应急时期司法政策的现实运用及风险规控

在国家处于应急时期时,最高人民法院单独或联合出台司法政策已成为非常态社会治理的重要方式。应急时期的司法政策具有出台快速性、效力临时性、目的明确性、主体联动性和运行政治性特点,并通过“作为裁判依据”和“作为裁判背景”的方式化解社会矛盾、维护社会稳定。鉴于司法政策本身的定位不清,其对秩序的追求和紧急权行使与基本法治原则相抵牾,以及“成本—收益”理论阐释该时期政策与法律选择的非自主性,应急时期的司法政策在实现法治价值的同时也极易被不当运用,如直接将行政政策转化为司法政策,为达成维稳目标致使司法政策“运动式”运行,政策的“短期化”削弱司法公信力,以及笼统地将司法政策用作裁判依据等。针对可能风险,我们应基于法律与社会的“诉求—回应”关系,厘清特殊时期司法政策与公共政策的区别,结合教义学体系明确司法政策运用的具体要求,借助案例指引作用阐释司法政策蕴含的裁判规则,以及通过法律论证增强援引秩序价值说理的可接受性。     

“规则制华”政策下中国自由贸易协定的功能转向

中国已签订的自由贸易协定在商界利用率不高,经贸规则止步于对世界贸易组织的简单模仿,总体上偏向于扩大市场准入的传统功能且效果有限。当代国际经济法面临体系性重构,由西方主导的“规则制华”政策的影响与日俱增,但该政策背离了全球治理的正确方向。鉴于此,当下中国自由贸易协定应积极转向规则建构功能:一是以自身利益为内在基准进行议题盘点,突出自身的规则诉求;二是以制度扩散为外在目标,追求国内制度外溢与对外制度供给,并以“效率提升型”制度为供给特色,从而将本国自身利益与国际公共利益结合起来。“合理利用区域机制,通过自由贸易协定进行规则再造,对‘一带一路’中小伙伴进行制度供给”的改革思路符合中国的实力现状,这一思路既能促进全球化背景下的经贸合作利益,又能保障新兴大国对内的公共政策自主权与对外的制度话语权。     

论“合理期待原则”在保险法中的适用——以司法裁判为视角

“合理期待原则”建立在保险合同附合性基础上,但与疑义不利解释、格式条款的说明义务、免责无效制度等格式条款传统规制规则不同,其是在总结、反思上述规则的基础上,产生的一种独立的保险合同规则。适用“合理期待原则”并不是简单地满足投保人的主观期待,而是在探究可能导致投保人与保险人利益失衡的各种客观因素的基础上,为平衡保险各方权利义务而做出的必要司法调整和干预。“合理期待原则”的适用会导致一定程度上的缔约自由萎缩,为了保持司法的谦抑性,有必要明确“合理期待原则”的客观适用标准和具体适用程序,以实现公平和效率的统一,并为我国最终引入该规则提供有益的借鉴。     

Balancing Security and Democracy, and the Role of Expertise: Biometrics Politics in the European Union

What is the relationship between security policies and democratic debate, oversight and rights? Does coping with security threats require exceptions to the rule of law and reductions of liberties? The inquiry that follows tries to answer such questions in the context of the European Union and takes the case of biometric identification, an area were security considerations and the possible impact on fundamental rights and the rule of law are at stake. Some hypotheses are explored through the case study: “securitisation” and “democratisation” are in tension but some hybrid strategies can emerge; the plurality of “authoritative actors” influences policy frames and outcomes; and knowledge is a key asset in defining these authoritative actors. A counter-intuitive conclusion is presented, namely that biometrics, which seems prima facie an excellent candidate for technocratic decision-making, sheltered from democratic debate and accountability – is characterised by debate by a plurality of actors. Such pluralism is limited to those actors who have the resources – including knowledge – that allow for inclusion in policy making at EU level, but is nevertheless significant in shaping policy; it explains the central role of the metaphor of balancing security and democracy, as well as the “competitive cooperation” between new and more consolidated policy areas. The EU is facing another difficult challenge in the attempt at establishing itself as a new security actor and as a supranational democratic polity: important choices are at stake to assure that citizens’ security is pursued on the basis of the rule of law, respect of fundamental rights and democratic accountability.     

Action oriented strategic planning: The concepts of infrastructure and functional domains

The problem is how to translate limited and uncertain knowledge about the future environment into operational strategic policy decisions. Because the strategic policy decisions must be made with a long time perspective in mind (10 to 10 years), planners tend to formulate strategies which are overly broad. A solution to the broad and uncertain approach is to employ a system that relys upon the use of the infrastructure. When the infrastructure is divided into permanent and complete societal functions, then specific opportunities can be presented to the organization. Examples of functional domains that may be relevant to strategic long-range planning are: industrial capabilities, pieces of legislation, regulation and training. Our knowledge about evolving world trends is usually available in functional terminology (i.e., the evolving “information society”, the “leisure society”, the “energy crisis”, and the “food crisis”, etc.) Knowledge about the future behavior of the Functional Domains may enable organizations such as governments and/or corporations, to create the required infrastructure for capitalizing on possible opportunities.     

Spatial patterns of homicide and political legitimacy in Europe*

Political legitimacy, or a state's “right to rule,” has been a concern for philosophers, political scientists, and sociologists for centuries. This paper examines the relationship between European states' level of political legitimacy and violence, as represented by their homicide rate. It is theorized that political illegitimacy affects homicide through deteriorating social institutions of control, violating the rules of reciprocity between the state and citizens, and/or creating an environment of “virtual statelessness” that encourages methods of “self-help.” Focusing on the modernized societies of Europe, where legitimacy may be more important to maintaining order, the present study reveals two important findings: political legitimate states have significantly lower levels of homicide, and high and low homicide rates in Europe are significantly clustered among post-Soviet states (high) and Western Europe (low).     

知识产权全球治理体系改革的中国方案

知识产权是国家在全球竞争的核心要素。当前的知识产权全球治理体系主要是由发达国家集团,尤其是美国主导建立的。中国未能参与治理体系的制定,只是被动的接受。在“后金融危机时代”,美国利用“胡萝卜加大棒政策”和“国家俱乐部模式”,推动知识产权全球治理规则朝着“保护最大化”和“国际规则美国化”方向发展。中国应努力实现由知识产权全球治理的规则内化型参与到规则外溢型参与,在充分考虑外部世界舒适度的前提下参与知识产权全球治理,推动全球治理体系的逐步转型。     

Dodging Dodd‐Frank: Excessive Speculation,Commodities Markets,and the Burden of Proof

Inspired by the wave of regulatory rulemaking, which followed the 2008 financial crisis and the passage of the Dodd‐Frank Act, this article examines the efforts of the Commodities Futures Trading Commission to implement one such rule: Rule 76 FR 4752. Born of concerns with the impact of financial speculators on commodities prices, the rule calls for the expanded use of position limits to control “excessive speculation” in US commodities markets. In documenting the political and legal life of this rule from its roots in policy reports through to its suspension by a federal judge, the article explores the place of “evidence” in the rulemaking process. Particular attention is devoted to the growing evidentiary burden placed on financial regulators who are expected to frame market problems in terms of quantitative, price‐based forms of harm. In the case of position limits, this has involved statistical analyses of the causal connections between excessive speculation and commodities prices and the use of a single statistical test: Granger causality. By examining the parameters and limitations of this test, the article offers a valuable window into the unique challenges of financial regulation and their roots in questions of knowledge, evidence, and proof.     

公司章程“排除”公司法:立法表达与司法检视

我国现行《公司法》中的"公司章程另有规定,从其规定"条款,消解了实践中公司章程"排除"公司法相应条款的合法性危机。然而遗憾的是,对于公司法中的"另有规定"条款之立法筹划与司法裁判问题学界少有系统性研究。从实现章程自治的制度初衷而言,未来公司法规则之修订应充分利用"假设交易"方法、"遵守反之则解释"方法与"单向缺省"方法重新塑构其中的缺省性规范,以进一步明确并扩展公司章程可"排除"的规则范围;同时,相关案件之司法裁判应抛弃公司合同主义的裁判路径和初始章程与后续章程二元界分的裁判标准,转而采用"目的性标准"与"公正度标准",以团体法标准从实质意义上判别公司章程"排除"公司法决议的效力属性。     

40 YEARS OF THE RULE OF ADMINISTRATIVE LAW: ENHANCEMENTS,EXPERIENCE, AND EXPECTATIONS

Based on major landmark events and the rule of law development, the administrative rule-of-law construction in China, over 40 years since the initiation of the reform and opening up policy, can be divided into four stages: the “recovery” stage; the “rapid development by focusing on administrative legislation” stage; the “implementing the basic policy of law-based governance of the country and focusing on law-based administration of government” stage; and the “simultaneous advancement and integrated construction in building the rule of law in China” stage. Over the past 40 years, China’s administrative rule-of-law construction has achieved fruitful results in terms of theoretical shaping, system construction, and concept popularization. The future construction of the administrative rule of law should promptly respond to the theoretical needs put forward by state governance, administrative changes, emerging science, and technology development, and it should continue to improve the theoretical system of administrative law with Chinese characteristics; we should strengthen legislation in key areas, solve practical problems in the construction of a government under the rule of law, and promote the effect of law enforcement and system implementation. We should also focus on improving the awareness and qualities of the rule of law at all levels of leading cadres and form a good rule of law atmosphere in the entire society.     

我国“或裁或审”条款的反思与突破——兼评《仲裁法司法解释》第7条

由于没有明确的立法规定,“或裁或审”条款的性质与类型在认定上十分模糊,因此各级人民法院经常在该问题上产生混乱。例如,“或裁或审”条款与“一裁终局”条款相混淆,多份协议与单一协议中的“或裁或审”条款相模糊,以及对《最高人民法院关于适用〈中华人民共和国仲裁法〉若干问题的解释》(以下简称《仲裁法司法解释》)第7条的理解不一致等。虽然最高人民法院发布的司法解释或指导性案例能为各级人民法院在“或裁或审”条款的性质与类型的定性中提供指引,但并不能从根本上解决《仲裁法司法解释》第7条中对于仲裁协议无效的规定。纵观各国对于既约定仲裁又约定诉讼的条款的态度,我国对于仲裁无效的判定过于严厉,这与我国正在推进建立亚太国际仲裁中心的政策考量不入。只有对法律制度的突破与变更才能在实质上修正立法的滞后性。先管辖先受理原则的借鉴,不仅可以为维护当事人意思自治提供出路,而且可以为我国鼓励与支持仲裁的发展消弭弊端。     

Affirmed: A Study of Criminal Appeals and Decision-Making Norms in a California Court of Appeal

The work of state intermediate appellate courts is often described as “correcting legal errors” and “supervising” trial courts. But what do these labels mean in practice? This article explores the intermediate appellate process through a study of criminal appeals in a California Court of Appeal. Part I describes the characteristics and dispositions of criminal appeals. Contrary to popular impression, a conviction was reversed in only about 5 percent of these appeals. To explain the low reversal rate, part II draws upon interviews with justices of the Court of Appeal to examine the institutional norms and perspectives guiding the court's decisions. The basic decision norms described by the justices are norms of affirmance: for example, the harmless error rule and the substantial evidence rule incline the court to affirm despite certain legal errors or factual questions. Moreover, the particularistic approach the court typically takes in its decision making apparently sensitizes it to the substantive characteristics prevailing in criminal appeals: the crimes are serious and there is little doubt about factual guilt. The low reversal rate and the analysis of the court's norms suggest that intermediate appellate review of criminal convictions is narrower and more constrained than the “error correction” and “supervision” labels imply. Part III explores the implications of the case study for appellate policy.     

Rules as Icons: Wittgenstein's Paradox and the Law

In this paper Section 1 distinguishes between two modes of interpreting legal rules: rehearsal and discourse, arguing that the former takes priority over the latter in law, as in many other contexts. Section 2 offers two arguments that following a legal rule in the rehearsing mode presents a riddle. The first argument develops from law, and submits that legal rules do not tell us anything, because they are tautological. The second one develops from philosophy (Wittgenstein's later works), confronting us with the paradox that incompatible courses of action may be derived from any rule. My solution presents a theory of rules as icons (Section 3 ). I use “icon” rather than “picture,” partly to avoid confusion with what is known among philosophers as “the picture theory of meaning.” Interpretation in the rehearsing mode hinges on imagination: imagining oneself in the space of reasons for action rather than reasoning oneself. In this act of imagination, we project ourselves into the rule in ways that are similar to the way we grasp the sense of paintings, music, stories, or poems. Finally (Section 4 ) I will defend the position that my view solves the puzzles in the second section, by arguing (a) that it is a better account of what Wittgenstein wrote than two competing theories (intuitionism and conventionalism), and (b) that it provides a more satisfactory account of how lawyers deal with legal rules in actual practice.     

Staring into the abyss: A crisis of the rule of law in the EU

Acceptance of the meaning, operation and enforcement of the rule of law in the EU by its Member States is critical to the Union's legitimacy. Any perceived or real crisis in the rule of law thus merits careful consideration. This article focuses on how a crisis in the rule of law occurred within the EU and how the intended ambiguity of the rule of law has entrenched this crisis. This article argues that the primary cause of the crisis has been the EU's development of a unique ideation of the rule of law ‐ as a constitutional norm, policy instrument and value ‐ that 'hollowed out' the rule of law from a constitutional principle to an expedient policy tool. The EU institutions have entrenched the crisis in the rule of law and then tried to manage the chasm between what it deems as respect for the rule of law and certain Member States' conduct.     

习近平法治思想中的刑事法要义

有关刑事法治的丰富论述是习近平法治思想的重要组成部分,可以将习近平法治思想中的刑事法要义概括为“宽严相济,以发展眼光看问题”的刑事政策论、“完善对违法犯罪行为的惩治和矫正法律”的刑事立法论、“守住防范冤错案件的底线”的刑事司法论、“综合施策、标本兼治”的犯罪治理论。习近平法治思想中的刑事法要义在吸收国际社会刑事法治文明成果的同时,较为集中地体现了对中华法治文明的传承与弘扬。刑事法治建设与刑事法研究必须以习近平刑事法治思想为根本遵循,深刻领悟和把握习近平刑事法治思想的博大精深,避免做西方刑事法治经验与理论的“搬运工”。     

The Juristic Study of Law's Formal Character

Abstract. The author summarizes the essential elements of a general theory he is developing which he calls “The Formal Character of Law.” He explains that law's formal character is a potentially major branch of legal theory that is still relatively unexplored. In his view, it is possible to identify formal attributes in (1) legal rules, (2) other basic legal constructs such as interpretive method, the principles of stare decisis, legal reasons, and legislative and adjudicative processes, and (3) a legal system viewed as a whole. For example, a legal rule has, in varying degrees, such formal attributes as generality, definiteness, and simplicity. (Other constructs have other formal attributes.) Such attributes are formal in the sense that they apply to or accommodate highly variable content and do not prescribe or proscribe content. Of course, legal phenomena have other characteristics besides their formality. The author's main technique for developing his theory is to address a common set of questions to the varied formal attributes of (l), (2), and (3) above. Among other things, the answers to these questions further explicate how law is formal, demonstrate that law is not merely a means of serving problem-specific policy but also serves formal values (which may sometimes trump or limit policy), treats the relations between form and content—specially how good form begets good content and bad form bad content, explores the design and implementation of appropriate formality—its “anatomy and physiology,” and analyses the “pathology” of legal form including not only the “formalistic” (the overformal), but also the “sub-stantivistic,” and shows how the overall theory is important both jurisprudentially and in practical ways.     

Corporate Groups under Italian Law: A Comparative Approach and the Brand-New “Crisis Code”

This paper provides an overview of the evolution of the harmonization process of European law in the field of group of companies, referring to the development of a national “group of companies law” — from the company law reform to the crisis and insolvency code — with the purpose of examining the main aspects of the regulation in force, considering mainly the possible interaction with the rules on the crisis of the groups of companies introduced by the Legislative Decree No. 14/2019, and with the aim of analyzing its suitability for being devoted to the prospect of harmonization across countries.     

规范语境下口供补强规则的解释图景

补强规则中的口供是指证明案件主要事实的被告人供述,补强证据是口供外的其他法定证据,与口供没有同源性。借鉴域外的“罪体标准”和“可信性标准”,根据补强对象的不同可将口供补强模式划分为罪体印证补强模式、隐蔽性证据(细节)补强模式和口供事实补强模式。我国不宜采口供事实补强模式,但可结合罪体印证补强模式与隐蔽性证据补强模式,将补强对象范围限定在“结果、犯罪行为和主体同一”三个客观面。三个客观面的补强意味着案件事实认定上的两大效果:一是可判断“犯罪已发生,该人有参与”,以降低假案冤案出现的风险;二是口供的可信性得到补强,所涵盖的主要犯罪事实可推断为真。然而“部分为真则全部为真”的推断逻辑仍不免产生质疑,但口供补强规则是定罪规则,并不排斥仅有口供仍可认定案件的部分事实或情节。当然,为确保口供补强规则适用的可靠性,可从口供合法性以及供述动机等外部保障机制再行审查。     

论公司法的性格——强行法抑或任意法?

本文分析公司法的基本性格 ,探讨参与公司制度的各方当事人是否有选择或退出法律规范的自由。对有限公司法而言 ,原则上普通规则可以是任意性的 ,而基本规则应具有强制性 ,不得由当事人自由变更。股份公司法中的基本规则和有关权力分配的普通规则适用于管理层与股东之间利益冲突最为激烈的领域 ,原则上它们应该是强制性的 ,有关利润分配的普通规则则允许有一定的灵活性。在此基础上 ,作者对完善我国的公司法体系和结构提出了若干建议。     

Falling Short of Constitutional Norms: Does “Normative (In)Congruence” Explain the Courts' Inability to Promote the Right to Water in South Africa?

In South Africa, municipal noncompliance with legislation promoting the constitutional right to sufficient water is both a failure of the rule of law and a betrayal of that right. Judicial intervention has prompted formalistic compliance with water law, but the underlying commitment to sufficient water remains unfulfilled. Does the inability of courts to achieve social justice despite enforcing social legislation confirm the thesis that commitments to the rule of law and to social justice are inconsistent, that upholding the rule of law may not advance social justice? This article offers an alternative to this “inconsistency thesis,” arguing that the rule of law can accommodate social justice if it demands normative congruence alongside congruence with formal rules. Empirical investigation reveals that structural challenges and the multifarious normative demands on officials create a condition of normative incongruence that impedes the pursuit of social justice, even as courts compel congruence with formal rules.