《环球法律评论》2010年第5期中英文提要

本文系作者主持的司法部"国家法治与法学理论研究"项目：《司法实践中刑民关系界分案件处理的实证分析及其法律对策研究》（项目编号：08SFB3015）的阶段性成果。

内容提要：在提倡刑法学派之争以及风险社会与法治建设初成的背景下，通过对实质的刑法解释立场之知识谱系的详细考察，可以发现，我国实质的刑法解释立场之主张与我国刑法犯罪构成的结构特点之间并不存在实质性联系。形式的与实质的刑法解释立场之间的对立,从表面上看，对刑法解释结论起决定性作用的似乎是刑法规范中的立法原意抑或客观规范目的，而根本上，则是法哲学根基与法学方法论的对立。绝对的强调尊重字面含义、注重从概念直接推导出结论的形式的刑法解释立场实质上是不存在的，以此对形式的刑法解释立场进行责难其实是一种理论上的误读。实质的刑法解释立场固然有其合理性，但方法与本体、形式正义与实质正义、主观的立法原意与客观的规范目的等范畴的对立都是实质的刑法解释立场运用中无法回避的问题。实质的刑法解释只有在形式的刑法解释结论与刑法的正义性存在根本性的冲突而又无法获得妥当性结论时，才能发挥其应有的作用。

关键词：实质的刑法解释立场形式的刑法解释立场知识谱系法学方法论

王昭振, 北京师范大学刑事法律科学研究院博士后研究人员，大连海事大学法学院副教授。

［Abstract］Against the background of promoting contention of different criminal law schools and the emerging of risk society and buildingup of rule of law, and through detailed examination of substantive interpretation of criminal law, one may find that there is no substantial link between the position upheld by substantive interpretation of criminal law and the structural characteristics of constitution of a crime in criminal law in China. With regard to the contradictions between the formal and substantive interpretations of criminal law, as far as the appearances go, it seems that legislative intent or purpose of an objective standard contained in criminal norms plays a decisive role in relation to the conclusions of interpretation of criminal law, whereas fundamentally speaking, it is the contradiction between the foundation of philosophy and legal methodology that matters significantly. Actually, there is no formal interpretation of criminal law that absolutely emphasizing the respect for the literal meanings and paying attention to conclusions derived directly from the concepts. As a result, any blame on the position upheld by formal interpretation of criminal law is really a kind of theoretical misunderstanding. Substantive interpretation of criminal law certainly has its merits, but it has to face contradictions of various norms, such as contradictions between method and thinginitself, formal justice and substantive justice and subjective legislative intent and objective purpose of a norm. In society full of uncertainty, in order to avoid greater social risks, the current interpretation of criminal law should pay more attention to methods and the form of criminal justice and emphasize separation of powers under the legislative system. Only when there exists a fundamental conflict between the conclusion of formal interpretation of criminal law and the justice pursued by criminal law and no proper conclusion can be made, can substantive interpretation of criminal law play its due role.

（责任编辑：黄列）

内容提要：在"盐酸案"、"电力盗窃案"的判断上，考夫曼犯了两个颇为类似的错误。从刑法学传统概念范式看，一般认为可归因于其对类推的认识与运用存在问题。实际上，类推已不具有足够的说服力。更深层次的原因在于，考夫曼继受了哲学诠释学的读者中心论立场，消解了司法判决所依凭的法律规范之标准，从而陷入了主观主义、相对主义的泥淖。他的类推思维是一种存在着严重缺陷的诠释学思维。只有站在诠释学的理论高度，才能更好地把握考夫曼所犯错误的根源，才能厘清为何他对类推概念、禁止类推观念、进而对法律发现过程均产生了误读。

关键词：考夫曼类推哲学诠释学诠释学思维

姜福东，青岛科技大学政法学院副教授，法学博士。

［Abstract］In judging two criminal cases, Arthur Kaufmann made similar mistakes. This may be attributed to Kaufmann's misapprehending and misusing of analogy, if one proceeds from traditional concepts of criminal law. Actually, traditional paradigm of analogy is no longer convincing. The author points out that the root cause of Kaufmann's mistakes lies in the fact that Kaufmann took over the readerresponse theory of Philosophical Hermeneutics, and consequently, abandoned the standard of legal norms relied upon by judicial decisions. Kaufmann, thus, got bogged down in relativism and subjectivism. The author further points out that Kaufmann's analogical thinking belongs to a kind of hermeneutical thinking with serious shortcomings. Only from the perspective of legal hermeneutics, can we better comprehend the root cause of mistakes made by Kaufmann and his misapprehending of the concept of analogy, the notion of prohibition of analogy and the process of finding law.

（责任编辑：黄列）走出刑法形式解释与实质解释的迷思

本文为作者主持的国家社科基金项目"法治时代刑事政策影响定罪的机理与限度研究"（10CFX024）、司法部国家法治与法学理论研究项目"刑事政策与刑法解释关系研究"（09SFB3014）以及江苏省教育厅项目"宽严相济政策的刑法解释功能研究"（09SJD820002）阶段性成果。

内容提要：形式解释与实质解释并非两种不同的解释方法，而是两种不同的解释立场：两者在方法论上并没有原则分歧，两者的分歧在于哲学基础与价值观。形式解释论采取传统的认识论诠释学；实质解释论综合认识论诠释学与本体论诠释学的观点；极端的实质解释论主张完全抛弃认识论诠释学，走向本体论诠释学。形式解释论侧重自由保障，实质解释论侧重法益保护，由此可以导出五条规则和三个结论。

关键词：刑法解释方法论诠释学价值观

欧阳本祺，东南大学法学院副教授，法学博士。

［Abstract］With regard to formal interpretation and substantive interpretation, they are not different methods of interpretation, but two different positions of construction. In methodology, there are no differences in principle, instead, differences lie in philosophical basis and values. Formal interpretation adopts traditional cognitive hermeneutics, while substantive interpretation integrates the viewpoints of cognitive hermeneutics and ontological hermeneutics. With regard to extreme substantive interpretation, it holds that ontological hermeneutics should replace cognitive hermeneutics completely. Formal interpretation focuses on the guarantee of freedom, while substantive interpretation emphasizes the protection of legal interests. On the basis of this, five rules and three conclusions can be deduced.

（责任编辑：黄列）法实证主义理论中的"人类形象"

本文是国家社会科学基金重大项目"学习实践科学发展观重大问题研究--以人为本与中国法制发展"（项目编号：08&ZD001）的子课题"以人为本的法思想史考察"的阶段性成果。

内容提要：法实证主义理论中的"人类形象"着重于"个人"的分析与建构。由于哲学基础和方法论立场的不同，此种对于"个人"的分析与建构存在着很多差异：边沁和奥斯丁的功利化表达立足于经验哲学和功利主义；凯尔森的符号化表达立足于新康德主义哲学；哈特的去功利化表达则是在面对现代道德哲学的挑战时所作出的让步。通过对"个人"的形象在法实证主义理论中的学术史考察，我们可以展示出法实证主义的人学维度。

关键词：法实证主义人类形象功利主义

许小亮，清华大学法学院博士生。

［Abstract］The fundamental task of legal theory studies is to establish "human image". "Human image" elaborated in legal positivism emphasizes the analysis and construction of person. Owing to distinctions between philosophical ground and methodological position, there exist many differences in terms of analysis and construction of person among various thinkers. Bentham and Austin's expression of utilized person is based on empirical philosophy and utilitarianism, Kelsen's expression of symbolized person is based on neoKantianism and Hart's expression of deutilized person actually is a compromise made when facing the challenge of modern moral philosophy. We can show the humanist dimension of legal positivism through the examination of person in intellectual history of legal positivism.

（责任编辑：支振锋）　　

内容提要：禁止授权原则是美国行政法学上的重要概念，它是由联邦法院通过判例发展而来的重要原则，两个多世纪以来历经坎坷。但1999年的一个判例使该原则重焕新生，其中要求行政机关必须提供"明确原则"来指引行政立法的运作，此种强化行政自我拘束的思路值得中国借鉴。

关键词：授权立法明确原则行政立法合法性要件

高秦伟，中央财经大学法学院副教授。

［Abstract］Being an important concept in American administrative law, nondelegation doctrine is established on the basis of the development of case law of the federal courts. In a history of more than two centuries, the process of the development of nondelegation principle has been by no means smooth, and there have been quite a lot of controversies and almost nothing has ever been discussed in the past, because federal courts have seldom invoked it. However, a 1999 case has kindled the nondelegation principle anew, in which the court required administrative agency provide an "intelligible principle" so to guide the operation of administrative rulemaking. China may draw on the experiences of such approach to heighten the selfrestraint of administrative agencies.

（责任编辑：支振锋）论过失导致的纯粹精神损害

内容提要：在美国法上，过失导致的纯粹精神损害经历了一个从不赔偿到赔偿、赔偿范围逐渐扩大的发展历程。在判例法上，"影响规则"、"危险区域规则"、"旁观者规则"和"特殊关系规则"等的发展，一方面使美国的精神损害赔偿与身体上的损害逐渐发生分离，另一方面则使精神损害的赔偿从直接受害人扩大到第三人。美国《侵权法重述》也顺应了这样一种发展趋势，特别是第三次《侵权法重述》对判例作了很好的总结。美国法上的经验，在我国《侵权责任法》刚刚颁布并且仅仅对精神损害作出了概括性规定的今天，对于如何解释和适用该法律具有重要的意义。

关键词：纯粹精神损害影响规则危险区域规则旁观者规则特殊关系规则

周琼，华中科技大学法学院博士研究生。

［Abstract］In American Law, mental harm caused by negligence has experienced a process from noncompensation to compensation, and the scope of compensation becomes wider and wider. In case law, the development of impact rule, zone of danger rule, bystander rule and preexisting relationship rule has gradually divorced compensation for mental harm from physical injury on one hand; and extend the compensation from direct victim to the third party. The Restatement of Torts, particularly the Third Restatement, has also conformed to this trend of development and consequently, made an appropriate summary of case law. Today in China, in a situation when tort law has just been promulgated but provided only a general stipulation on mental harm, American experience is of great significance in terms of the ways to explain and apply our tort law.

（责任编辑：姚佳）

内容提要：英国法官的法袍形成于中世纪中期。法袍的形成与样式与基督教会有着密切的联系，而世俗法官的法袍则是王权加强后的产物，体现了王权的要求。英国法官戴假发的传统开始于17世纪60年代，后来假发逐渐替代了中世纪的法官头饰，成了普通法系法官的独特标志。近年来，英国开始对传统的法官服饰进行一系列的改革，法袍逐渐简单化，假发也被限制在刑事诉讼领域。

关键词：法袍假发英国司法改革程序正义

王华胜，安徽财经大学法学院讲师。

［Abstract］Judges' gowns took shape in the middle of Middle Ages in England. The shaping and the style of the gown were closely related to Christian Church. On the other hand, gown of secular judge was the product of increasingly strengthened power of the crown, thus gave expression to demands of the royal power. In England, judges began to wear wigs in 1660'. With regard to judges' headdresses, they were gradually replaced by wigs in Middle Ages, and the latter became an important symbol of judge under common law system. In recent years, England launched a series of reforms of court working dress. As a result, gown has been simplified by degrees and wig can only be worn in criminal proceedings.

（责任编辑：支振锋）

内容提要：同性婚姻立法在２１世纪以前是各国婚姻立法的禁区，至２１世纪以后，这一现状发生了根本性的改变，荷兰、比利时和西班牙率先通过国家立法的形式将同性婚姻合法化。加拿大作为对待同性恋态度最宽容的国家之一，在同性婚姻法案通过了国会最后投票阶段之后，于2005年7月成为世界上第四个通过国家立法形式认可同性婚姻的国家。然而，同性婚姻立法在加拿大并非一蹴而就，它经历了一个漫长而复杂的历史进程，有其深厚的法律背景，是加拿大宪章时代的结果，是同性恋者在其他权利获得确认的基础上，经由法院判决到立法确认、从部分省和地区立法到联邦立法这一渐进的过程。

关键词：同性婚姻性倾向歧视已注册伴侣关系平等权类推情形

张剑波，西南政法大学副教授。

［Abstract］Legislation on samesex marriage was a taboo in marital legislation around the world before the 21st century. This situation has changed radically when Netherlands, Belgium and Spain have legalized samesex marriage through national legislation. Canada, which is one of the countries that holds the most tolerant attitude toward homosexuals, became the fourth country that accepted samesex marriage by means of national legislation in July, 2005 after the bill of samesex marriage got approved during the last period of voting in parliament. However, legislation on samesex marriage in Canada is not accomplished by one single effort; instead, it has undergone a long and complicated historical process. With a profound legal backdrop, legislation in this respect actually is the product of Canadian Age of Charter on the basis of recognition of rights of gays and lesbians, and finally affirmed through decisions of court and the law. The process is also characterized as one progressively developed from some local legislation to federal legislation.

（责任编辑：黄列）

内容提要：我国检察官纪律惩戒程序基本上等同于普通公务员的纪律惩戒，这不利于防止司法腐败，保障检察机关依法独立行使检察权。对大陆法系检察官纪律惩戒程序的比较研究表明，制度设计必须寻求通过惩戒实现检察权责任与相对独立之间的平衡。检察官纪律惩戒程序改革应强化惩戒主体的独立性，实现专业自治，体现社会参与，并使程序公正。

关键词：检察官纪律惩戒程序相对独立最高司法会议

邓辉，江西财经大学法学院教授、法学博士。

谢小剑，江西财经大学法学院副教授、法学博士。

［Abstract］In China, the procedure of disciplinary penalty of prosecutors is basically similar to that of public servants, which is detrimental to the prevention of judicial corruption and not helpful to the guarantee of exercising procuratorial authority independently according to the law by procuratorial organs. A comparative study on procedures of disciplinary penalties of prosecutors under civil law system reveals that institutional design should seek a balance between the responsibility and relative independence of procuratorial authority through penalties. The reform of procedure of disciplinary penalty of prosecutors should enhance the independence of the subject of the penalty, so to realize professional selfregulation, reflect public participation and guarantee procedural justice.

（责任编辑：天支）

本文属于国家社会科学基金青年项目"民主法制进程中的乡村司法制度建设研究"（批准号09CFX060）的成果。

内容提要：既有对涉农法律实效问题的实证研究局限在国家法-民间法等二元框架中，这种简单视野难以面对中国法律实效问题的复杂经验背景，忽略了基层政权对法律实效的重要影响。基于自身利益和偏好，基层政权可能采取不同的执法手段，涉农法律的执行实效因此呈现出不同的经验形态。从中央立法、基层政权偏好、地方社会偏好三个因素的关系出发，可以建构一个解释法律实效的三维理论框架，它将执法者所处的压力型体制纳入考量之中。

关键词：基层政权法律实效偏好压力型体制

陈柏峰，中南财经政法大学法学院副教授。

［Abstract］The existing empirical study on actual effects of law is limited to the dualistic framework of national law and folk law, which is a too simple vision to face the complex background of actual effects of law in China, and overlooks the important influence of rural grassroots political power on the actual effects of law. For their own interests and preferences, rural grassroots political powers may adopt different means in law enforcement, the actual effects of law, therefore, have shown different forms of experiences in practice. From the relationships among central legislation, preferences of grassroots political power and local social preferences, we can construct a threedimensionframework for the interpretation of actual effects of law, which takes into consideration the pressuretype system in which law enforcement personnel works.

（责任编辑：支振锋）

内容提要：捆绑折扣是价格竞争的一种表现形式，它是一种有效的商业工具，但有时也可能成为企业滥用其市场支配地位的手段。在执法实践中，欧美竞争执法机关将审查范围限定在具有市场支配地位的企业提供的捆绑折扣上，并以"同等效率竞争对手"为参照对象，运用"价格-成本测试"方法、区别不同情形分别适用"整个捆绑件的掠夺性定价分析规则"和"折扣配置规则"对捆绑折扣进行全面评估并设置"软安全港"。虽然欧美竞争执法机关在执法立场和采用的成本基准等方面存在差异，欧美的先进作法对于刚出台不久的中国反垄断法都有很重要的启示意义。

关键词：捆绑折扣滥用市场支配地位效果原则成本标准折扣配置规则

叶高芬，福州大学法学院讲师，中国社会科学院法学研究所博士生。

［Abstract］Bundled discount is regarded as a form of price competition. On one hand, it serves as an effective business tool; on the other, it may sometimes become a means to abuse one's market dominant position. In the practice of law enforcement, only the bundled discount employed by dominant firm shall be scrutinized by both European and American competition and law enforcement authorities. The bundled discount in question is given an overall evaluation under total bundle predationbased test or discount allocation principle when bundletobundle competition is impossible, in which the pricecost test and the standard of equally efficient competitors are applied. Moreover, soft safe harbor of bundled discount is also established. Although there are some differences on competition and law enforcement approach and cost benchmark between European and American authorities concerned, yet their advanced experience in bundled discount is of great practical significance to China.

（责任编辑：姚佳）

内容提要：来华苏联法学专家已知有35人，他们任职于重要的岗位，因而能对新中国法制建设产生重要的影响。这是一个年富力强的群体，他们中不少人工作经验丰富，有多年法律工作经历，学术造诣较高，这通常意味着他们对苏联的法律制度、法学教育与研究有一定了解，在传授苏联法制经验方面具有很强的能力。来华苏联法学专家从不懂汉语、无中国法制方面研究成果，到研究中国法制并取得成就，除了再次证明他们具有较高素质和能力外，还体现了他们在苏联经验和中国实际相结合上所做的努力及成效。了解来华苏联法学专家这样一个群体后，便不难理解苏联法制为什么能够深深地影响中国法制。

关键词：新中国苏联专家法制

唐仕春：北京大学历史系2005级博士生，中国社会科学院近代史研究所助理研究员。

［Abstract］There were 35 Soviet jurists coming to China during the early period of the founding of New China. All of them held important posts then and therefore, had a significant influence on the building up of legal system in China. Young and energetic, and having relatively rich work experience in legal field, these specialists were of high academic attainments. This means that they were pretty familiar with the legal system, legal education and legal studies in the former Soviet Union. Definitely, they were competent for passing on the experience of Soviet legal system. When they came to China, they did not know Chinese language and had not done any research on Chinese legal system. However, with great efforts, they became "China hands" on Chinese legal system and scored outstanding achievements. This had not only proved their relatively high qualities and abilities, but also showed their efforts and success in combining Soviet experience with Chinese conditions. Studying this group of Soviet jurists helps us better understand why the former Soviet legal system has such deep influence on Chinese legal system.

（责任编辑：支振锋）

最高人民法院2009年海事海商审判综述

本文由最高人民法院民事审判第四庭提供案例，陆效龙、余晓汉整理，万鄂湘审定。

万鄂湘陆效龙余晓汉万鄂湘：武汉大学国际法教授、博士生导师、最高人民法院副院长。

陆效龙：中国社会科学院法学所博士后，最高人民法院民事审判第四庭审判长。

余晓汉：最高人民法院民事审判第四庭法官。