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法律英语
〔美〕戴维·S·克拉克,(土)图鲁尔·安赛编著.美国法律概论第二版.中信出版社,2003.7.
Chapter1TheAmericanLegalSystemandLegalCultureDavid&Clark*I.TheOriginalVision
A.Liberty
B.DistrustofGovernment
C.Tolerance
D.OptimismII.UnityoutofDiversityIII.PragmatisminLawIV.IndividualismVDisquietingFactors:
DiversityasDivisivenessSelectedBibliographyTheideaofArnericaasitrelatestolawhasalwaysbeenmorepowerfulthantherealityoflawinAmerica.TheDeclarationofIndependence(1776),theUnitedStatesConstitutionfl787),anditsf冲sttenamendments,theBillofRights(17911.earlystatedtheidealinlawandgovernment.Thevoicefromthesedoe—umentswassoonheardinEuropeandLatinAmerica,laterinAsiaandAfrica,andmorerecentlyineastemEuropeandtheformerSovietUnion.ButwhatabouttheUnitedStatesitself?
Conceivedinhopeanddedicatedtoopportunity,ithastoallastoundingdegreeoveritsshorthistoryaccommodateddifferentraces,ethnicgroups,andreligions.However,unlikethefewmodemnationswhosewealthandhomogeneityhaveallowedtheirlegalsystemstomergetheidealandthereal.theUnitedStatesisalandofvastcontrasts.
+MaynardandBerthaWilsonProfessorofLaw,WillametteUniversityCollegeofLaw;Vice
President,AmericanSocietyofComparativeLaw.DavidS.ClarkandTuggulAnsay(eds.)IntroductiontotheLawoftheUnitedStates,l-11◎2002KluwerLawInternational。
TheHague,TheNetherlands:
2
IntroductiontotheLawoftheUnitedStates
I.THE0RIGINALVISION
Fourelementsofthefoundingfathers’visionfortheUnitedStatesofAmerica
areespeciallysignificantfortheevolutionofitslegalsystemandlegalculture:
liberty,distrustofgovernment,tolerance,andoptimism.
TheDeclarationofIndependencestates
Weholdthesetruthstobeself-evident,thatallmenarecreatedequal,that
theyareendowedbytheirCreatorwithcertainunalienableRights,that
amongtheseareLife,LibertyandthepursuitofHappiness.Thatto
securetheserights,GovernmentsareinstitutedamongMen,deriving
theirjustpowersfromtheconsentofthegoverned.
AfundamentaIaimoftheAmericanRevolutionwastoassert.atIeastforwhite
males,anaturalandinalienablerightto“LibertyandthepursuitofHappiness.”
Thehistoryofthe19thand20thcenturiesiSastoryaboutthegradualextension
ofthisandotherrightstoblackMaves,women,nativeAmericans,andevenresi.
‘dentforeigncitizens.Thisprocessofgreaterinclusionwasassistedbytheout-
comeoftheCivilWar(1861.1865),whichabolishedslaveryandestablishedthecomeoftheCivilWar(1861.1865),whichabolishedslaveryandestablishedthe
equalityprincipleintheConstitutionthroughthe14thAmendmentr1868).
Thenaturalrightoflibertywastothepursuitofhappiness;itwasnotaguar-
anteeofhappiness.Anindividualhadthelibertytocontracttoimprovehiswel—
fare.the1ibertytomarrywhomever,thelibertytotravelwherever,thelibertyto
worshipGodinhisownway,thelibertytospeakhismind,thelibertytodonoth—
ing.ThephysicalenvironmentofNorthAmericafacilitatedtheexerciseofthis
right.Itwasaspaciouscontinent.1essdenselyinhabitedthanEurope.Itinvited
mobility,independence.andenterprise.Libertyrealizedbreedsoptimism.
Americansfeltthattheyhadapersonalstakeinthefuture;theywereinclinedto
experiment.togamble,towaste.Whateverpromisedtoincreasewealthwascon-
sideredgood.Americansresentedgovernmentifittriedtointerferewithprivate
enterprise.Thenegativesideofliberty,however,ledtovastenvironmentaldespo-
liationandtragichumanexploitation.
Nevertheless.thesymboloflibertywasandisapositivebeaconto
Americansandtomanythroughouttheworld.Theword“liberty’’appearsasa
reminderonthefrontofallAmericancoins.IttakesphysicalforminNewYork
HarborastheStatueofLiberty.AgiftfromtheFrenchtocommemoratethecen-
tennialofAmericanindependence,itwasplacedtofacearrivingvoyagersfrom
Europe.abouttodisembarkonthelonelinessofastrangeland,asthemonumenttofreedomandopportunity0fferedbVlifeintheUnitedStates.
ChapterlTheAmericanLegal@stemandLegalCulture3B.DistrustofGovernmentThatwheneveranyFormofGovernmentbecomesdestructiveoftheseends,itistheRightofthePeopletoalterortoabolishit,andtoinstitutenewGovernment,layingitsfoundationonsuchprinciplesandOrganizingitspowersinsuchform,astothemshallseemmostlikelytoeffecttheirSafetyandHappiness.Onemechanismearlyfavoredtomoderatethetensionbetweentheneedforgov.ernmentandthepotentialforitstyrannywastheruleoflaw.TheFiRh
Amendment(1791)guaranteesthatnopersonshall“bedeprivedoflife.1iberty,orproperty,withoutdueprocessoflaw.”TheUS.ConstitutionitselfiSanintri.catedesigntosecureagovernmentoflawsandnotofmen.
ThedetailsoftheConstitutionmakeitclearthattheframersdistrustedgov.ernment.Governmentactions.intheframers’readingofhistory,wereaslikelytobringhumanmiseryastopromotehumanhappiness.Itwasbettertodesignaninefficientgovernmentalmachinetounitethel3states.Thetrickwastoincreasethepowerofnationalgovernment.afterthefailureoftheArticlesofConfederation(1777),buttoavoidcreatingacentralizedauthoritySOeffectivethatitthreatenedareturntotyranny.First.theConstitutiononlycreatesthenationalgovernment.whichislimitedtocertainenumeratedpowers.Thisfeder.alstructureofgovernmentisconfirmedbytheTenthAmendmentf1791):
“ThepowersnotdelegatedtotheUnitedStatesbytheConstitution.norprohibitedbyittotheStates,arereservedtotheStatesrespectively,ortothepeople.’’Therefore.governmentwasdividedbetweenanationalgovernmentofrestrictedpowersand13originalstates.eachwithitsownconstitutionanddividedpowers.
Second,nationalgovernmentisseparatedintothreebranches.eachwithaprimaryfunction:
legislation,administration,andadjudication.NOonepersoncanparticipateinmorethanonebranch,unliketheparliamentarysystemwheretheprimeministerisatonceheadoftheexecutiveandofthemajoritypartyinthelegislature.
ThirdtheConstitutionsetsoutanelaborateframeworkofchecksandbal—ancesamongandwithinthethreebranchesofgovernment.WithintheCongress.forinstance.thereexisttwochambers:
onetosatisfysmallstatesthatwantedequalrepresentation(theSenate),andtheothertoaccommodatethepopulousstateswithmembershipbasedonpopulation(theHouseofRepresentatives).FederaldistrictcourtsarecheckedintheirpowerbytheprocessofappealtotheSupremeCourt.Ingeneral,nonewgovernmentalactionCallproceedwithouttheassentofatleasttwobranches.AbillonlybecomeslawifboththeSenateandtheHouseofReDresentativespassitbymajorityvoteandthepresidentdoesnotvetoit.TheCongresscancontrOlorterminateexecutiveprogramsbydenialoffunds.Thepresidentascommanderinchiefmayonlyinitiatewaruponitsdec
只有当参议院三分之二以上提出建议并同意,总统才可以制定条约。
总统任命最高法院的大法官,但是他们必须经过参议院大部分人确认。
其他监督在宪法中也能体现出来,比如通过司法审查来制约立法或行政行为的权力。
第四点,宪法要求固定选举,意在促进问责政府主要政治领导人:
代表选举每两年一次,参议员选举每六年一次,总统和副总统选举每四年一次。
第五,宪法是一份书面文件,不像英国是不成文,不成文宪法很难正式修改。
最后,那些相信上面提到的措施不足以防止暴政的人,成功地增加《1791年人权法案》,以此作为国民政府的外部约束力。
最高法院后来执行其反对政府的所有分支的规定,使人权法案不仅仅是一个劝告文件。
美国人在共和国的第一个世纪对法律表现的很模棱两可。
展现了西方传统的形象,伴随着探索,现在也有许多矛盾的地方。
一方面,宪法是国家的最高法律。
国旗代表着国家统一。
美国没有贵族阶层,没有永恒的遗产,没有国家教堂。
由于联邦司法部门脱颖而出,成为像
宪法一样的最终裁决,对于过去的200多年的大部分时间,司法部门特别是最高法院一直是美国最受尊敬的法律机构。
这无疑是当今世界上最强大的司法机关。
另一方面,美国人是出了名的无法无天。
他们对于权威和规则的态度总体上是不尊重的,因为他们觉得这些是对个人权利的威胁。
人们还认识到制定者视野中的宪法并没有总是得到落实。
总统发动一场战争也没有获得国会的授权。
国会议员通过控制选举权力的货币杠杆,并最终实现长期留任。
最高法院做出了不受广大公民欢迎的决定。
但它不仅仅只是一种认识,即书本上的法律与实践中的法不同。
规则体现了传统和过去。
这里是新世界,实践才最重要。
这种态度产生的任何问题以后都可以被整理出。
也许这就是美国有90万律师和法官的原因,这一数据占世界的三分之一。
形成新共和国的13个殖民地的欧洲定居者来自处于不同环境的各个地方。
但是又一个共同因素塑造了他们的状态:
他们是持不同政见者和新教徒。
他们不能和他们国家的政治和宗教权威很好相处,或者他们的社会和经济状况不能被充分接受,以至于他们经过漫长的航海穿过大西洋。
他们以出行的方式提出了异议。
第三,宪法精心设计出一个框架,意在监督和平衡政府的三个分支。
比如说,在议会内,存在两个内庭,一个是参议院,目的是使希望有平等比例的小州满意,另一个是众议院,满足了人口众多的州的要求。
联邦地区法院在案件被上诉到最高法院的过程中,权力受到监察。
总体上来说,只有至少经过政府两个部门的同意,政府的行为才能够进行下去。
一项法案只有经过众议院和参议院大部分通过,并且总统没有投反对票,才可以最终成为法律。
议会可以通过拒绝提供资金来控制或者终止执行程序。
TheCongresscancontrolorterminateexecutiveprogramsbydenialoffunds.
4IntroductiontotheLawoftheUnitedStateslarationbyCongress.Thepresidentmaymakeatreaty,butonlyiftwothirdsoftheSenateprovidesitsadviceandconsent.Thepresidentappointsjusticestothe
SupremeCourt,buttheymustbeconfirmedbyamajorityoftheSenate.AndSO
on.OtherchecksweresoonimpliedfromtheConstitution.suchasthepowertostoplegislationorexecutiveactsbyjudicialreview.1
Fourth,theConstitutioncallsforfixedelectionstopromoteaccountabilitytothepeopleofthegovernment,Sprincipalpoliticalleaders:
everytwoyearsfor
representatives,everysixyearsforsenators,andeveryfouryearsforthepresi—dentandvicepresident.Fifth.theConstitutionisawrittendocument—notunwrittenasinEngland——anditisdifficulttoformallyamend.
Finally,thosewhobelievedthattheabovecitedbarrierstotyrannywereinad-equatesucceededinaddingtheBillofRightsinl79lasasetofexternal
restraints0nthenationalgovernment.TheSupremeCpurrlatermadetheBillof
Rightssomethingmorethanamerehortatorydocument,enforcingitsprovisions
againstallbranchesofgovernment.
Americansinthefirstcenturyoftherepublicwereambivalentaboutlaw.ThereiStheimageofthewildWest.associatedwiththetaskoftamingafrontier,but
manytodayremainambivalent.Ontheonehand,theConstitutioniSthesupremelaw.Alongwiththeflag.itstandsfornafionalunity.Americahasnoroyalfamily,notimelessheritage,nonationalchurch.Sincethefederaljudiciaryemergedasthe
ultimatearbiterofwhattheConstitutionmeans,formuchofthepast200yearsthejudiciaryandespeciallytheSupremeCourthasbeenAmeric