美国联邦巡回上诉法院的演进及启示——兼谈我国知识产权审判体制改革的方向

虽然我国已在北京、上海、广州正式设立了知识产权法院,但知识产权审判体制改革仍需进一步深化.在国际层面上,美国联邦巡回上诉法院属于较有特点的一种知识产权法院模式.通过对其设立动因、组织架构、实际效用及引发的争议进行深入考察,结合美国的政治结构、经济形势、司法传统,可以较为客观地认识美国联邦巡回上诉法院发挥的作用.我国知识产权制度赖以发展的制度环境与美国不同,但美国联邦巡回上诉法院在美国专利保护中发挥的作用以及演进轨迹,能够为我国知识产权法院在知识产权保护中发挥的功效提供更为理性的认识,进而为知识产权审判体制的进一步变革提供有益的启示.     

The Incidence and Structure of Conflict on the U.S. Court of Appeals for the Federal Circuit

In 1982, Congress established the Court of Appeals for the Federal Circuit, a specialized court, with the objective of reducing judicial conflict and harmonizing circuit law in specific policy areas of special complexity. This article examines the incidence and determinants of judicial conflict on the U.S. courts of appeals, focusing specifically on the Federal Circuit. Using international trade and customs regulation cases decided during the 1982 to 1995 terms, the analysis reviews three possible explanations of judicial conflict: policy-oriented, sociolegal, and organizational. The analysis shows that conflict appears in 8.4 percent of the trade and customs regulation decisions rendered by the Federal Circuit during the period of study. The policy direction of Federal Circuit decisions and the court's hierarchical relationship with lower specialized courts provide the strongest explanation for the emergence of conflict on the court. Organizational factors such as panel composition evinced rather anemic explanatory capacity. The results raise an important functional similarity between the Federal Circuit and the generalist courts of appeals. Contrary to the laments of legal practitioners that conflict on the Federal Circuit is excessive relative to conflict on the generalist circuit courts, this analysis finds little support for that claim. Rather, the level of overt conflict on the court is actually low and corroborates conflict levels that have been reported for other U.S. courts of appeals.     

Institutional Arrangements and the Dynamics of Agenda Formation in the U.S. Supreme Court and Courts of Appeals

The manner in which agenda change occurs demonstrates how institutional arrangements influence agenda priorities in the Supreme Court and Courts of Appeals. A neo-institutional theoretic perspective is employed to examine the dynamics of agenda formation in these courts. The article finds that the Supreme Court's agenda choices influence the decisions of litigants, interest groups, and lawyers to appeal certain cases to the Courts of Appeals. While the Supreme Court's agenda primarily is influenced by internal factors, it is constrained by agenda changes in the appeals courts. Critically, it is shown that these federal appellate courts exist within an endogenous system with respect to agenda formation, as both courts respond to agenda changes made in the other over time.     

Criminal Prosecutions: Examining Prosecutorial Discretion and Charge Reductions in U.S. Federal District Courts

The role of the prosecutor in criminal punishments remains a fervent topic of criminal justice discourse, yet it has received limited empirical attention, particularly for U.S. Attorneys in federal district courts. The present study examines charging and sentencing outcomes in federal courts by combining charging data from the Administrative Office of the U.S. Courts with sentencing data from the U.S. Sentencing Commission. The merger of these data sources overcomes limitations of each and provides for an investigation of the causes and consequences of federal prosecutorial charging decisions. Our investigation focuses on the subtle but important influences that extralegal offender characteristics exert in this process. Results indicate that some extralegal characteristics are intricately tied to the likelihood of charge reductions. Moreover, these effects sometimes interact to produce compound disadvantages for some groups of offenders. Our analyses are guided by contemporary theoretical perspectives on courtroom decision‐making.     

历史、程序、组织——美国联邦上诉法院制度之分析

美国联邦上诉法院是最成功的上诉法院制度范例之一.本文通过历史的、程序的以及组织的三种视角对其展开分析,揭示其特殊的历史成因,以及内在程序与组织结构在案件负荷不断增长的外部压力下,如何进行调整,并维持法律审的基本功能和价值不变.     

Corporations in Court: Big Business Litigation in U. S. Federal Courts, 1971–1991

This article provides an overview of federal litigation involving the largest 2,000 U. S. corporations over the period 1971–91. Reporting from a unique data set of the authors'construction, it finds that althugh the aggregate volume of business litigation grew during the 1970s and early 1980s, it has actually been declining in recent years in all major categories of cases; business-related litigation is heavily concentrated, with an extremely limited number of business "mega-litigants" accounting for most of the activity; this concentration is particularly evident in tort, with the result that the tort trend line outside the concentration is actually flat or declining; a good deal of the growth in litigation outside the tort area can be attributed to business itself; and big business wins overwhelmingly, as plaintiff and defendant, in cases that involve it. The general applicability of these findings is limited by the data's restriction to federal court litigation and the structure of the Integrated Federal Court Data Base from which the authors'data set was constructed. This granted, the report is by far the most comprehensive treatment of U. S. big business litigation to date, and its findings are strikingly at odds with the premises of much current policy discussion.     

When Federal Law Goes Unnoticed: Assessing the CISG's Applicability Across U.S. Courts Based on an Empirical Research of Decisions from 1988 to 2020

The United Nations Convention on Contracts for the International Sale of Goods (CISG) has reached the level of acceptance that it can be recognized as the face of international sales law. Over a century ago, the late Roscoe Pound drew attention to the dichotomy between the law as written and the law as experienced in practice. The law of the CISG “on the books” is the law of the United States. With the growth of international trade, one might expect its importance to grow in the realm of law “in action.” This article explores the CISG in action in U.S. courts during its almost four decades of being the law on the books in the United States. To this end, the authors built an original dataset based on their Westlaw search of all decisions mentioning the CISG across all U.S. federal and state courts from 1988 (when the CISG entered into force) through 2019. The dataset provides unprecedented insights into: (1) how parties raise the issue of the applicability of the CISG, (2) how courts have ruled on the Convention's applicability, and (3) the provisions of the Convention that appear most frequently in these disputes. This article empirically assesses, through logistic regressions, which factors are statistically significant for predicting if a court will apply (or decline to apply) the Convention to a disputed transaction. Finally, the article highlights many ways in which the law in action may not be as robust or comprehensive as it appears on the books.     

Expertise,Experience, and Ideology on Specialized Courts: The Case of the Court of Appeals for the Federal Circuit

What roles do prior expertise and accumulated experience play in shaping ideologically consistent voting on a specialized court? Using a dataset of obviousness patent cases from the Court of Appeals for the Federal Circuit spanning 1997–2007, we show that prior expertise enhances the influence of ideology on judicial decisionmaking, but that accumulated experience does not. In addition, we build on previous work and show that ideology is a factor in decisionmaking in technical areas of law, contrary to the received wisdom on patent cases.     

The Politics of Obstruction: Republican Holds in the U.S. Senate

A defining feature of the modern US Senate is obstruction. Almost all pieces of legislation considered in the Senate are affected either directly or indirectly by obstruction. Obstruction takes many forms in the modern Senate, but one of the most prevalent, yet least studied, is the hold. Using a newly created dataset on Republican Senate holds, we cast light on this important practice. Our results suggest that a variety of factors including timing, party status, and a senator's voting record are related to both the prevalence of holds and the success of legislation subject to holds in the Senate.     

美国的联邦保护令制度

在美国,人身保护令程序作为一种复审制度对于保障受到刑事追诉的人的权利非常重要,同时它也是美国的州死囚犯寻求联邦法院救济的一个极为重要的方式和途径。对人身保护令的申请范围以及提起申请的限制进行阐释,有助于我们更加深入地了解这一制度在美国的现状以及美国联邦最高法院对这一程序的矛盾态度和两难处境。     

Justice Without Borders: Human Rights Cases in U.S. Courts

In 1980 the Second Circuit Court of Appeals broke with years of legal tradition and ruled that human rights victims could sue their oppressors in federal court—even if the alleged violations occurred outside the country. This court based the extension of its authority on a provision of the 1789 Judiciary Act now referred to as the Alien Tort Claims Act (ATCA). ATCA cases present a unique opportunity to study judicial behavior in the face of separation of powers interests, traditions of judicial restraint, sovereign immunity defenses, and an active internationalist movement to extend human rights guarantees worldwide. Combining legal analysis with quantitative methodology, I find that U.S. federal courts are slowly accepting an internationalist approach to human rights, and that interest groups are largely driving this transformation. Sovereignty concerns and judicial ideology are not conditioning case outcomes, but party resources and separation of powers issues are.     

The Evidentiary Introduction of Psychopathy Checklist-Revised Assessed Psychopathy in U.S. Courts: Extent and Appropriateness*

We examine the application of Psychopathy Checklist Revised (PCL-R) assessed psychopathy in U.S. courts from the time of the introduction of the PCL-R in 1991, through the end of 2004, and consider the PCL-R in light of relevant evidentiary standards and the empirical support for the construct of psychopathy. Our review of the Westlaw legal database indicates that the evidentiary introduction of PCL-R assessed psychopathy extends across state and federal jurisdictions, and has increased considerably in recent years. We identify nine contexts in which PCL-R evidence has been introduced and examine the appropriateness of such introduction. In most contexts the PCL-R was considered with regard to the prediction of violence in the community, and in such context the introduction of PCL-R scores appears appropriate, at least with regard to European American male offenders. However, PCL-R assessments may not meet relevant evidentiary standards with regard to the prediction of institutional violence and violence among females, adolescents and ethnic minorities.     

美国联邦刑法法典化述评

美国联邦尚无刑法典,然自建国后,联邦一直致力于刑法法典化,从1790年《治罪法》至1948年《联邦法典》第18主题,到1982年《联邦刑法典草案》,长达200多年的刑法法典化事业至今未竟。联邦刑法法典化呈现独有品性,即启于内外因素双重驱动、历经形式编纂到实质编纂、本体即权力扩张与限制、价值思维系理想主义与实用主义之统合。联邦刑法法典化目的理性,其搁浅缘于工具不善。基于现有刑法不力、刑法治危机以及刑法典的天然优势之事实,结合刑法有效、公正、人道之目的,得以推导出刑法法典化仍需继续之应然结论。未来,联邦刑法法典化之路仍旧遍地荆棘,而联邦刑法典能否问世,取决于美国所动用的实践理性。     

Race-Based Peremptory Challenges: An Empirical Analysis of Litigation from the U.S. Court of Appeals, 2002–2006

This paper examines race-based peremptory challenges. Such challenges occur during the voir dire jury selection process. The process allows both the defense and the prosecution to strike jurors who they believe will not decide cases fairly. However, in the case of Batson v. Kentucky 476 U.S. 79 (1986), the Supreme Court ruled that race could not be used as a factor in eliminating prospective jurors. This paper examines federal litigation for five years in which it was alleged that race was used as a factor in removing a juror. An examination of the cases revealed that most of the cases involved sole male litigants who allege that there were multiple race-based peremptory challenges used in their cases. Moreover, most of the cases that led to the allegations involved violent offenses. Other case characteristics are noted, but of most significance was the finding that most appellants lost their cases. As such, the courts felt that most of the challenges were, in fact, race neutral. The implications of this research are discussed. This study was funded by an undergraduate research grant from Penn State University.