《环球法律评论》2009年第6期中英文提要

——一种以主体为基点的研究

资琳

内容提要：根据对现代契约法基本矛盾的不同立场，契约法正当性理论分为道义论和目的论两脉。这两种理论都不能合理论证被普遍认同的契约法基本制度。其根本原因在于，两者的理论根基都是单一主体：前者是单一的抽象化原子论的主体，后者以单一的情境化交互性主体为基础。以具有双重属性的主体——罗尔斯理论中的道德主体——作为基点，可以推导出衡量契约制度正当与否的两个契约法正义原则，这些正义原则能够给契约法基本制度提供充分的正当性论证。

关键词：契约法基本制度正当性论证主体

资琳，中南财经政法大学法学院讲师，法学博士。

［Abstract］According to different viewpoints on the basic contradictions of modern contract law, theories relating to the justification for contract law can be divided into two lines: the deontology view and the teleology view. Neither of them can expound rationally the basic contract institutions universally accepted, because theoretically, both of them are based on a subject of single attribute .The former is based on the unencumbered self, and the latter based on the intersubjective self. The author has deduced two principles of justice for contract law from the moral subject established in Rawls’ theory of double attributes to determine whether a contract institution is proper or not. These principles can provide the basic institution of the modern contact law with adequate justifications.

(责任编辑：廖凡）论自由裁量主义在冲突法中的渗透

论自由裁量主义在冲突法中的渗透

徐伟功

内容提要：传统冲突法多边主义方法的实质，是通过不同的连结点将各类国际民商事法律关系场所化或分配到特定的国家或地区中，最后适用该特定国家或地区的法律规定。这种方法忽视了法官自由裁量权的作用，遭到以美国为首的冲突法学者的尖锐批判。受此影响，各国在冲突法的立法中都赋予了法官一定限度的自由裁量权。自由裁量主义在冲突法中的渗透，成为冲突法立法发展的必然趋势。其渗透的主要方式是采用最密切联系原则，渗透的主要领域是合同和侵权。我们必须正确面对自由裁量主义在冲突法中渗透的现实，在冲突法的立法中适当赋予法官自由裁量权，以应对复杂多变的国际民商事关系。

关键词：自由裁量主义最密切联系原则法律适用

徐伟功，中南财经政法大学法学院副教授，法学博士。

［Abstract］The essence of multilateral approach adopted by traditional conflict of laws is to localize various international civil and commercial relationships through different links or allocate them to a certain state or region, and ultimately apply the law of that state or region. Such approach overlooks the role of judicial discretionary power, and therefore, is sharply criticized by scholars of conflict of laws, particularly in the USA. Influenced by the ideas embodied in the revolution of conflict of laws, the discretionary power of judges has been established in legislation of various states. The gradual penetration of discretionary power has become an inevitable trend in the law-making in conflict of laws, with the principle of proximate relationship as the main pattern and the contract and torts as the main subjects. At present, the legislation of conflict of laws in China is at its critical moment. We, therefore, need to correctly face the reality of this trend, to confer discretionary power on judges in the legislative efforts in the area of conflict of laws, so as to be able to cope with the complex and changing international civil and commercial relationships.

(责任编辑：廖凡）中国传统礼法规制下的身体归属及其在近代的法律转向

中国传统礼法规制下的身体归属及其

在近代的法律转向

方潇

内容提要：一个人的身体归属于谁？在中国传统礼法文化的规制下，超越物质性更具精神性的身体在绝大程度上并非归属于自己，而主要归属于家长、家族和国家。身体的归属具有流转性和多重性，归属权的行使要受到礼法的约束，归属状况使得身体成为一种伦理和政治符号。传统的身体归属在近代由于西方法文化的冲击发生了个人归属的法律转向；在重视个人人权、自由的潮流中，虽有家族归属和国家归属的运作，但身体的个人归属及法律保障则应是最主要的迈进方向。

关键词：身体归属中国传统礼法近代法律转向

方潇，苏州大学法学院副教授，法学博士。

［Abstract］To whom does a person’s body belong? Under the regulation of the traditional Chinese culture of rites, a more spiritoriented but not materialoriented body, to a greater extent, did not belong to oneself, instead, it belonged to the parents, the clan and the state. As the ownership of the body could be transferred and had multiple attributions, and the exercise of the ownership was subject to restraints of the rites, the ownership condition made the body become a moral and political symbol. With the impact of the western legal culture in modern times, the traditional ownership of the body changed direction towards individual ownership. In the trend of emphasizing individual human rights and liberty, the individual ownership of the body and legal protection should be the main trend of development, though the practice that one’s body belongs to the clan and the state still remains in our life.

(责任编辑：支振锋）作为行为和制度的行政指导

作为行为和制度的行政指导

——中日行政指导比较研究

陈斯彬

内容提要：中日两国行政指导实践的差异可以用两个概念来表示，一个是“作为行政活动的行政指导”，一个是“作为行政制度的行政指导”。在中国，由于行政机关具有法律上的指导权限，常常采取明确的表现形式进行指导，行政指导以行政行为的形态出现，易于识别和规范，功能积极。而在日本，由于没有法律权限依据，行政机关采取了各种制度性措施来保障行政指导措施落实，包括官民一体的体制、行政机关的事实强制措施，这些措施一起构成了“作为制度的行政指导”。后者使得行政指导不具有具体形式，难以辨认，难以追究法律责任，从而消解近代的行政法治。中国行政指导实践应朝法治化发展，预防日本式行政指导的危险。

关键词：行政指导行政法治作为行政活动的行政指导作为行政制度的行政指导

陈斯彬，华侨大学法学院讲师。

［Abstract］The difference between administrative guidance in China and that in Japan may be expressed by two concepts, one involving “administrative guidance as administrative activity”, and the other, “administrative guidance as administrative institution”. In China, as administrative organs have the authority to give guidance according to the law, and the guidance is often given in an explicit way, which tends to constitute an administrative activity, it is, therefore, easily identified and normalized. Consequently, administrative guidance plays a functional role in a positive way in China. The concept of “administrative guidance as administrative institution”, on the other hand, reflects a Japanese characteristic, which lacks legal authority. As a result, Japanese administrative organs have adopted various institutional measures to guarantee the implementation of administrative guidance. These measures include the system of integration of the government and the people, and the mandatory measures taken by administrative organs. All these measures have formed the practice of “administrative guidance as administrative institution”. The Japanese practice is difficult to identify and hard to pursue legal responsibility, since the administrative guidance does not have any concrete form. Administrative government by law advocated in modern time has been weakened. The practice of administrative guidance in China should develop in the trend of administrative government by law while avoiding the deficiency of Japanese experience.

(责任编辑：天支）论俄罗斯知识产权法的民法典化

论俄罗斯知识产权法的民法典化本文为2007年度教育部哲学社会科学研究重大课题攻关项目“社会转型与法律变革研究”(07JZD0013）阶段性成果之一。

王志华

内容提要：将知识产权法纳入民法典中统一规定是俄罗斯民事立法的传统。随着2006年底《俄罗斯联邦民法典(第四部分）》的通过，俄罗斯知识产权法的民法典化终告完成。作为民法典独立的一编，知识产权法内容从此获得了与物权法和债法同样重要的地位，成为民事基本法的组成部分。知识产权法民法典化的模式选择不仅需要立法者的智慧和勇气，更要有基础理论的积累和编纂技术为前提。俄罗斯知识产权法的民法典化是对传统民法理论和法典编纂技术的突破和超越，虽非尽善尽美，但它在世界知识产权立法乃至民事立法史上终将成为一个重要的里程碑，或许亦不失为民法典编纂的一种“范式”。

关键词：俄罗斯民法典编纂知识产权法

王志华,中国政法大学比较法研究所副教授，法学博士。

［Abstract］It is the tradition of Russian civil legislation to incorporate intellectual property law into civil code with a view to unifying provisions. With the passing of Russian Civil Code (The Fourth Part) in the end of 2006, the integration of intellectual property law in civil code has been accomplished in Russia at last. Being an independent and integral part within the Civil Code, intellectual property law has obtained the same important status as compared with the law of real right and law of obligation. The determination of pattern of integration of intellectual property law into civil code requires not only the wisdom and courage of legislators, but also the accumulation of basic theories and technical competence of compiling. Though not perfect, yet the integration is a breakthrough in terms of traditional civil theory and compiling technique of the code, and shall be an important milestone in legislation of intellectual property law throughout the world and in history of civil legislation eventually. Moreover, it may become a kind of “model” in compiling of civil code.

(责任编辑：陈洁）美国法人犯罪的归责

美国法人犯罪的归责

王良顺

内容提要：美国联邦法院依据雇主责任原则对法人犯罪归责。在不同的州，法人犯罪的归责原则有所不同。法人犯罪的归责条件包括代理人的行为发生在职务范围内、代理人的目的是为了法人的利益，以及代理人的认识和行为归责于法人等。法人是否应当负刑事责任以及法人犯罪归责的根据是什么，在理论上仍存有争议。近年来，美国法人犯罪的归责理论得到了新的发展，深化了法人犯罪的理论研究。

关键词：雇主责任原则同一原则归责条件归责理论

王良顺，中南财经政法大学刑事司法学院副教授，法学博士。

In the United States, federal courts impose criminal liability on the corporate with the doctrine of respondeat superior. The doctrine varies in different states, but three requirements must be satisfied. They include:(1）an agent acting within the scope of his/her employment;(2）acting for the benefit of the corporation; and(3）the belief and action of the agent can be attributed to the corporation. There are still disputes on whether a corporate should be imposed criminal liability and on what basis it is imposed. Recently, there is some new development in this theory which has deepened the theoretic study on corporate criminal liability.

(责任编辑：王雪梅）胎儿的宪法地位

胎儿的宪法地位

——德国模式与美国模式

曲相霏

内容提要：胎儿的地位是一个无法回避的宪法问题，它涉及宪法的基本价值、引发基本权利的冲突，并与国家权力行使的限度和范围相关。本文客观地揭示了目前宪法规定胎儿地位的两种较为成熟的模式，即德国模式和美国模式。本文观察和显示这两种模式各自的价值基础和逻辑推理，评价其合理性和局限性并展现其困境与难题。

关键词：胎儿的宪法地位生命尊严利益衡量基本权利冲突堕胎规制

曲相霏，中国人民大学法学院博士后，山东大学法学院副教授。

［Abstract］Being an unavoidable constitutional issue, the status of fetus involves the basic value of the constitution, conflict of basic rights and the extent and scope of the exercise of state power. This article has objectively presented two relatively mature paradigms of the constitutional definition of fetus status, namely, American and German paradigms. In German paradigm, fetus is constitutionally defined as a “person” and thus, is provided with a more comprehensive protection of life. In American paradigm, fetus is treated as an object of constitutional relations. With a view to protecting important and legitimate interests such as the social value of respect for life, the life and health of the pregnant woman and the potent person, abortion is subject to the regulation of the state. By studying and revealing the value basis and logical reasoning of these two paradigms, the article has analysed their rationality and limitations and explored their obstacles and difficulties respectively.

(责任编辑：支振锋）俄罗斯生态安全立法及对我国的启示

俄罗斯生态安全立法及对我国的启示本文为黑龙江省社会科学基金（06B018）和黑龙江省教育厅人文社会科学基金（11522075）及海外学人项目（1152HQ03）的阶段性成果。

刘洪岩

内容提要：生态安全作为全球化时代一种全新的安全观同军事安全、政治安全、经济安全、社会安全等一样已经成为国家安全和社会稳定的重要组成部分。俄罗斯作为较早进行生态安全立法实践的国家之一，无论在生态安全理论研究、生态安全立法体系化，抑或生态安全保障制度构建等方面都有其可圈可点之处。俄罗斯的生态安全立法理论及实践对国际生态安全立法一体化的发展提供了学理上的参考，同时，为世界各国共同应对全球性环境问题提供了可供参照的实证路径和范式。

关键词：俄罗斯生态安全生态安全立法

刘洪岩，黑龙江大学法学院副教授，中国社会科学院法学研究所博士后研究人员。

Ecological security, as a brand new concept in the age of globalization, has become an important component of national security and social stability—just like military, economic and social securities. The Russian Federation, as one of the first countries to adopt legislation on ecological security, has made remarkable achievements in theoretical research on ecosecurity, in systematization of ecosecurity legislation, and in the establishment of a mechanism for safeguarding ecosecurity. The Russian experience provides a theoretical reference for the integrated development of international ecosecurity as well as an empirical approach and a paradigm for the international community to jointly cope with global environmental problems.

（责任编辑：谢清艺）美国的区域法制协调

美国的区域法制协调本文是作者主持的2008年国家社科基金项目“行政协议——中国特色的区域法制的协调机制研究”(08CFX102）的阶段性成果。

——从州际协定到行政协议的制度变迁

何渊

内容提要：在美国，州际协定和行政协议都是实现区域法制协调的重要机制。它们之间并不存在相互取代的关系，而只是互补的关系。从实践来看，涉及的州际关系的重要程度决定了各州到底是采用州际协定、正式的行政协议，还是非正式的行政协议。对于涉及重大政治问题的，刚性的州际协定机制是不错的选择，而对于涉及简易的行政问题或紧急问题的，柔性的行政协议机制似乎更有用武之地。

关键词：州际协定行政协议区域法制的协调

何渊，上海交通大学凯原法学院讲师，法学博士。

［Abstract］In the US., interstate compacts and administrative agreements are the most important mechanisms of coordinating regional legal systems. The relationship between them is mutually complementary, rather than substituting each other. In practice, whether a state will adopt an interstate compact or a formal administrative agreement or an informal administrative agreement depends on the importance of the interstate relation in question. When dealing with important political issues, the mandatory mechanism of interstate compact is a good choice. When dealing with simple administrative or urgent problems, the flexible mechanism of administrative agreement can play a more effective role.

(责任编辑：天支）《美国联邦证据规则》中的关联性

《美国联邦证据规则》中的关联性

易延友

内容提要：关联性规则是英美证据法上的基本规则。有关联性的证据，通常具有可采性；没有关联性的证据，一般都不具有可采性。在很多情况下，具有关联性的证据也可因影响审判公正或者诉讼效率而被排除。同时，有些证据仅对案件事实的特定部分相关，因此只具有有限的关联性和有限的可采性。另外，有些证据关联性的有无有待于另外一些证据的出示，从而产生了附条件关联性和附条件可采性的规则。最后，《美国联邦证据规则》对于关联性的判断在立法上采取了逻辑关联主义的立场；在司法实践中，这一立场又体现为经验主义。所有这些因素都导致通过关联性规则排除证据变得十分困难。因此，仅仅通过关联性规则排除不可靠的证据显然是远远不够的。

关键词：关联性有限关联性附条件关联性逻辑关联性法律关联性

易延友，法学博士，清华大学法学院副教授。

The rule of relevancy is a fundamental rule in AngloAmerican Evidence law. A piece of evidence that is relevant to the case is usually admissible, and evidence that is irrelevant to the case is usually inadmissible. In many situations, relevant evidence may also be excluded because of its improper influence on fair trial or the efficiency of the trial. For evidence that is only relevant to part of a case, it may be admitted in a limited way. In addition, whether a piece of evidence is relevant shall depend on the presentation of other evidence. Consequently, the rules of conditional relevancy and conditional admissibility have been established. Finally, the Federal Rules of Evidence adopts a logical relevancy principle in deciding evidence’s relevancy. This results in empiricism in judicial practice. All these factors make it difficult for the rule of relevancy to exclude evidence. Therefore, it is not enough to have merely a relevant rule to exclude unreliable evidence.

(责任编辑：黄列）　　从Kinik案看美国进口贸易中方法专利的保护问题

从Kinik案看美国进口贸易中方法专利的保护问题

王弈通

内容提要：美国《专利法》第271节(g）款和《1930年关税法》第337节均规定了对美国方法专利的保护，但正如2004年发生的Kinik Co. v. International Trade Com’n.一案所揭示的，两者的保护标准存在着实质性差别。在本案中，美国国际贸易委员会认为美国《专利法》第271节(g）款中的“安全港”条款不适用于337条款程序，而联邦巡回上诉法院在上诉程序中支持了这一决定。这起案件表明，美国《专利法》和337条款在对方法专利的保护标准方面存在着差异，而这种保护标准的差异可能导致美国违反了根据GATT1947第3条和第20条、以及TRIPs协定第27条的规定所承担的义务。

关键词：方法专利美国进口贸易美国《专利法》第271节(g）款

王弈通，复旦大学法学院国际法专业博士研究生。

［Abstract］Both the Section 271(g) of the U.S. Patent Law and Section 337 of the Tariff Act of 1930 provide offshore protection in relation to American process patent. However, just as Kinik Co. v. International Trade Com’n. case has revealed, the standards of protection provided by the two provisions are substantially different. In the said case, the U.S. International Trade Commission decided that the safe harbor provision in Section 271(g) is not applicable to Section 337 proceedings, whereas the U.S. Court of Appeals for the Federal Circuit affirmed this decision. Such discrepancy in the law may constitute a violation of obligations contained in Articles 3 and 20 of GATT1947, as wells as in Article 27 of TRIPS Agreement.

(责任编辑：廖凡）日本刑法中“不法原因给付与侵占”述评

日本刑法中“不法原因给付与侵占”述评本文系中国博士后基金一等资助项目《刑民关系的基础理论》成果，项目编号20060400269。

童伟华

内容提要：日本民法规定不法原因给付者可能丧失给付物的返还请求权，但日本刑事判例在多数场合下认定横领不法原因给付财物的行为成立横领罪。学说上则有肯定说、否定说和两分说的对立。从违法一元论出发，民法上不能得到保护的在刑法上也不应保护，但不法原因给付者在民法上并非当然丧失返还请求权，受托者在刑法上仍有可能成立横领罪。刑法上应区分不法原因委托与给付，在不法原因委托的场合，才可能成立横领罪。我国民法没有不法原因给付的明文规定，但日本刑法学中的相关理论特别是两分说对我们仍有借鉴意义。

关键词：日本刑法不法原因给付不法原因委托侵占罪

童伟华，海南大学法学院教授，法学博士，吉林大学刑法学博士后，日本一桥大学法学研究科客员研究员。

According to Japanese civil law, the person who made payment or a present with an unlawful intent may not be entitled to claim for restitution. However, on a number of occasions, such act has been determined as embezzlement in criminal cases in Japan. Academically, there are three doctrines held in this respect, including positive, negative and dichotomy approaches. Sticking to the monist notion in relation to illegal acts, what can not be protected in civil law, shall not be protected in criminal law, either. But the person who made the payment or a present thing with an unlawful intent does not naturally lose the claim for restitution in civil law,and the person who accepted the payment/thing may still be pursued embezzlement crime according to criminal law. Criminal law, therefore, should distinguish mandate under unlawful intent from payment/present made with an unlawful intent. Only for the former act, can the crime of embezzlement be established.

(责任编辑：王雪梅）外商投资境内合伙企业的税法分析

外商投资境内合伙企业的税法分析

崔威

内容提要：我国税法对在中国的投资性(包括创投和私募）合伙企业中持有有限合伙人权益的外国人应否因持有该权益而被认定为在中国有机构、场所没有明确规定，而理论界的探讨也十分欠缺。本文借助美国成文法和案例法中的相关概念和原则，对我国《合伙企业法》中与创投和私募基金相关的部分以及与之对应的税法规则进行分析，得出以下结论：虽然民商事法律有关合伙制度的规定会影响合伙税制的设计和解释，但是在分析有限合伙人权益应否构成非居民企业在华“机构、场所”这一问题上，税法的考虑可以有别于民商法。上述问题的解决最终取决于中国合伙税制的选择，而非民商法中合伙制度的发展。

关键词：私募股权投资有限合伙机构场所合伙企业财产所有权“分流”规则“上传”规则

崔威，中国政法大学中美法学院副教授。

［Abstract］Regarding foreigners who hold partners’ interests in partnership enterprises (including those engaged in venture capital and private equity funds) within China and because of this, they should be defined as having establishments or places of business in China, the tax laws have not provided any clear stipulations. And there lacks theoretical discussion on the issue. Based on relevant concepts and principles established in statutory and case laws of the U.S., this article examines provisions concerning venture capital and private equity contained in the Partnership Enterprise Law of the PRC and provisions contained in tax laws. The article concludes that although provisions of partnership system in civil and commercial laws may influence on the design and interpretation of partnership taxation, yet in analyzing whether a partnership interest will give rise to an establishment of a non-resident enterprise for tax purpose in China, tax laws can have different considerations. Ultimately, the resolution of the issue depends on the choice of Chinese system of partnership taxation, rather than the development of partnership system provided in civil and commercial laws.

(责任编辑：陈洁）论COMI在跨国破产国际管辖中的适用

论COMI在跨国破产国际管辖中的适用

——欧盟及美国的视角

解正山

内容提要：随着跨国破产立法与司法实践的不断完善，跨国破产国际管辖开始从传统走向现代，以主要利益中心为标准的国际管辖新实践逐渐被国际社会及诸多国家的立法所接受，为跨国破产管辖权冲突提供了一个切实有效的解决方案，并在跨国破产管理中发挥着日益重要的作用。然而，作为确定跨国破产管辖权的新标准，主要利益中心在立法及司法实践中仍存在不成熟的一面，如何进一步完善其规则仍需国际社会及各国的共同努力。

关键词：跨国破产国际管辖主要利益中心

解正山，复旦大学法学院民商法专业博士研究生。

［Abstract］With the increasing improvement of the legislation on crossborder insolvency and relevant judicial practice, the international jurisdiction to crossborder insolvency has become modernized gradually. The new practice of international jurisdiction based on the criterion of the COMI, which has played more and more important role in the administration of crossborder insolvency, has been adopted by the international community and many countries, providing an effective way to resolve conflict of international jurisdiction to crossborder insolvency. However, as a new criterion to determine the jurisdiction to crossborder insolvency, the COMI is still immature both in legislative and judicial practice. Accordingly, the international community and various countries need to make further efforts to improve rules of COMI.

(责任编辑：廖凡） 论国际刑事法院管辖权与案件可受理性质疑程序

论国际刑事法院管辖权与案件可受理性质疑程序

杨力军

内容提要：《国际刑事法院罗马规约》第19条是关于质疑法院管辖权和案件可受理性程序的主要条款之一。它规定了有权进行质疑的当事方、质疑的内容和时间限制、由法庭的什么机构对此质疑作出裁决以及质疑对法院行为的影响。国家可以质疑法院管辖权的这一做法是国际刑法的新发展，也是法院补充性原则的重要组成部分。

关键词：国际刑事法院罗马规约质疑

杨力军，中国社会科学院国际法研究中心副研究员。

Article 19 of The Rome Statute of the International Criminal Court is one of the main and most important articles on the procedure of challenging the Court’s jurisdiction and the admissibility of a case. It provides who has the right to challenge the Court, what, when and how to challenge, who will make the decision on the challenge and the effect of the challenge on the function of the Court. The fact that a State is entitled to challenge the jurisdiction of the Court demonstrates a new development in the field of international criminal law and it is also an important part of the Court’s principle of complementarity. The author provides us with a detailed introduction to the procedure and analysis on the legal issues involved in the procedure of challenging the Court’s jurisdiction and admissibility of a case.

(责任编辑：廖凡）国际人权公约视角下的残疾人保障

国际人权公约视角下的残疾人保障

刘海年*

【编者按】2009年5月12日至13日，第18次“中欧司法研讨会”在捷克共和国首都布拉格举行。本次研讨会由爱尔兰国立大学人权研究中心与中国社会科学院法学研究所共同承办，旨在为中国和欧盟的相关利益方之间有关人权问题的建设性讨论创造空间，从而通过人权学术研究与交流进一步增进中国和欧盟在司法与人权领域的对话与合作，并拓展中欧法律文化交流与合作。会议设有两组讨论主题，在讨论主题之下各设三个议题。第一组讨论主题是“获得司法的权利”，下设“获得司法的权利和辩护权”、“获得司法的权利与法律援助”及“获得司法的权利和少年司法”三个议题。第二组讨论主题是“残疾人权利”，下设“国际人权公约视角下的残疾人保护”、“残疾人的司法保护”及“残疾人平等权利（教育、就业）的法律保护”三个议题。参加本次研讨会的代表有学者、非政府组织和政府的代表。与会代表分组对两个主题的每一个议题都进行了热烈的讨论，并围绕所讨论的议题考察了相关国际标准、当前的国内法律和实践以及好的范例或当前做法的更好替代做法。研讨会取得了丰硕的成果。本刊在此发表中国社会科学院荣誉学部委员刘海年教授的会议发言。