Resuscitation of a Phantom? On Robert Alexy’s Latest Attempt to Save His Concept of Principle

This paper is my contribution to round three of a longstanding debate between Robert Alexy and me about the principles theory’s concept of principle. In the first round, Alexy—bucking tradition—proposed a nongradualist distinction between rules and principles that divided the ontology of norms into two categorically distinct norm‐types. He connected this norm‐theoretical analysis with a theory of fundamental rights according to which such rights had to be understood as principles and thus interpreted as optimization requirements. In the first round I objected to the norm‐theoretical assumptions and questioned the doctrinal merit of the principles theory approach. Unlike Alexy, I saw no merit in his notion of principle over and above optimization requirements, which by that time Alexy, too, regarded as rules. In round two, Alexy defended his concept of principle by taking refuge in the notion of an ideal ought, which he defined as a command to be optimized. In this second round, I criticized the new attempt to save his view of principles on the ground that the norms Alexy had in mind optimized not commands but states of affairs and thus were ordinary norms or rules according to the misguided taxonomy of the principles theory. Alexy opened round three of our exchange by admitting that my critique of round two was justified and that he had erred in identifying principles as ideal commands to be optimized. He now proposes an index theory of principles. In the paper, I recapitulate the motive and the main points of our debate and scrutinize Alexy’s latest innovation.     

The Special Case Thesis

The author outlines his thesis that legal discourse is a special case of general practical discourse ( Sonderfallthese ) and develops it as an attempt to cover both the authoritative, institutional, or real and free, discursive, or ideal dimension of legal reasoning. On this basis, he examines the objections raised by Habermas (1996) to the special case thesis. First, he discusses the reduction of general practical discourse to moral discourses ( genus proximum problem) holding that the former is a combination of moral, ethical, and pragmatic arguments within the priority of just; second, he examines the objection that general practical arguments change their character or nature when employed in legal contexts (subset and specification problem) and the related problems concerning legal validity and unjust law. He concludes proposing a procedural (opposite to a coherential) integration of general practical arguments in the legal context.     

O.J.'s defense: A reductio ad absurdum of the economics of Coase and Posner

A reductio ad absurdum takes the principles of a doctrine, applies them exactly as their creators did only to an entirely different subject and with horrendous results, and thus shows what absurd conclusions are logically compatible with the original thesis. This article applies the tenets of the Chicago law and economics tradition, as adumbrated by two of its most distinguished practitioners, Coase and Posner. It shows that on the basis of this canon a case can be made out for freeing O.J. Simpson—even if he did indeed kill his wife. The article is an attempt to show that the libertarian reliance on personal and private property rights is a much more robust thesis than the Chicago precept of wealth maximization.     

Professor Waldron Goes to Washington

In Torture, Terror and Trade-Offs: Philosophy for the White House Jeremy Waldron asks how moral philosophy can illuminate real life political problems. He argues that moral philosophers should remind politicians of the importance of adhering to moral principle, and he also argues that some moral principles are absolute and exceptionless. Thus, he is very critical of those philosophers who, post 9/11, were willing to condone the use of torture. In this article I discuss and criticize Waldron’s absolutism. In particular, I claim that the arguments he offers in support of it are either dependent on religious conviction or support only rule utilitarianism, not absolutism. Additionally, I argue that the character of politics is such that it is both undesirable and morally irresponsible for politicians to adopt the absolutist approach favoured by Waldron. We have reason to be glad that Professor Waldron does not go to Washington.     

论宪法权利的构造

宪法权利的构造方式有两种,一种是规则构造,一种是原则构造。规则是明确命令,它的应用形式是涵摄,而原则是最优化命令,权衡是它独有的运用方式。原则构造迄今引发了诸多反对意见,最为重要的是对权衡的理性的质疑。本文是对权衡理性的辩护。通过发现和证立隐藏在德国宪法诉讼中合比例审查背后的衡量公式,文章尝试证明权衡是理性的,原则理论就此有能力成为宪法权利的基础学说。     

Giovanni Battista Ratti's Critique of Principles Theory

Ratti has attacked principles theory in two respects. The first is that it is impossible to distinguish between rules and principles. The second is that the main thesis of principles theory, which says that balancing is the specific way of applying principles, is wrong. The result of Ratti's critique is his thesis that principles theory founders on a contradiction or, as Ratti calls it, an antinomy. All of this is based on two arguments: Ratti's disapplication argument and his law of concretization. I attempt to reject this analysis, for it is incomplete. It claims to be an analysis of balancing, but it misses the decisive point of balancing. Informed by this background, I defend the distinction between rules and principles as a distinction of the real and the ideal “ought.”     

On the Thesis of a Necessary Connection between Law and Morality: Bulygin's Critique

In this article the author adduces a non‐positivist argument for a necessary connection between law and morality; the argument is based on the claim to correctness, and it is directed to an attack stemming from Eugenio Bulygin. The heart of the controversy is the claim to correctness. The author first attempts to show that there are good reasons for maintaining that law necessarily raises a claim to correctness. He argues, second, for the thesis that this claim has moral implications. Finally, he attempts to refute Bulygin's objection that the claim‐based argument for non‐positivism boils down to contradiction and triviality.     

Improving Judicial Controls over the Pretrial Development of Civil Actions: Model Rules for Case Management and Sanctions

This article follows two earlier pieces in which the author reported the findings of a pilot empirical exploration of how well the discovery system in civil litigation is functioning. Brazil begins by focusing on the principal problems his field studies exposed and by suggesting a theory of discovery reform which responds to the nature and sources of those problems. His principal thesis is that too often neither judges nor attorneys assume sufficient responsibility for the discovery system as a system. Most of this article is devoted to two major proposals that are designed to promote in the judiciary and in counsel a sense of responsibility for the pretrial system and to equip the judiciary to convert that sense into action. Brazil proposes a comprehensive model rule that courts could use to manage the pretrial development of civil actions. He then uses his model as a background for suggesting modifications to and extensions of the proposed revision of Rule 16 that the Advisory Committee on Civil Rules has circulated for comment. He also offers a critique of current provisions for sanctions and advances an alternative sanctions rule that acknowledges a right to compensation for damages caused by an opponent's breach of pretrial obligations and that reduces the scope of judicial discretion to refuse to impose compensatory awards.     

Dr. Walter C. McCrone's contribution to the characterization and identification of explosives

Dr. McCrone was an amazing individual, possessing many talents and having many interests. He especially loved applying polarized light microscopy (PLM) to answering the question-at-hand and solving problems. He applied PLM to many different fields including the identification of air pollution particles, asbestos identification, art conservation, pharmaceuticals, industry problems and forensic sciences. A field that I believe he enjoyed the most was the characterization and identification of explosives. Throughout his life he worked on, gave presentations and published articles on the characterization and identification of explosives. Also, he encouraged other scientists to give presentations and publish on the subject by providing "behind the scene" advice and/or be a co-author on a paper. He unselfishly taught others how to apply PLM and incorporate this invaluable tool into their analytical scheme.     

Sir/St. Thomas More on the US Constitution: ‘More Perfect’ is not Utopian

Sir Thomas More was a politician, statesman, visionary humanist, and a friend of Erasmus, Colet, and Henry VIII. His most famous literary work is Utopia, a word coined based on the Greek for ‘no place’. Its influence has been enormous, inspiring social thinkers as diverse as Rousseau and B. F. Skinner. Using the principles More seemed to advocate, this article addresses the question: ‘What would he have thought of the Constitution of the United States had he lived to read it and experience life under its aegis?’ Much of what the Americans have done he would appreciate, much he would deplore. He would appreciate the federal nature of government, the elective nature of the legislature, and the freedom granted to citizens. He would have deplored slavery based on race and applauded the 13th Amendment. He would have looked askance at the role of the president and the necessity for a military. In sum, if we can believe that what he wrote in Utopia reflects his attitudes correctly, Thomas More’s would be a mixed verdict on American republicanism.     

The Legitimacy of Law: A Response to Critics*

Abstract
In this paper, the author responds to the claim that his critique of legal positivism, based on an account of adjudication in South Ahica, misses its target because it ignores, first, the positivist thesis of judicial discretion and, secondly, the fact that positivism offers no account of judicial obligation. He argues that these theses expose a tension in positivism between its commitments to liberal individualism and to the supremacy of positive law, a tension which can be resolved only by situating positivism in its true context, the Hobbesian argument for the legitimacy of law. Following Dworkin, he advocates the practice-oriented common law tradition, one that makes the legitimacy of law a matter of standards already implicit in law which are best revealed in adjudication.     

The Relational Conception of Practical Authority

I argue for a new conception of practical authority based on an analysis of the relationship between authority and subject. Commands entail a demand for practical deference, which establishes a relationship of hierarchy, vulnerability, and responsibility that involves a variety of signals and commitments. In order for this relationship to be justified, the subject must be under a preexisting duty, the authority’s commands must take precedence over the subject’s judgment regarding fulfillment of that duty, the authority must accept the position and responsibilities of command, and the authority must be sufficiently trustworthy relative to how vulnerable the subject makes herself by deferring. This results in an instrumentalist conception of practical authority that can be favorably compared to Joseph Raz’s influential service conception. The relational conception’s main advantage is that it focuses on the authority as much as the subject, requiring that the authority accept responsibility for the relationship and be sufficiently trustworthy. This allows the relational conception to avoid problems that the service conception faces and illuminates institutional authority.     

A coup d'état in law's empire: Dworkin's Hercules meets Atlas

In Law's Empire, Ronald Dworkin advances two incompatible versions of law as integrity. On the strong thesis, political integrity understood as coherence in fundamental moral principles constitutes an overriding constraint on justice, fairness and due process. On the weak thesis, political integrity, while a value, is not to be privileged over justice, fairness, and due process, but to be weighed along with them. I argue that the weak thesis is superior on both of Dworkin's criteria: fit and justifiability. However, the weak thesis must be amended to allow for coherence in policies as well as in principles: the social consequences of legal decisions must be taken into account.I would like to thank Kenneth Kiprnis for his helpful comments on earlier drafts.     

Assessing and Tax Accounting Principles in the German Civil and Commercial Code and the Impact on Tax Compliance

The author outlines the development of accounting and assessing principles in Germany. He presents the poor regulations at the beginning and shows the thoroughly improved rulings after the middle of the 19th century as a result of specific problems caused by the revolutionized taxation sytem after priority was shifted from indirect excise duties to direct new income taxation. The author shows the impact of accounting problems and the development of modern accounting principles originated by the political events. He outlines the gradual formation of extraordinary deficiencies of the German legal accounting principles compared with the ideal goal of all accounting. The author demonstrates the difficulties, which brought about a different historical economic development beween German and Anglo-Saxon accounting principles. He shows the obstacles the harmonisation activities are facing and the endeavours to support globalisation.     

Positive Law and Systemic Legitimacy: A Comment on Hart and Habermas*

Abstract
The author revisits H. L. A. Hart's theory of positive law and argues for a major qualification to the thesis of the separation of law and morality based on a concept of systemic legitimacy derived from the social theory of Jurgen Habermas. He argues that standards for assessing the degree of systemic legitimacy in modern legal systems can develop through reflective exercise of "critical legality," a concept coined to parallel Hart's "critical morality," and an expanded understanding of the "external" and "internal" perspectives on legal systems. Following Habermas, he argues that modern positive law must retain systemic legitimacy. After suggesting criteria for measuring systemic legitimacy, the author concludes that the concept provides a useful approach to contemporary problems of "lawless" regimes and "law's imperialism."     

Approaches to Liberty. Outline for a “Methodological Communitarianism”*

Abstract. In this paper, the Author gives an account of the French perspective on the debate between an “individualist” and a “communitarian” conception of liberty. He argues that, despite the dominant tendency within recent French political philosophy to assume that the individualist conception of liberty is the only truly modern form of liberty, communitarian principles are present within the Enlightenment tradition. He demonstrates the inadequacies of the individualist approach in an analysis of Rawls, and also rejects the type of communitarianism developed by MacIntyre, which depends upon a substantive concept of the community. With reference to theories of communication, he describes how we can elaborate a cornmunitarian approach to individual freedom.     

Can Self-Defense Justify Punishment?

This piece is a review essay on Victor Tadros’s The Ends of Harm. Tadros rejects retributive desert but believes punishment can be justified instrumentally without succumbing to the problems of thoroughgoing consequentialism and endorsing using people as means. He believes he can achieve these results through extension of the right of self-defense. I argue that Tadros fails in this endeavor: he has a defective account of the means principle; his rejection of desert leads to gross mismatches of punishment and culpability; and he cannot account for punishment of inchoate crimes.     

Lawyers' Professional Ethics—Do They Exist?

The author's aim is to prove that certain moral principles will always be etched into laws when the interest of society demands it and when morality as a set of norms guiding behavior no longer functions in an expected manner outside the system of law. In this paper, it is argued that morality is constituted within the law in a more profound way as well as in a way which is also much more difficult to identify than, for example, conventional instructions concerning professional ethics may indicate. The main thesis is that de facto there are no particular professional ethics of lawyers beyond or above the ethical principles binding all people.     

论《大学英语》教学的基本原则

英语教学的基本原则是英语教学过程客观规律的反映,是英语教师在教学活动中正确处理教材和采用教学方法的依据,是老师掌握教学方向、检查教学效果、提高教学质量的指针。本文对大学英语的教学过程进行了探讨,并提出了八条应遵循的基本原则。     

The Special Case Thesis and the Dual Nature of Law

In this article, I take up two arguments in favor of the discursive model of legal argumentation: the claim to correctness argument and the dual nature thesis. The argument of correctness implies the dual nature thesis, and the dual nature thesis implies a nonpositivistic concept of law. The nonpositivistic concept of law comprises five ideas. One of them is the special case thesis. The special case thesis says that positivistic elements, that is, statutes, precedents, and prevailing doctrines, are necessary for law in order to achieve legal certainty. Without this, law would not be as perfect as it could possibly be. But it says, at the same time, that this alone would not be enough to fulfill the claim to correctness. The claim to correctness refers not only to the real dimension of law, defined by statutes, precedents, and prevailing doctrines, but also to its ideal dimension, defined, first and foremost, by justice. The special case thesis is my oldest thesis. It has remained an essential element of my system over the years. Its connection with four other theses—the Radbruch formula, the human rights thesis, the idea of deliberative democracy, and principles theory—does not change this at all. On the contrary, this connection has lent greater strength to the special case thesis.