据，而不是积极地提供作为判案依据的事实。

　　admissibilityofevidence证据的可接受性，一般以证据法为依据来判断证据的可接受性。

　　7.interestedparties有关的当事人，有利害关系的当事人

　　8.Althoughimpartialinvestigationmaybebetterwhennofinalderisionneedbereached.settingupsidesmakeseasierthetypeofyes-or-nodecisionthatisthoughttobenecessaryinalawsuit.尽管在不需要作出最终决定的时候不偏不倚的调查可能更合适，但树立对立面使诉讼所必须的是或否的判决更为简单。

　　此句的意思是，在某些无须作最终结论的探索（如科学探讨等）中，公正的调查更可取。

但是，法院在诉讼中必须回答是或不是的问题（如是不是侵权，是不是违约），这时候树立对立面，让原被告双方针锋相对地辩论，就使法官对这种是非题作出最终结论变得更为容易了。

　　9.Whenonereflectsonthefactthat1.1ndegtheadversarysystemvictoryoftenturnsonfactorsotherthanthetruemeritsofthecase，thereisreasontobeskepticalaboutit.抗辩制下胜诉往往不取决于案件本身的实体问题而取决于其他因素，想到这点，人们便有理由对其产生怀疑。

　　truemeritsofthecase：

案件所涉的实体问题，案件的是非曲直

　　10.Itispartofourlearningprocesstoexamine，“towashincynicalacid，”eachrule，eachform，eachprinciplewelearn.对我们所学的每一条规则，每一种方式和每一个原则进行检查，进行“冷峻的酸处理”，本身就是学习过程的一部分。

“cynical”的意思是“愤世嫉俗的”，“不相信人间有