专题：法律渊源与引证.doc

专题：法律渊源与引证一、概念（一）司法过程找法适用法结论1、制定法宪法或制定法释法演绎推理结论2、普通法先例类比推理/归纳推理结论3、习俗、法学家的论述、法律原则新问题（二）找法1、法律渊源（sources of law）（1）可作为法官判决依据的法律的表现形式，或从何种规范中可以获得法律依据，制定法 or 判例or 习惯法 forms of law/sources of authority法律的层次或效力层次（2）在何处或通过何种媒介或文献找到法律法律检索美国法典、判例汇编、联邦规章法典2、判决依据（authority）（1）文献意义上具体适用的判决依据在哪里可以找到A原始判决依据（primary authority）直接出自具有立法权的政府机构的判决依据，如制定法、先例、行政机构的规章、裁决等。a ）强制性判决依据（imperative/mandatory/controlling authority）或拘束性判决依据（binding authority）对争议案件具有管辖权的机构发布。b ）说服性判决依据（persuasive authority）对争议案件不具有管辖权的机构发布。如A州最高院的判决对于B州法院的案件。B二级判决依据（secondary authority）私人、非政府机构创作的或政府机构非以行使立法权的方式制定的判决依据，如法律重述、法律评论、法律专著、百科全书、字典等。其本身不是法律渊源，不具有法律效力但具有说服力。（2）解决争议的直接依据如某一制定法的某一条款，或法律评论中的某篇文章的某个观点等。二、法律引证（citation）援引一个司法先例或法律依据，借以支持或削弱某一观点。美国：统一引证体系（A Uniform System of Citation），俗称蓝皮书（the Bluebook），由哈佛法律评论协会出版。英国：牛津法律依据标准引证（The Oxford Standard Citation of Legal Authorities），牛津大学编定。三、美国的法律渊源（一）法律渊源的位阶/层次（hierarchies of sources of law）上位法优于下位法，后法优于前法，特别法优于一般法。（二）美国宪法（the Constitution of the United States） 最高位阶的法律渊源，包括1787年的宪法文本和其后的多个修正案。宪法划分了联邦与州的权限，规定州与州之间的关系，设立三权分立的联邦政府框架及各自的组织方式、程序和权限，并规定了对于个人权利的基本保障。唯一有权解释宪法的是联邦最高法院并且它还可以评估联邦或州法律的合宪性。联邦最高法院作出的解释成文宪法的司法判例也构成宪法依据的一部分。Constitution宪法典；Constitution Law成文宪法和联邦最高法院对宪法的解释。（三）制定法（statute）指由国会或州立法机关通过立法程序制定（enact）的法，也称为“立法”（legislation）或“制定法”（enacted law）。legislation更多是一个属概念，即制定法的总称。enacted law既可以是属概念，也可以为种概念，即某一部制定法。Statute也既可以是属概念（也作statutory law），还可以为种概念。作为种概念，既指某一部制定法，还可指由若干enacted law构成的有关某一主体的法律，如statute of limitations, statute of frauds。Black Law Dictionary:Statute. A law passed by a legislative body; specif., legislation enacted by any lawmaking body, including legislatures, administrative boards, and municipal courts. The term act is interchangeable as a synonym. Legislation. 1. The process of making or enacting a positive law in written form, according to some type of formal procedure, by a branch of government constituted to perform this process. Also termed lawmaking; statute-making. 2. The law so enacted. 3. The whole body of enacted laws.Enacted law. Law that has its source in legislation; WRITTEN LAW. 制定法的位阶高于判例法，其中宪法高于所有法律，包括条约。联邦法首先在法律单行本上公布，然后编撰到成文法规大全，随后进入美国法典。引用联邦法的一个例子是：42 U.S.C. sec. 9607，是指美国法典9607章42条。（四）条约（treaty）条约在国内法上的效力问题，也成为直接适用性（direct application），即条约是否可以直接作为有效的法律渊源。一元论和二元论，二元论需要通过转化立法将条约转换为国内法才能适用。美国存在五种类型的国际协议：宪法规定的“条约”（参议院2/3多数通过），国会以简单多数事先授权总统或事后批准总统缔结的行政协定，总统根据自身职责性质在没有国会参与情况下签订的行政协定，以及条约授权制订的实施细则性质的行政协定。其中第一种称为“条约”（treaty），后四种称为“行政协定”（executive agreements）。对于一项国际协议能否直接适用，取决于其是否是“可自动执行的”（self-executing），这必须根据个案情况具体加以考察。如果一项国际协议是可自动执行的，该协议则和联邦法律具有同等地位。（五）委托立法（delegated legislation）即立法机关将立法权授予某些机构执行。包括：行政规则（administrative rule）或称“行政规章”（administrative regulation）；地方性条例（ordinance），由地方立法机构制定，相当于我国的地方性法规；行政命令（executive orders），即总统或州长根据具体的制定法授权或内在权限发布的法律；联邦法院规则（federal court rules）。其中，行政规章是最重要的委托立法，其位阶高于州法，但低于宪法和制定法。（六）司法先例（judicial precedent）即能够为涉及相似事实或争点的在后案件的解决提供依据的已决判例。适用遵循先例原则（stare decisis）的先例称为“拘束性先例”（mandatory/binding precedent）；对法院没有拘束力的先例但可以使用的先例称为“说服性先例”（persuasive precedent）。先例的位阶低于成文法，即不但低于宪法、条约和制定法，还低于有约束力的行政规章。行政机构的裁决，即“行政裁决”（administrative decision 或 administrative ruling）在一定程度上也适用stare decisis原则，但不像法院判决那么严格。（七）州法 州宪法是州的最高法律。各州法令必须与其宪法相一致。市府宪章、法令、规章及法规仅适用于当地问题。根绝美国宪法“最高条款”（Supreme Clause），美国宪法、依据宪法制定的法律以及缔结的条约，是美国的最高法律，即是州法的上位法。“依据宪法制定的法律”包括国会的制定法、州际约章、总统行政命令、联邦行政机构制定的规章以及联邦法院规则。四、英国的法律渊源（一）制定法指由议会通过并经君主御准而获得法律效力的法案（act），也成为议会法（Act of Parliament）。（二）条约英国是典型的二元论国家，条约由王权签订，但是如果一项条约影响私人权利或执行该条约需要修改普通法或制定法，则必须由议会将其转换为一项国内立法后，即经由议会制定法律吸收条约或条约规范后，该条约才能获得国内法效力。英国是欧盟的一员，1972年欧洲共同体法规定了一个事先转化条款，实际上承认了欧盟法的直接国内效力。但其效力仍低于宪法。（三）委托立法议会通过制定“授权法”（enabling Act），这些法律只是制定一个处理问题的框架，并通过其中的一个授权条款授权其他机构在该框架下制订填补该立法计划所需的细节性规则，这些下级机构制定的规则即是委托立法。委托立法不能与议会立法相抵触。（四）司法先例 制定法通常被视为必须经过法院的解释才具有判决依据价值，在此之前制定法是不完整的。解释制定法的判决成为与被解释的法律同等的法律渊源。（五）习惯 当今，大部分习惯已经被吸收到普通法或制定法中，但仍然存在着适用于特定地区的习惯，独立于普通法之外。五、二级判决依据私人、非政府机构创作的或政府机构非以行使立法权的方式制定的判决依据，也称为“二级渊源”（secondary sources）。（一）法律百科全书（legal encyclopedias）类似于普通的百科全书，涵盖很多主题，提供一般化的信息。通常有出版商的编辑人员而不是法律专家撰写，通常指描述法律而不加以批判或提出建议。故作用有限。美国现行的两部一般性的法律百科全书是美国法律百科全书和美国法学，英国主要有霍尔斯伯英格兰法律。除此之外，还有众多专门法律百科全书，通常只是针对某一个法律领域。1、美国法律百科全书（第二辑）（Corpus Juris Secundum），简称“C.J.S.”。该书由West Group出版，1936年开始出版，共150卷，包括400多个主题，下面再细分为小主题、节。该系列还附有若干增补卷。其前身即第一辑，称为美国法律百科全书（Corpus Juris），简称“C.J.”，从1914到1937年共出版72卷。Wikimedia：Corpus Juris Secundum (C.J.S.) is an encyclopedia of U.S. law (see Secondary authority). Its full title is Corpus Juris Secundum: Complete Restatement Of The Entire American Law As Developed By All Reported Cases (1936- ) It contains an alphabetical arrangement of legal topics as developed by U.S. federal and state cases.CJS is an authoritative American legal encyclopedia that provides a clear statement of each area of law including areas of the law that are evolving and provides footnoted citations to case law and other primary sources of law. Named after the 6th century Corpus Juris Civilis of Emperor Justinian I of the Byzantine Empire, the first codification of Roman law and civil law. (The name Corpus Juris literally means body of the law; Secundum denotes the second edition of the encyclopedia, which was originally issued as Corpus Juris by the American Law Book Company.)CJS is published by West, a Thomson Reuters business. It is updated with annual supplements to reflect modern developments in the law. Entire volumes are revised and reissued periodically as the supplements become large enough. It is also on Westlaw. Before Thomsons acquisition of West, the CJS competed against the American Jurisprudence legal encyclopedia.该百科全书的引证格式为：卷数 + 名称缩写 + 主题名称 + 节号 + （出版年）。主题名称可以省略，如果引用出自增补卷，需标明。如：85 C.J.S. Taxation 806(1954); 82 C.J.S. 115; 72 C.J.S. Supp., Prods. Liab. 31 n.93(1975).2、美国法学（第二辑）（American Jurisprudence, 2nd series），简称“Am. Jur. 2d”。Wikimedia：American Jurisprudence (second edition is cited as Am. Jur. 2d) is an encyclopedia of United States law, published by Thomson Reuters. It was originated by Lawyers Cooperative Publishing, which was subsequently acquired by the Thomson Corporation. The series is now in its second edition, launched in 1962. It is a staple of law libraries, and the current edition is over 140 volumes, updated with replacement volumes, annual pocket supplements, and a New Topic Service binder. The discussion has extensive research references to other Thomson West publications, including sister publications Am. Jur. Trials, Am. Jur. Proof of Facts, Am. Jur. Pleading and Practice Forms, and Am. Jur. Legal Forms. Before Thomsons acquisition of West Publishing, it was a competitor to Corpus Juris Secundum. Am. Jur. is available online through both Westlaw, and LexisNexis.Am. Jur. 2d的引用格式与C.J.S.相同。如：56 Am. Jur. 2d Municipal Corporations 327(1971).3、法律专著（treatises）通常是详细论述一个法律主题的著作，由私人作者写作。专著的引用格式是：卷数 + 作者或编者全名 + 专著名 + 所在页、节或款 + （版本数 + 出版年），其中专著名用斜体，如：W.keeton, D.Dobbs, R.Keeton, & D.Owen, Prosser and Keeton on Law of Torts 322-324(5th ed.1984).4、法律期刊（legal periodicals）最有名的是“法学评论”（law review）和“法律期刊”（law journal），通常由大学的法学院出版。如：Harvard Law Review, The Cambridge Law Journal.还有ABA Journal等。其引证格式为：作者名 + 文章名 + 法律期刊卷数 + 法律期刊名称缩写 + 起始页 + 所在页 + （出版年），其中文章明用斜体，如：Winter, Paying Lawyers, Empowering Prosecutors, and Protecting Managers: Raising the Cost of Capital in America, 42 Duke L.J.945, 948-966(1993).5、美国法律报告（American Law Reports），简称A.L.R.自1919年开始由律师合作出版公司出版，后由West Group出版。1969年后联邦法律问题单独收入新出版的美国（联邦）法律报告（American Law Reports，Federal），简称A.L.R. Fed.。系列出版年度法律问题领域A.L.R. 1st1919-1948州及联邦A.L.R.2d1948-1965州及联邦A.L.R.3d1965-1969州及联邦A.L.R.3d1969-1980州A.L.R.4th1980-1991州A.L.R.5th1992-2005州A.L.R.6th2005-present州A.L.R. Fed.1969-present联邦报告由“注释”（annotation）和“判例”两部分组成。每个现行系列每年出版6-9卷，每卷大概收录10篇。注释Wikimedia：In American law, the American Law Reports are a resource used by American lawyers to find a variety of sources relating to specific legal rules, doctrines, or principles. It has been published since 1919 and remains an important tool for legal research.Each ALR volume contains several annotations. An annotation is an article that summarizes the evolution of a very specific legal concept in a concise and precise fashion. The article will either be preceded by the full text of an important relevant case, or in later series, contain a reference to the text of the case, which is reproduced at the end of the volume.The article will contain a wide variety of relevant citations to cases from throughout the United States and secondary sources like law review articles. The range and number of citations is always strongly representative but not always guaranteed to be completely comprehensive.Although similar in tone to the articles in legal encyclopedias, ALR annotations are different in that they are not organized alphabetically, and they tend to delve more deeply into a specific legal principle or doctrine, while, in contrast, encyclopedia articles aim for a broader view of the legal issue. In addition, ALR articles are careful to provide cases on both sides of the legal issue and provide listings of cases according to their jurisdiction.Since the annotations are published in the order the leading cases were decided, there are various finding aids. The combined ALR Index indexes topics covered from ALR2d to the current series of ALR and all series of ALR Fed. Wests ALR Digest now follows the classification system of the West American Digest System, and includes headnotes for the reported cases, as well as references to the annotations. For topics covered entirely by federal law, the softbound Quick Index indexes annotations in ALR Fed. The softbound Table of Cases (for a state case) or ALR Federal Table of Cases (for a federal case) provides ALR references for a particular case. A reader may also use the references in American Jurisprudence, Corpus Juris Secundum, and state encyclopedias published by Thomson West to find a more in-depth discussion in ALR. Finally, ALR articles may also be searched on Westlaw.ALR has been published in several series (the current series is ALR6th) and there are series of ALR Fed (which focuses on federal law). ALR3d through ALR6th and ALR Fed are updated by pocket part supplements (the first series has a citation service, and ALR2d a Later Case Service). Annotations may be superseded by a later annotation in which the editor reanalyzes the law in light of recent developments.引用格式：注释文章的作者 + Annotation字样 + 注释文章名 + 卷数 + 报告的名称缩写 + 起始页 + 所在页（出版年），注释文章名用斜体，如：Russell G. Donaldson, Continued Existence of Bankruptcy Code Chapter 13 Estate After Confirmation of the Chapter 13 Plan, 126 ALR Fed.665, 1995 WL 900170(1995)(Supp.1999).。6、重述（Restatements），又称法律重述（Restatement of the Law）Wikimedia：The Restatements of the Law are treatises on U.S. legal topics published by the American Law Institute, an organization of legal academics and practitioners, as scholarly refinements of black-letter law, to address uncertainty in the law through a restatement of basic legal subjects that would tell judges and lawyers what the law was.As Harvard Law School describes the Restatements:The ALIs aim is to distill the black letter law from cases, to indicate a trend in common law, and, occasionally, to recommend what a rule of law should be. In essence, they restate existing common law into a series of principles or rules.The Restatements were the first undertakings of the Institute after its establishment in 1923 and were originally supported by grants from the Carnegie Corporation.In the period from 1923 to the end of World War II, the Institute published Restatements of Agency, Conflict of Laws, Contracts, Judgments, Property, Restitution, Security, Torts, and Trusts. Beginning in the 1950s (1952), updated and enlarged versions of most of these works were published as volumes o