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10月13日

欢迎参加

讲座:“风险规制:多风险世界中的法律与治理”

      (Risk Regulation: Law and Governance in a Multi-Risk World


主讲:杜克大学法学院Jonathan B. Wiener教授

嘉宾:北京大学法学院 王锡锌教授 沈岿教授

承办:北京大学法学院公众参与与研究支持中心

时间:20091016 周五 7点至9

地点:北京大学电教305(法学院临时行政楼学生活动中心)


10月12日

terribly related to legal studies

就好象你觉得每天都可能发生的事儿,有一天突然就发生了,你的感觉是“终于。。。是不是晚了点?”,还是“果然。。。是不是实在没啥新鲜的了?”

Ostrom, Williamson Win Nobel Prize for Economics

[WSJ] http://online.wsj.com/article/SB125534373296580027.html?mod=WSJ_hps_LEADNewsCollection

Two American economists, Elinor Ostrom and Oliver Williamson, who study the way decisions are made outside the markets on which many other economists focus, were awarded the Nobel Prize in economics Monday.

Ms. Ostrom, who teaches at Indiana University in Bloomington, Ill., is the first woman to win the prize, which, before Monday, had been awarded to 62 men since it was launched in 1969 to celebrate the 300th anniversary of the Swedish bank. The judges cited "her analysis of economic governance, especially the commons," the way in which natural resources are managed as shared resources. It is an area of research that she said was relevant to questions surrounding global warming, and suggests that decisions by individuals can help solve the problem even as governments work to reach an international agreement.

Ms. Ostrom "challenged the conventional wisdom that common property is poorly managed and should be either regulated by central authorities or privatized," the Nobel judges said. "Based on numerous studies of user-managed fish stocks, pastures, woods, lakes, and groundwater basins, [Ms.] Ostrom concludes that the outcomes are, more often than not, better than predicted by standard theories. She observes that resource users frequently develop sophisticated mechanisms for decision-making and rule enforcement to handle conflicts of interest, and she characterizes the rules that promote successful outcomes."

Ms. Ostrom, who was interviewed by phone during the announcement press conference in Stockholm, described the prize as "an immense surprise," and said, "I'm still a little bit in shock."

Her Ph.D. is in political science, but she said she considers herself a political economist.

Mr. Williamson, who is at the University of California at Berkeley, was cited for "for his analysis of economic governance, especially the boundaries of the firm" -- the reason some economic decisions are made at arm's length in markets and others are made inside a corporation.

"The drawback of markets is that they often entail haggling and disagreement," the judges said. "The drawback of firms is that authority, which mitigates contention, can be abused. Competitive markets work relatively well because buyers and sellers can turn to other trading partners in case of dissent. But when market competition is limited, firms are better suited for conflict resolution than markets. A key prediction of [Mr.] Williamson's theory, which has also been supported empirically, is therefore that the propensity of economic agents to conduct their transactions inside the boundaries of a firm increases along with the relationship-specific features of their assets."

The economics prize is the only one of the six Nobel prizes not created in Swedish industrialist Alfred Nobel's 1896 will, and is officially known as the Sveriges Riksbank Prize in Economic Sciences in Memory of Alfred Nobel.

The two economists will share a 10 million kronor prize (about $1.4 million). Ms. Ostrom said she hopes to devote the proceeds to supporting research and graduate students.

7月11日

Past Writings (4)

小舞弊大过梅道夫


去年夏天读过《可预见的非理性》(Predictably Irrational)之后,就一直对这本畅销书的作者、任职于我所在大学商学院的行为经济学家丹艾瑞耶利(Dan Ariely)很感兴趣。二月份一个研讨班里原有机会听他来谈这本书,但临时有事未能参加,所以直到上周,才在法学院的一次公开讲座上看到这位以色列裔学者。

艾瑞耶利讲的仍是书中有关诚信的一个主题研究。道德学说往往强调诚信是一种先验的道德准则,而经济理论则认为诚信的重要价值在于降低交易成本提高社会效率。二者都认为诚信在规范意义上是可欲的,但在促进诚信的途径上,道德理论强调通过道德约束、教化实现升华,而经济学则强调通过奖惩激励引导行为。行为经济学家并不在规范的意义上质疑道德或经济理论的规范论证,但他们试图首先更加细致具体地观察真实世界中存在的不诚信行为。艾瑞耶利和他的同事曾在不同的环境下进行过多次实验,虽然设计上存在具体差异,但基本形式都是让参与实验者在规定的时间内回答一定数量的问题,然后根据每个答题者答对题目的多少给予小额的现金奖励。诚信行为在这些实验里是这样被观测到的:实验者首先随机抽取一组答题者作为控制组,在其答题完成后,由实验者直接批改,据此发放现金。在这种控制条件下,答题人基本没有任何作弊的机会,而由此实验者得以获知答题人在真实情况下平均可以答对题目的数量。随后,实验者另选取三组答题者作为实验组。第一个实验组在答题完成后,由实验者发放正确答案,让答题者自我检查后,把试卷留在座位上,然后走到考场门口向实验者报告答对数目,领取奖金;第二个实验组答题后不但被允许自我检查,而且在出门汇报数目领奖前被要求将试卷撕毁;第三个实验组则不但自我检查、撕毁试卷,而且出门时不需要向任何人汇报,径自从一个钱罐里根据自己答对的数目领奖即可。

很明显,三个实验组中的答题者都有作弊的机会。而艾瑞耶利在实验中有两个发现:首先,根据他们的自我汇报或实际领取奖金的数目,三个实验组的答题者确实都不够诚实,号称答对的题目数量与控制组相比明显掺水,尽管事实上他们并不会比控制组的答题者脑子更加灵光;但同样重要的是,尽管后两个实验组的答题人被允许撕毁试卷,因此与第一个实验组相比被发现作弊的几率大大减低,但是三组人作弊的程度却没有显著差别,都只是“小偷小摸”,而没有严重越轨。

如果前一个发现与经济学通常假定的趋利避害在原则上吻合,那么后一个发现则可能让经济学家稍感困惑,因为按照经济学理论的预测,作弊被发现的机会越小,作弊行为会更严重才对。一个解释可能是,出于伦理方面的限制,在实验情景下实验者并不能威胁对作弊行为给予事后制裁,这使得作弊是否会被发现对答题人来说并不具有十分严重的后果。但即便如此,既然答题人只会在有限程度上作弊,这还是说明作弊对他们来说在主观上并非没有任何负面后果的行为。——但这又是不是暗示,能够约束人们行为的,主要还是“心中的道德律令”呢?答案同样也不肯定。在普林斯顿大学,新生入学时都要参加两周左右有关诚信的集中培训,而培训结束后不久,艾瑞耶利和他的同事就对这些新生进行了类似的实验,结果发现传统的一般性诚信说教并不能改善学生们“有节制作弊”的行为倾向。但有趣的是,在接下来的另一个实验中,艾瑞耶利稍作改动,让两个实验组的答题人都可以撕毁试卷自行汇报答题正确率,但其中一组在答题前被要求回忆自己最喜欢的十本书的书名,而另一组则被要求先默写摩西十戒,结果发现后者的作弊倾向明显低于前者;而在此,即使默写十戒的答题人压根是无神论者,或者即使信教但却并不能准确说出十戒究竟是何内容,但这都不影响在答题前完成默写所起到的增强行为诚信的效果。对于道德先验论者来说,道德戒律看似发挥了作用,但却是以这样一种方式,多少也让人啼笑皆非。

在艾瑞耶利的实验发现中,除了默写摩西十戒之外,在答题之前阅读简明扼要的考试纪律并签字也有助于减少作弊。此外,他还发现,当奖励的方式不是直接给予金钱,而是发给兑换券让人们之后再自行兑换成金钱的话,人们作弊的倾向又会有所增加。这些研究看似无非都是有关如何对付小作弊的小伎俩,而艾瑞耶利也承认,他的实验并不涉及大是大非巨贪巨骗。但小小的不诚实从来都只处于人们道德视域的模糊地带,无论道德谴责还是法律规制都被认为是缺乏必要的上纲上线,这恰恰才是问题所在。艾瑞耶利尖锐却又无奈地指出,仅在他做的这数次实验当中,因为实验参与者的这些作弊行为,他就已经“损失”了至少六七千美元,而倘若这类行为在社会经济活动中普遍存在的话,即使再鸡毛蒜皮,累积在一起就足够骇人听闻:据统计,每年,美国人在工作单位大大小小“揩油”的数额总计可达6000亿美元,少报税款3500亿,而向保险公司多报赔偿额240亿——“如果我们认为经济危机与诚信缺位有关的话,那在我们每个人的‘贡献’面前,伯尼梅道夫又能算得了什么呢?”

说到这里,艾瑞耶利才情不自禁地挥起了先前一直放在牛仔裤口袋里的右手。尽管坐在后排,我还是能看到他的右手有几只手指残缺不全。十八岁那年,艾瑞耶利周身70%面积的皮肤在一次爆炸中被烧伤。之后的住院治疗过程中,护士每天需要将他身上的绷带揭开给他上药,然后再重新包扎。由于身体多数部位没有皮肤,因此每一次揭开已经粘在肉上的绷带对烧伤病人是极其痛苦的过程。而艾瑞耶利却逐渐开始留心仔细体会思考揭开绷带的不同方法在给病人造成身心痛苦方面存在的相对差异,并从这段经历当中生发了日后对研究人类行为的浓厚兴趣。近年来行为经济学研究不但在学术界影响力越来越大,许多作者也都纷纷面向学术圈外的读者撰写了大量相关读物。而就我所见,艾瑞耶利的这本《可预见的非理性》,在原创性和可读性都堪称突出。也许,曾经的痛苦经历反而使他具备了超越一般人的灵感和敏锐,而这对于从事以见微知著见长的行为经济学研究来说,应该算一个重要的优势吧。

 

 

2009328

于杜兰姆前街


6月13日

(zz)Shakespear and the Law

Law and literature. At Chicago.
http://uchicagolaw.typepad.com/faculty/2009/06/video-shakespeare-and-the-law-conference.html#more

So entertained by the scenes after a day of bar review... 


  


Talks are also good, as here:


 








5月26日

Sotomayor's "Courts Make Policy" Remark

可大可小,媒体炒作,估计也不至于有什么枪毙的罪过
  

3月12日

(zz)Floyd Norris NYT blog: The Supremes Will Decide Which Economics Makes Legal Sense

http://norris.blogs.nytimes.com/2009/03/09/the-supremes-will-decide-which-economics-makes-legal-sense/

March 9, 2009, 5:34 PM

The Supremes Will Decide Which Economics Makes Legal Sense

Last summer I wrote a column and blog item about a bitter argument between two leading lights of the “law and economics” movement, Judges Frank Easterbrook and Richard Posner.

These two judges, colleagues on the United States Court of Appeals for the Seventh Circuit in Chicago, are the heavyweights in trying to apply the lessons of economics to law, and their argument here comes down to which brand of economics you prefer.

(To quickly review the facts of the case, the issue was whether a mutual fund investor could sue a management group that charged far higher fees for managing mutual funds than it did for managing similar portfolios for institutional investors. Judge Easterbrook said no, Judge Posner said yes.)

William A. Birdthistle, a law professor from Kent Law School in Chicago, was the author of a brief filed by several law professors urging the court to hear the case.

He sent me a note today pointing out that the Supreme Court agreed to hear the case, which leaves open the possibility that Judge Posner will prevail.

“The dueling Easterbrook and Posner opinions are a great case study in the clash of classical and behavioral law and economics — Easterbrook assumes a well-functioning market for investment advice, discounts possibly irrational investor behavior, and concludes with a call for greater deregulation of the industry, whereas Posner responds in his dissent with a more behavioralist approach that focuses upon market failures, considers systemic distortions of incentives, and implicitly countenances a role for regulatory intervention.”

The justices know, of course, how the market is doing. “My impression is that, given the horrific state of the nation’s 401(k) accounts these days, any case about whether investors are being bilked should garner a great deal of attention,” wrote Professor Birdthistle.

My suspicion is that any economics that assumes financial markets function well without much regulation is going to be a tough sell in 2009.

The case is No. 08-586, JONES, JERRY N., ET AL. V. HARRIS ASSOCIATES L.P.

3月10日

Past Random Writings (2)

伦理/道德/伦理道德

法学院的最后一年就这样来了。三年级的学生们重新回到教室,课前习惯性的懒腰里,伸展出经历一个暗流涌动的夏天后的如释重负。星期三下午的伦理与职业操守课,对不少人来说却已是一周中的最后一课,只待结束便回家安度劳工节前的“超长周末”去了。伦理与职业操守是法学院高年级学生唯一一门必修课,听来类似国内学生都避不开的思想政治。所不同者,法学院里的伦理与职业操守课让学生坐在课堂里更加感觉无甚头绪,不知所云,倒不如思想政治课那样至少主旋律够鲜明。这大概是由于法律职业语境中“道德”和“伦理”两个概念之间的分殊与张力造成的。律师所谓“职业道德”,不是形而上学的意义判断终极善恶的道德,而是专门针对律师职业厘定的一整套具体的操作性伦理规则,不用于判断一人是否道德高尚,而是为约束律师执业行为符合法律共同体为内部外部所期待应达至的标准,这标准的核心则在于最大程度上主张及维护客户利益。尽管对律师执业行为的规制在联邦体制下属于州权力范围,但美国律协拟定的《律师从业行为模范准则》在全国被参照采纳,既是法学院伦理与职业操守课要求教授的内容,又是申请各州律师资格在实体法律知识之外必定考核其理解掌握水平的文本。伦理准则描述行为标准,规定违法后果,因此实际上就是约束律师的法律;学习伦理准本身因此也是一种法律学习,而不是一种道德熏陶。

但麻烦就麻烦在“伦理”这两个字上头。正如维特根斯坦异常狡黠地发现的,语言常常是一种陷阱,不是怎么想决定怎么说,而是怎么说决定怎么想。日常语言中人们并不细致严格地区分道德和伦理,而即使到了职业语境,“一个好律师能不能同时是一个好人”这样的问题也总是躲也躲不开。第一节课照例布置了案例,学过民事诉讼法的都耳熟能详,斯伯丁诉齐默曼,讲上世纪五十年代一桩严重车祸后发生的事情。肇事司机和受伤乘客是十几岁两个小哥们儿,双方父母也是老友,尽管被害方提起诉讼,但经过审前程序还是以6500美元(在当时也不是一笔小数目)达成了和解。但事情并未就此了结。两年后当年受伤的男孩应征入伍,体检时被发现一处动脉血管肿瘤,情况严重,随时都可能因破裂而引发生命危险。虽然男孩经及时手术逃过一劫,但家长心中疑云密布,刨根问底,发现原来动脉瘤已不是一天两天。早在当年达成和解之前,被告律师为取证曾另找医生为男孩进行检查,而该医生检查中已发现了这个动脉瘤,并报告说如有确切记录证明该动脉瘤在车祸前并不存在,那么动脉瘤与车祸之间就很可能存在因果关系。显然是为维护自己客户的利益,被告律师并没有将此信息披露给原告或法庭。真相大白,原告恍然大悟,气愤难当,向法院提请撤销当年的和解。

从职业伦理的角度看,律师当时选择将那份医疗检查报告隐匿下来并没太大问题;毕竟如果该报告交到法庭,无论和解还是判决,被告要赔偿的数目都可能远远超出6500美金。可任何人读了这样的案例,都没法不直觉上感到被告律师这么做有点不对头,包括法院也在挑不出律师毛病的情况下另找其他理由将原先的和解撤销。而一个学生举手发言说,换了是他,当时就一定会把这个报告提供给原告,毕竟人命关天,哪怕事后按照自己会遭受业内处分也在所不惜。这种“大无畏”的道德情操,结合斯伯丁案的具体语境,似乎并不构成太大的道德难题。不太容易想明白的问题在于,为什么律师伦理准则本身不能直接将道德要求容纳其中呢?

在斯伯丁案以及其他一些类似案件之后,美国律协修改了《模范准则》,允许律师在人命关天的紧急情况下披露客户保密信息。但吊诡的是,《准则》仅是“允许”,却不要求“必须”披露。如果挽救生命高于维护客户利益在道德上如此毫无疑义,为什么伦理准则却还是要让律师在具体情境中自行抉择呢?

也许,伦理准则总是要与道德确信保持一定距离,以尽量把法律职业变成一个非道德(a-moral)——而非不道德(im-moral)的场域。只有在这样一个场域里,为一个明知血债累累的恶棍做刑事辩护,不遗余力为其寻求开罪,才算不得“善恶不分”或“倒行逆施”。但对于很多把道德看得比天大的法律人来说,给法律职业贴上“非道德”的标签本身也未必能够接受。对这些法律人来说,恐怕解决认知不谐的唯一办法就只有将法律的职业伦理本身也同样视为一个道德体系,让符合伦理者也变成符合道德者。这大概也是为什么现代法律共同体的流行话语中,为杀人凶犯做辩护非但不可谴责,反而堪称义举。然而既是在道德上默认两种并不完全兼容的体系,似乎就落入了道德相对主义的陷阱,而相对主义难道是道德本质主义者可以接受的么?

走神到这里,发觉已经下课了。几个女同学还在情绪十分高昂地争辩,尽管这些无法自圆其说的论调在一开始就让我周围几个男生面面相觑起来了——法学院的男生似乎非道德或者道德相对主义者更多些,大概是这堂课唯一有趣些的发现吧。

 

2008831

于杜兰姆前街

1月7日

如何“以轰动案例为素材”

(桑本谦:《理论法学的迷雾:以轰动案例为材料》,法律出版社2008年9月)

对法律学者来说,以轰动案例为素材写文章很容易,以轰动案例为素材写学术文章却很难。“轰动案例”自“法治”时代之前的“法制”时代起就一直激发着学者的创作欲望,然而成文作品的铺天盖地并不等于学术成就的硕果累累。市场在较短期间内对应景文章的旺盛需求使得“以轰动案例为素材”在绝大多数文章的写作过程中变成“以轰动案例为中心”,乃至干脆是“以轰动为中心”。第一段描述以至渲染事实,第二段给出法律意见,第三段或则批评抨击或则呼吁提倡——在如是经典“三段论”写作过程中,学者离开了其基本社会职能,虚化成一个空泛的箩筐。围绕轰动案例真正将这箩筐填充起来的,是记者、时评家、律师、社会活动家等市场更急切需要的功能性角色。因为空余一个纯粹的符号,“学者”及其“以轰动案例为材料”的写作变得与学术研究缺乏多少实质性关联。

这并非在一般意义上批评学者不务正业,更不是否定“以轰动案例为素材”撰写的笔者所谓“非学术”文字所具有的其他社会价值——事实上,如果社会真的需要,学者未必就不应去填空补缺扮演其他角色。但如果学者们一窝蜂地以非学者的方式处理轰动案例,由此使得轰动案例得不到学术化处理,这难免让人疑问:难道轰动案例本身只有新闻时政价值,而无任何学术价值?可若果真如此,“学者”的学术研究职能不在场,“学者”的符号却被不断拖入与轰动案件有关的话语实践当中,这一现象在社会分工层面上的合法性就难以证成。而如果轰动案例并非没有学术价值,那么缺乏学术的发掘、对待和处理的现状,可能就隐含了失职。

《理论法学的迷雾》一书是“以轰动案例为素材”的学术作品。作者桑本谦博士通过本书的写作,身体力行地展示了轰动案例作为素材对法学理论研究可能存在的价值。作者在本书开篇的绪论中明确指出现实中专家学者对热点案件所做的评论缺乏学术性。按照他相当尖锐却不失贴切的说法,法律学者对轰动案件的见解思考不深论证不力,基本停留在以法言法语包装道德直觉的水平上。而在作者看来,真正有学术意义的以轰动案件为素材的法律研究,必须借助社会科学资源,必须用社会科学的学术分析超越道德直觉,并通过这种学术性的分析解构道德直觉,揭露被道德直觉掩盖了的重要问题。本书收录的每一篇文章都是作者进行这种学术分析的尝试。他试图展示的,是社会科学的思路和方法在发掘、分析和论证轰动案件蕴含的制度与社会性问题时所具有的理论力量与实践意义。因此,作者在本书中寄托的学术目标,绝不仅仅是——甚至干脆就不是——轰动案件及其轰动效应本身。

从学者之为学者(而非记者或律师)的角度来说,这是一种明智——或采取本书的用语,理性——的选择。“轰动”永远只是一时的新闻效应,而学术出版物至少追求其寿命要超过看完当时即可留在洗手间的报纸。许多读者在刚刚翻看本书目录时可能会觉得“以轰动案例为素材”这一副标题多少有点“标题党”:书里所讨论的案例,虽都曾轰动过,却都已(乃至早已)不再轰动。对于学术研究来说这应是有意的。一方面,正由于尘烟基本散去,特别是,在“轰动”当中难免提升起来的肾上腺激素慢慢降回正常水平,学者才真正有可能冷静地打量这些案件,考虑问题何在,用上足够的时间(而非一蹴而就)进行分析,并以具体严谨的社会科学方式而非诗情画意的指点江山手法将思考进行呈现。另一方面,尽管对“不能免俗”抱有理解,但我还是想指出作者在副标题中使用的“轰动案件”字眼多少存在营销方面的考虑;而读者则需要注意,本书只是以轰动案例为“材料”,因此与常见的就事论事的轰动案件评论具有重大区别。作者选取讨论的“轰动案例”实际上首先不因其曾轰动。影视明星离婚案通常都很轰动,但却没有多少法律学术讨论的价值;辛普森案比“纽约地铁枪声案”要轰动得多,但后者对美国法律的学术意义和制度影响却远远大于前者。用作者的话说,更贴切地,他讨论的是“疑难案件”,而这些案件的学术价值在于个体事件代表的现象所牵涉或隐喻的制度及理论问题具有高度复杂性和不确定性。

当然,“轰动”并非与本书完全无关。很大程度上,正因为案件的轰动,可以“借个人气”,法律学者们“用来包装道德直觉”的法言法语才会纷至沓来;这些话语本身就是轰动的有机构成。本书的一个重点正是针对这些话语展开的学术批评。结合案例,作者做了一些具体的批评。就这一点而言,作者没有第一时间跟进仍然是聪明的。对于学术批评而言,“后发制人”的优势是巨大的,而这实际上是社会分工赋予学者的制度性优势,因为学者之外比如记者,其使命就是冲锋陷阵,而根本没有深思熟虑的特权。但本书在学术批评方面的成功绝不只是先看牌再出牌这么简单。作者通过每一个具体批评力图揭开的,是长久以来笼罩在整个理论法学上空的迷雾,即将法学理论封闭自治和道德意识形态纯洁的预设作为讨论和研究的出发点与落脚点。尽管在这一问题上我赞同作者的观点,认为以道德哲学和法律解释学为主体的法律理论不但在分析复杂实际问题时孱弱贫乏,其智识品位也很容易因意识形态化而相对低下,并且我也希望有更多人能更清楚地认识到这一点,但如果这篇序言在任何意义上造成了读者的先入为主,那就浪费了作者的布局和构思。作者“以轰动案例为素材”,其最大的价值在于构建了一个对话平台,或作者所说的一个“竞技场”。因为是人所共知的“轰动案例”,所以这个竞技场的入场票价不高,不需要有多么“深厚”的所谓法学背景的观众也未必就不能进来看个门道。而更重要的是,由于有具体案件中的具体问题为基点,所有的理论讨论最终都在对具体问题的分析中得到检验,因此不需作者高调鼓吹,读者对比较的结果一看便知。形形色色的法学理论特别是法学方法论的争吵,即使在当代中国学界,喋喋不休也已十多年,但大多数时候都是学者之间隔空喊话,持续不断地交换外国名字和外国文本,很难有什么结果。这一过程中缺乏的就是在现实中的真问题——而不是书本中的伪问题——面前拉出来遛遛的见识与胆识。只有以具体问题为准绳,有效的对话和比较才真正可能。而只有当对话和比较着眼于具体问题,学术讨论才不会沦为为争胜负拼修辞拼嗓门的辩论赛(在这个意义上,作者“竞技场”的隐喻可能也有误导)


写序言者不便大肆总结介绍书的内容提前搅了读者胃口,但既然受人之托,为作者说话也没必要太过遮掩。首先越俎代庖帮作者事先做一个铺垫:任何学术论证和分析都不可能是完美的,本书同样不可能例外,我相信作者一定欢迎甚至渴望进一步的批评。但在批评本书时,或许评论者应该首先确认自己的批评并非从法学的自治性、道德哲学的必然正确性/重要性以及理性选择的“拜金性”等“不可动摇”的前提出发。从自己的信念而不是问题出发的自说自话式的“批评”对于实现知识增量这一学术目标几乎没有任何贡献。

其次,我诚恳地将本书推荐给和我一样在法学领域刚入门或入门不久者。从问题出发、越过话语表象直面问题的思考习惯需要在学习研究刚上路的阶段就有意识地自我养成,而好的范例对此帮助很大。此外,本书中的文章逻辑结构完整,论证分析层层剥茧,材料上既有发散,但又能始终围绕论题主线,从头到尾读下来一气呵成,在风格方面对学习学术写作者来说也是很好的借鉴。

最后,可能听来扯得有点远,我认为本书对于国内法学院的教学也有一定意义。几年前我还在国内念本科的时候,“案例教学”似乎仍是一个说起来颇为“洋派”的概念。一方面大家笼统地认为这套英美的洋玩意儿是“先进”的教学模式,另一方面又以大陆法系不适合或者没必要用案例教学而敬而远之,或者,可能以为课堂上或考试时出个基本上还是解释法条的案例题就算是案例教学了。至于“案例教学”可以用在“法理学”教学当中,那可能更加不可想象。事实上,根据我自己在美国念书的体会,所谓案例教学,在案例中学法律规则(即所谓“判例法”)只是一方面,从案例中发现问题,分析问题,适用理论解决问题,从问题出发反思理论,这一整套思维训练才是案例教学的基本目标。而在很大程度上,这是一种学术训练,这一训练目标具有超出英美判例法环境之外的普遍意义。本书的写作和论证风格与所谓案例教学在思路上不谋而合,案例教学中经常运用的区分、类比、 发散、反伸等技术的运用在本书中也非常多见。考虑到本书是“以轰动案例为素材”,我相信除了作者之外的许多老师在课堂上也都会讲到这些案例。如何将案例分析作为手段最有效地训练学生思考,本书或许也能提供一些启发。

 

20086月中初稿于纽约

20087月初改订于北京 

 

12月7日

a little bit 国际法

(for the interest of the 国际人权法 people)

Eric A. Posner, Human Welfare, Not Human Rights, 108 Colum. L. Rev. 1758 (2008)

Abstract

Human rights treaties play an important role in international relations but they lack a foundation in moral philosophy and doubts have been raised about their effectiveness for constraining states. Drawing on ideas from the literature on economic development, this Essay argues that international concern should be focused on human welfare rather than on human rights. A focus on welfare has three advantages.
First, the proposition that governments should advance the welfare of their populations enjoys broader international and philosophical support than do the various rights incorporated in the human rights treaties. Second, the human rights treaties are both too rigid and too vague--they do not allow governments to adopt reasonable policies that advance welfare at the expense of rights, and they do not set forth rules governing how states may trade off rights. A welfare treaty could provide guidance by supplying a maximand along with verifiable measures of compliance. Third, the human rights regime and international development policy work at cross purposes. Development policy favors the poorest states, whereas the human rights regime condemns the states with the worst governments: Unfortunately, the poorest states usually have the worst governments. This Essay surveys various possible welfare treaties as alternatives to the human rights regime.

9月14日

A New Positive Economic Theory of Negligence

Mark F. Grady, A New Positive Economic Theory of Negligence, 92 Yale L.J. 799 (1982-1983)
Inspiring. Neat. Well-written. A Masterpiece for Real. Must-read.




(I am nobody and I approve this message...)


9月9日

——有了法律经济学,为什么还要学案例,特别是侵权法?
——读历史,学修辞。

9月1日

Random Summer Writings (1)

(劳动节一过,夏天就正式结束了。秋天了。)

道德义务与道德文章

 

近一期《哈佛法律评论》刊登了一篇题为“再不要任何人饥寒于富足世界”的学生评论。文中匿名作者设计了四个假想的“道德抉择”,试图说明对法律人来说,应该做什么样的事情才合乎“道德”与“正义”。作者推理说,如果道德意味着牺牲一辆法拉利则能拯救铁轨上危在旦夕的婴儿,或省下用于奢侈消费的250美金则能拯救一个即将饿死的非洲儿童,那么道德就要求法律人为服务公益而放弃自己的消费需求;类似地,如果正义意味着免费赠餐时优先供给流浪汉而非饕餮客,在提供社区劳动时优先服务需要搭建草房的无家可归者而非要盖高尔夫球装备仓库的富裕户(因而是罗尔斯意义上的“正义”),那么法律人追求“法律之下的平等正义”就应选择公益法律职业,而非商业法律服务行业。作者的行文风格简洁明快,少有法律人文字爱兜圈子的特点,因此全文传达的信息鲜明突出——正如网友辛辣总结的,该评论中心思想一句话:谁去做商业律师(而不是做公益法律服务),谁就是在残杀无辜儿童,或至少见死不救。

可以想见,鉴于《哈佛法律评论》的影响力,此文一发哗然一片。呼吁法学院学生利用所学服务公益本身并不新鲜。事实上不但在校期间法学院普遍强调并强制要求学生参与法律与非法律的公益服务,许多资金充足的法学院还通过学费补贴或协助还贷等财政手段激励学生毕业后选择收入较低的公共法律职业(如政府或NGO组织)。但撰写这篇评论的匿名作者显然对现状不以为然。在文章开头结尾两次对哈佛校园中一幅雕塑作品进行了激情饱满的误读后,他提出的实际上是一个绝对化的道德命题:只要这世上仍有人饥寒交迫或仍存在不义,法律人将自身的人力和财力资源用在其他地方就都构成道德缺陷甚至罪错。这对于绝大多数计划或已经在毕业后进入商业律所的法学院毕业生来说,无疑是严重的指控。

哈佛法学院内一向有左派阵地,从罗伯托昂格尔到邓肯肯尼迪,都是西方法律职业乃至法律制度重利轻义嫌贫爱富本质的严厉抨击者。既有公然在课堂上宣扬颠覆现状的老师,则不少学生政治倾向偏左也不足为奇。但即便如此,《哈佛法律评论》却非传统意义上的左派大本营。外界普遍认为,《评论》当前学生编辑部过分热衷于赤裸裸地宣扬道德政治,可能伤害到刊物本身来之不易的崇高学术声誉。部分较为传统的批评者则认为,这类通篇几乎找不到任何传统意义上法条分析因此完全没有实际用途(被律师法官引用)的文章,根本不该出现在法学刊物上。在近几十年法学院学术化、法学学术与法律实践分化的合法性已基本在业内获得承认的背景下,这种批评并不十分切中要害。更多的人认为这篇文章出现在《评论》上的荒诞之处在于,即使作为一篇道德政治文章,其逻辑上也漏洞百出,同时完全不切实际,让人难免对哈佛学生的水平以及神智正常程度产生怀疑。这种批评也不完全到位。一篇道德文章的成功关键往往就在于简单明了所带来的视觉冲击力。任何试图获得实际影响力的道德命题或规范事实上都需要避免繁复的逻辑推论和细致的区分技术。一项道德宣传,“具体问题具体分析”越多,其纯粹性和真诚性听上去就越少。长篇大论地分析在N种具体条件满足的特定情境下法律人才在道德上有义务服务公益,并就这条规则进一步提出N+1种例外,听上去比“只要有人需要你就应服务公益”这样的简单命题不但要虚伪很多,也会让普通人晕头转向——这也正是作为学术的道德哲学几乎从来没有影响到人们现实道德生活的原因所在。但反过来,正是因为好的道德文章必定需要简明扼要非黑即白的修辞力度,这与法律学术分析通常要求的全面细致、层层剥茧乃至穷尽逻辑与事实可能的品质格格不入,因此也就不具备值得严肃对待(例如发表在最老牌的法律学术刊物上)的法律学术价值。

当然,对于这篇评论的“匿名”(事实上他的身份背景和过往行止已很轻易地被“人肉”出来了)作者来说,“言不及义”的“法律学术价值”本来也未必在其考虑之列。其实,在聚光灯下说不用讲道德,和同样在聚光灯下说要讲道德,大概一样都是很酷的事情。但人们一眼就能看出范跑跑是在炒作,却往往对如纽约前州长之类在公共场合高唱(性)道德者(却正因为嫖妓被捉而辞职)缺乏警惕。道德家从来不等于有德者。道德话语与道德实践更是缺乏直接联系。用于掩盖各种目的的道德文章层出不穷,大概是每个时代所谓“道德败落”的最佳表征。而被历史接受的道德先知却往往意味着以身行道乃至以身殉道。也许,如果同样是一天的时间和精力,用来写一篇道德文章比用来写一篇法律学术文章是更加符合道德义务要求的?也许。但在同样意义上,显然还有比写道德文章更加道德的选择。

2008年6月中
于皇后区雷戈公园

6月3日

Predictably Irrational

人是不理性的,这个命题其实早就算不上一个有学术意义的命题了——尽管(不幸地),到今天仍然有无数的人试图将高调地甩出这么一句饱含深情而又含混不清的论断作为批评经济学及任何与理性选择有关的理论的全部智识基础。

人的非理性是具有系统性而且稳定的,其系统性和稳定性是可以描述并预测的”——这是一个具有重大学术意义的命题,已经有人靠这个得了诺贝尔奖,以后应该还会有人继续得;但得不得奖则远没有这一命题巨大的智识冲击力来的重要。

"Predictably Irrational"是刚刚从MIT商学院被挖回杜克商学院的Dan Ariely教授今年上半年出版的新作,据说相当畅销——如果是真的,这也不奇怪,出色的学术并不意味着艰涩的词藻,好的理论其实说出来完全可以很简单。Ariely本人成长于以色列,年轻时遭遇到该国常见的爆炸袭击,全身70%面积的皮肤严重烧伤。然而正是在此后的住院期间,护士每次给自己换药造成的疼痛感的差异让他不禁产生疑问和思索,而这也成为其此后在美国求学和研究中就人类非理性认知行为进行探索的重要灵感源头。(任何形式的)经济学或者理性选择的批评者常常宣称人类许多最深刻的感受是无法量化无法比较因而不能进行所谓的理性分析的。作为一个真正承受过常人所难以想象的痛苦的人,Ariely却从自身体验出发走上“理性”分析人类非理性行为的道路,试图展示人类行为非理性当中的“理性”(事实上是某种——“行为学的”——经济学的)规律和逻辑。

 

Predictably Irrational: The Hidden Forces That Shape Our Decisions  (Hardcover)

by Dan Ariely (Author)

 51a2taJvmXL__SS500_http://www.amazon.com/gp/product/product-description/006135323X/ref=dp_proddesc_0?ie=UTF8&n=283155&s=books 

Editorial Reviews


From The New York Times Book Review
"Obviously, this sly and lucid book is not about your grandfather’s dismal science…. Predictably Irrational is a far more revolutionary book than its unthreatening manner lets on. It’s a concise summary of why today’s social science increasingly treats the markets-know-best model as a fairy tale….he and his fellow social scientists want to replace the "rational economic man" model with one that more accurately describes the real laws that drive human choices."

From USA Today
"Surprisingly entertaining. . . . Easy to read. . . . Ariely’s book makes economics and the strange happenings of the human mind fun."

More Praise for Predictably Irrational
"A marvelous book that is both thought-provoking and highly entertaining, ranging from the power of placebos to the pleasures of Pepsi. Ariely unmasks the subtle but powerful tricks that our minds play on us, and shows us how we can prevent being fooled."
Jerome Groopman, Recanati Chair of Medicine,
Harvard Medical School,and New York Times bestselling author of How Doctors Think

"Dan Ariely is a genius at understanding human behavior: no economist does a better job of uncovering and explaining the hidden reasons for the weird ways we act, in the marketplace and out. Predictably Irrational will reshape the way you see the world, and yourself, for good."
James Surowiecki, author of The Wisdom of Crowds

"Filled with clever experiments, engaging ideas, and delightful anecdotes. Dan Ariely is a wise and amusing guide to the foibles, errors, and bloopers of everyday decision making."
Daniel Gilbert, Professor of Psychology,
Harvard University, and New York Times bestselling author of Stumbling on Happiness

"This is going to be the most influential, talked-about book in years. It is so full of dazzling insights--and so engaging--that once I started reading, I couldn’t put it down."
Daniel McFadden, 2000 Nobel Laureate in Economics, Morris Cox Professor of Economics,
University of California at Berkeley

"Predictably Irrational is wildly original. It shows why--much more often than we usually care to admit--humans make foolish, and sometimes disastrous, mistakes. Ariely not only gives us a great read; he also makes us much wiser."
George Akerlof, 2001 Nobel Laureate in Economics, Koshland Professor of Economics,
University of California at Berkeley

"The most difficult part of investing is managing your emotions. Dan explains why that is so challenging for all of us, and how recognizing your built-in biases can help you avoid common mistakes."
Charles Schwab, Chairman and CEO, The Charles Schwab Corporation

Book Description
Why do our headaches persist after taking a one-cent aspirin but disappear when we take a 50-cent aspirin?

Why does recalling the Ten Commandments reduce our tendency to lie, even when we couldn't possibly be caught?

Why do we splurge on a lavish meal but cut coupons to save twenty-five cents on a can of soup?

Why do we go back for second helpings at the unlimited buffet, even when our stomachs are already full?

And how did we ever start spending $4.15 on a cup of coffee when, just a few years ago, we used to pay less than a dollar?

When it comes to making decisions in our lives, we think we're in control. We think we're making smart, rational choices. But are we?

In a series of illuminating, often surprising experiments, MIT behavioral economist Dan Ariely refutes the common assumption that we behave in fundamentally rational ways. Blending everyday experience with groundbreaking research, Ariely explains how expectations, emotions, social norms, and other invisible, seemingly illogical forces skew our reasoning abilities.

Not only do we make astonishingly simple mistakes every day, but we make the same types of mistakes, Ariely discovers. We consistently overpay, underestimate, and procrastinate. We fail to understand the profound effects of our emotions on what we want, and we overvalue what we already own. Yet these misguided behaviors are neither random nor senseless. They're systematic and predictable—making us predictably irrational.

From drinking coffee to losing weight, from buying a car to choosing a romantic partner, Ariely explains how to break through these systematic patterns of thought to make better decisions. Predictably Irrational will change the way we interact with the world--one small decision at a time.

About the Author
Dan Ariely is the Alfred P. Sloan Professor of Behavioral Economics at MIT, where he holds a joint appointment between MIT's Media Laboratory and the Sloan School of Management. He is also a researcher at the Federal Reserve Bank of
Boston and a visiting professor at Duke University. Ariely wrote this book while he was a fellow at the Institute for Advance Study at Princeton. His work has been featured in leading scholarly journals and a variety of popular media outlets, including the New York Times, the Wall Street Journal, the Washington Post, the Boston Globe, Scientific American, and Science. Ariely has appeared on CNN and National Public Radio. He divides his time between Durham, North Carolina, Cambridge, Massachusetts, and the rest of the world.

 

3月18日

nice piece

(好好写文章=不要口号+要知识+要常识)

http://www.infzm.com/news/xwjj/200801/t20080123_35354.shtml

 

许霆案:法官何以说理

  贺卫方(北京大学法学院教授)

 

在许霆案引发舆论轩然大波后,广东高院以例行的证据不足,事实不清为由发回广州中级法院重审。

我的同事陈瑞华教授在117日《南方周末》上发表题为许霆案的法治标本意义(以下简称陈文)的文章,对于原审法院的判决和审判过程进行了细致而直率的批评。作者认为该案所反映的是浓缩了的司法积年弊端,包括武断和说理极度匮乏、量刑程序不透明、法官机械适用法律以及某种阶级司法色彩(对权贵宽松而对小民严厉)。我也曾在一些场合明确表达过对于许霆案判决说理不足和过于严酷的不满,但是,读罢陈文,仔细反思,却生出一些疑问,愿意写出来与陈教授和读者诸君商量。

我的最大的疑问是,主持审理许霆案的法官是否也意识到陈文所批评的这些问题。也许一审之后引发如此强烈的非议超出了他们的预期,但是如果说法官们完全没有意识到应当在判决中强化说理恐怕也是不符合实际的。这些年来,判决书必须说理,甚至还有辨法析理,胜败皆服那样的司法口号流行,许霆案本身又涉及如此复杂的法律解释问题,如果法官能够层层剥笋、鞭辟入里地作出一个让天下人叹为观止的判决来,那岂不是可以青史留名了么?为什么一审的法官们会这样敷衍塞责或者自甘平庸呢?

也许首先需要搞清楚的是,究竟一审判决是否符合法律的规定。陈文一方面说这种近乎草率的裁判方式,决定了刑事法官在量刑方面拥有几乎不受限制的自由裁量权,但是后面紧接着他又批评法官机械适用法律,成了法律条文的奴隶。这不免令人困惑:到底法官是否严格适用了法律?依照我们现行体制,法官果真能够成为法律条文的奴隶,那岂非国之大幸。须知时下司法最大的弊端也许正是法官很难变成法律的奴隶,甚至反过来,把法律当奴隶,玩弄于股掌之间。因此,法官严格适用法律作出判决,即便这结果与民众的情感相背离,引起舆论不满,该指责也不应该是法官,而是立法者。我们不允许法官仅仅依赖自己对于立法是否公平的判断而决定是否适用它们。相反,在司法中,法官必须抑制自己的情感,泯灭自己的个性,对了,就是要像自动售货机那样(在韦伯——陈文误为孟德斯鸠了——那里,这根本不是一个带有贬义的比喻),一边是输入案件事实和法律条文的入口,一边是输出司法判决的出口,机械运行,不逾雷池半步。这样的法官形象也许真是我们最缺乏的呢。

所以,问题的关键还在于究竟什么是本案中的法律,法官能够依据的权威渊源到底是什么,以及法官能够在多大的限度内行使自由裁量权。我们固然要求司法的说理,但是这种说理仍然是法之理,而非简单地诉诸感觉或情感。当然,有些事项需要通过推理加以解决。例如ATM是否属于金融机构就大有文章可作。法官可以追溯立法本意,论证在ATM这种新事物出现未久的时代,立法者理解的盗窃金融机构是怎样的行为方式,能否想象到眼下这种特殊的盗窃。其次,ATM本身的故障是否能够成为被告人的一个有力的抗辩理由,也就是说混合过错是否可以成为减轻处罚的正当理由。还有,假如认定许霆行为构成盗窃,还有数额是否构成特别巨大的问题。不少论者认为最高人民法院1997年的司法解释已经过去十年,数额规定已经严重脱离现实。但是,问题在于,这个解释仍是有效的法律,法官再怎么以说理为名,恐怕也很难突破它。如果上述路径都不通,就只剩下刑法第六十三条第二款所规定的路径了--报请最高法院核准,判处法定刑之下的刑罚。当然,最高法院如何说理势必成为人们关注的焦点。

另外,在呼唤法官说理的时候,我们也不要忽略一个事实:司法判决的风格受到历史以及体制的限制。在这两个方面,我国都不鼓励那些过于个性化和原创性的判决起草。法官如果超越法律条文,诉诸法律外的资源作为论证的基础,不仅有侵犯立法权的嫌疑,而且,由于我们缺乏规范和统一司法解释的有效机制,还可能导致司法判决的高度不确定性。

总之,我越想越觉得许霆给司法界出了大难题,制造了一起典型的疑难案件。陈文所指出的路径看上去不错,但设身处地站在法官的角度看,却是华丽而不实用。这也是为什么明明只涉及法律解释问题,广东高院却不径直改判,而以事实不清,证据不足为名发回原审法院重审。广州中院就甩不掉这只烫手山芋。所有的评论者都在为案件的公正解决出谋划策,但毕竟都属于站着说话,代替不了法官的坐着下判。所有的压力都要由法官的肩膀来扛,即便他们的心不太软。

 

1月30日

Cass Sunstein: Worst-Case Scenario

一本有助于理解作为一门科学的规制(regulation),有助于深入贯彻落实科学发展观的书。并希望极端气候下大家都能顺利过年。41dhm3Z-l9L._SS500_http://www.amazon.com/gp/product/product-description/0674025105/ref=dp_proddesc_0?ie=UTF8&n=283155&s=books      From Publishers Weekly
Sunstein, a University of Chicago law professor, often writes about government regulation. Here he focuses specifically on cost-benefit analysis (CBA) of actions that governments (as well as the private sector and individuals) can take to ward off potential crises. CBA has been used, most famously by George W. Bush's administration, to guide national policy; Bush critics believe the numbers are often fudged to get the results the White House wants. Oddly, Sunstein fails to investigate the science and politics of the Bush administration's chief cost-benefit guru, John D. Graham, but he does explore the uses and potential misuses of CBA, often in sufficient detail to challenge readers not well grounded in economics and statistics. Global warming serves as the narrative thread throughout the book, but Sunstein also looks at appropriate reactions to terrorist threats, genetic modification of food, hurricanes and avian flu, among other issues. Within the complex explanations, Sunstein does a reasonable job of achieving his three goals: to understand individual responses to worst-case scenarios (usually to plan far too much [or] far too little); to suggest more sensible public policy regarding low-probability risks of disaster; and to dispassionately evaluate CBA as a tool, especially as it pertains to policy making in the future (Nov.)
.

Review
Worst-Case Scenarios is a powerful intellectual treatment about the most difficult problems facing society. The book makes it clear that these problems do not have easy answers. Sunstein's analysis also makes it clear that we would be better off if societal decision makers fully understood the insights he brings to these problems.
--Max Bazerman, Harvard Business School

Sunstein cuts through a great deal of confusion that is preventing the development of coherent and rational public policies. The issues raised by low-probability, high-consequence events are becoming more important as the world is more interconnected. Governments and citizens are not prepared to deal with these issues. This book will help.
--Jonathan Baron, University of Pennsylvania

Professor Sunstein provides cogent advice about how people should respond to low probabilities of catastrophe. He strikes a thoughtful middle ground, showing how we should be careful without being paranoid. While the applications to terrorism and climate change are insightful, his intellectual approach offers guidance for all sorts of possible catastrophes. The book is a must for leaders of business and government throughout the world.
--John Graham, Dean, Pardee RAND Graduate School

Worst-Case Scenarios is a rich analysis, both explanatory and normative, of societal responses to catastrophic risks such as terrorism and global warming. Sunstein occupies the fertile middle ground between the proponents of traditional rational-actor models and cost-benefit analysis, and those who reject these approaches entirely.
--Matthew D. Adler, University of Pennsylvania Law School

Book Description

Nuclear bombs in suitcases, anthrax bacilli in ventilators, tsunamis and meteors, avian flu, scorchingly hot temperatures: nightmares that were once the plot of Hollywood movies are now frighteningly real possibilities. How can we steer a path between willful inaction and reckless overreaction?

Cass Sunstein explores these and other worst-case scenarios and how we might best prevent them in this vivid, illuminating, and highly original analysis. Singling out the problems of terrorism and climate change, Sunstein explores our susceptibility to two opposite and unhelpful reactions: panic and utter neglect. He shows how private individuals and public officials might best respond to low-probability risks of disaster--emphasizing the need to know what we will lose from precautions as well as from inaction. Finally, he offers an understanding of the uses and limits of cost-benefit analysis, especially when current generations are imposing risks on future generations.

Throughout, Sunstein uses climate change as a defining case, because it dramatically illustrates the underlying principles. But he also discusses terrorism, depletion of the ozone layer, genetic modification of food, hurricanes, and worst-case scenarios faced in our ordinary lives. Sunstein concludes that if we can avoid the twin dangers of over-reaction and apathy, we will be able to ameliorate if not avoid future catastrophes, retaining our sanity as well as scarce resources that can be devoted to more constructive end

9月9日

一个保守派的良心(zz《纽约时报》)

 原来Goldsmith已经离开芝加哥去哈佛了。http://www.nytimes.com/2007/09/09/magazine/09rosen.html?ex=1347076800&en=42ea5f5a1957279a&ei=5088&partner=rssnyt&emc=rss
  • Conscience of a Conservative    By JEFFREY ROSEN
Published: September 9, 2007

In the fall of 2003, Jack L. Goldsmith was widely considered one of the brightest stars in the conservative legal firmament. A 40-year-old law professor at the University of Chicago, Goldsmith had established himself, with his friend and fellow law professor John Yoo, as a leading proponent of the view that international standards of human rights should not apply in cases before U.S. courts. In recognition of their prominence, Goldsmith and Yoo had been anointed the “New Sovereigntists” by the journal Foreign Affairs.

Skip to next paragraph
Stefan Ruiz

Jack L. Goldsmith, who currently teaches at Harvard Law School.

Goldsmith had been hired the year before as a legal adviser to the general counsel of the Defense Department, William J. Haynes II. While at the Pentagon, Goldsmith wrote a memo for Defense Secretary Donald Rumsfeld warning that prosecutors from the International Criminal Court might indict American officials for their actions in the war on terror. Goldsmith described this threat as “the judicialization of international politics.” No one was surprised when he was hired in October 2003 to head the Office of Legal Counsel, the division of the Justice Department that advises the president on the limits of executive power. Immediately, the job put him at the center of critical debates within the Bush administration about its continuing response to 9/11 — debates about coercive interrogation, secret surveillance and the detention and trial of enemy combatants.

Nine months later, in June 2004, Goldsmith resigned. Although he refused to discuss his resignation at the time, he had led a small group of administration lawyers in a behind-the-scenes revolt against what he considered the constitutional excesses of the legal policies embraced by his White House superiors in the war on terror. During his first weeks on the job, Goldsmith had discovered that the Office of Legal Counsel had written two legal opinions — both drafted by Goldsmith’s friend Yoo, who served as a deputy in the office — about the authority of the executive branch to conduct coercive interrogations. Goldsmith considered these opinions, now known as the “torture memos,” to be tendentious, overly broad and legally flawed, and he fought to change them. He also found himself challenging the White House on a variety of other issues, ranging from surveillance to the trial of suspected terrorists. His efforts succeeded in bringing the Bush administration somewhat closer to what Goldsmith considered the rule of law — although at considerable cost to Goldsmith himself. By the end of his tenure, he was worn out. “I was disgusted with the whole process and fed up and exhausted,” he told me recently.

After leaving the Office of Legal Counsel, Goldsmith was uncertain about what, if anything, he should say publicly about his resignation. His silence came to be widely misinterpreted. After leaving the Justice Department, he accepted a tenured professorship at Harvard Law School, where he currently teaches. During his first weeks in Cambridge, in the fall of 2004, some of his colleagues denounced him for what they mistakenly assumed was his role in drafting the torture memos. One colleague, Elizabeth Bartholet, complained to a Boston Globe reporter that the faculty was remiss in not investigating any role Goldsmith might have played in “justifying torture.” “It was a nightmare,” Goldsmith told me. “I didn’t say anything to defend myself, except that I didn’t do the things I was accused of.”

Now Goldsmith is speaking out. In a new book, “The Terror Presidency,” which will be published later this month, and in a series of conversations I had with him this summer, Goldsmith has recounted how, from his first weeks on the job, he fought vigorously against an expansive view of executive power championed by officials in the White House, including Alberto Gonzales, who was then the White House counsel and who recently resigned as attorney general, and David Addington, who was then Vice President Cheney’s legal adviser and is now his chief of staff. Goldsmith says he is not speaking out for the money; though he received a low six-figure advance for the book, he is, after deducting some minor expenses, donating the advance and any profits to charity. Nor is he speaking out because he disagrees with the basic goals of the Bush administration in the war on terror. “I shared, and I still share, a lot of their concerns about what we have to do to meet the terrorist threat,” he told me. When I asked whether he thought Gonzales should have resigned and whether Addington should follow, he demurred. “I was friends with Gonzales and feel very sorry for him,” he said. “We got along really well. I admired and respected Addington, even when I thought his judgment was crazy. They thought they were doing the right thing.”。。。。。。。     (全文见原链接)

7月7日

刘忠:不一样的对决技术——读弗莱彻《地铁里的枪声——正当防卫还是持枪杀人?》

"A Crime of Self Defense"这本书我上学期学刑法的时候正好看过一点,写得确实不错,比较有看头。而且确如刘忠师兄所言,内行有门道可看,外行也有热闹可看。既然有了中译本,确实是不错的暑期读物。以下书评转自北大法律信息网,http://article.chinalawinfo.com/article/book/review_display.asp?ArticleID=38830另外介绍一点背景,戈茨枪击案最后的审理结果是,就未遂杀人和袭击等项罪名,纽约州上诉法院认定正当防卫抗辩成立,从而改变了长期以来判定正当防卫存在与否的“客观合理性标准”。根据该标准,被告人使用暴力是否构成正当防卫,需要看是否一个客观意义上的理性人在当时条件下都会感受到即刻的威胁(imminent danger)并做出防卫反应;而在戈茨案中,法院将被告人一些特定的主观特点也纳入考虑范围,即考察对于被告人这样一个曾经有过特定经历和遭遇的人——而非一般的理性人——来说,其在当时条件下感受到如此严重的威胁,是否是一种合理的反应。
不一样的对决技术读弗莱切《地铁里的枪声——正当防卫还是持枪杀人?》 
 
刘忠
  典型的美国娱乐片风格:地铁车厢内,四个闹哄哄的黑人嬉皮,向一个瘦削的白人要五美元花花。白人男子却不经意地拔出一支手枪,五弹发出,四人倒地。 
  确是真实的案件。1984年在美国攘得沸沸扬扬的戈茨枪击案瞬间就完成了。却扬起了持续的滔天争议。 
  一如中国刚刚发生的崔英杰、王斌余、佘祥林那些“公共刑事案件”,它从一开始就搅进了各种思想、主义、观念,和各种八杆子打得着、打不着的人物。连1981年遭过枪击的总统里根也跳出来指责戈茨。更由于是白人单挑了四个黑人,美国人永远扯不清的种族问题连同枪支滥用、正当程序、社会治安、文明崩溃等政治道德意识形态一并站出来了。 
  与我们都熟悉的将一个刑事案件尽量向上拽,上纲为一个足够高、足够大的政治道德问题的做法相反,美国的律师、检察官、法官将之尽量向下压,除掉了所有大而不当的意识形态缀饰,将案件还原、化约为一个纯粹的、彻头彻尾的刑事证据、刑事程序、刑事实体法问题,把各种柔软的观念方面的纷争都转化为坚硬的、冷冰冰的知识技术问题,在一个完全操作化层面进行争辩。通过两年半刀光剑影的审前、庭审打斗、对决,案件结果最终出人意料地爆出。 
  密切关注案件的美国哥伦比亚大学教授弗莱彻(George P. Fletcher)用一种令人赞叹的精细手法,极为细致地对这个案件的审判过程作了一个描述和分析,写作出版了日后美国著名的刑事法学作品,名为A Crime of Self-Defense: Bernhard Goetz and the Law on Trial,中文译本名字为《地铁里的枪声——正当防卫还是持枪杀人?》(北京大学出版社即出)。该书出版后,在学术、司法实践、普通读者群中均获得上佳评价,次年就获得了美国律师协会(ABA)颁发的银法槌奖。 
  盛名之下,名副其实。 
  自北京大学储怀植教授1987年出版个人专著《美国刑法》之后,迄今,中国大陆还没有第二本美国刑法教科书、译著被出版、引介过来。这与德国、日本、中国台湾地区的刑法教科书、专著被大规模地引入形成鲜明对比。而以英美的判例切入,结合真实的个案,通过麻雀入手,以具体的可感知的方式展示美国刑法理论运用的书,更是缺如,因此,中国刑法学界对于美国刑法总是如雾里看花。如果说,弗莱彻的这本书可以借我们一双慧眼的说法,可能略有些矫情的话,那么该书也确实基本代表了这个词可能传递给我们的感受。 
  所谓内行的看门道,外行的也能看热闹。对中国的普通受众而言,案件涉及的刑法知识背景并不复杂,主要是正当防卫、故意杀人、紧急避险三个问题。这些问题对原本没有学习过法律的人,仅仅凭个人朴素的生活知识也能说个七七八八。而受过良好法律训练的学者更能从中感受到英美刑法对这一问题的理论观点,和我们熟悉的德国-日本-中国台湾一脉刑法学说就超法规阻却事由、社会相当性理论在相当多细节上的暗合和细微的分歧。对近年来中国学界饶有兴味的德国刑法的法益理论、社会相当性、三阶段犯罪构成理论以及传统刑法理论讨论的危险犯、实害犯、结果犯等问题,也都能从书中获得美国刑法理论对于相关论域的对解,感受到其深刻。也正因为如此,受基本刑事实体法问题统帅而据以展开的刑事证据、事实等程序性事项的认定,对各种读者来说都显得非常引人入胜。 
  涉及程序法,在我们通常的印象中,与中国的学术分工不同,德国、日本、中国台湾很多学者都是兼及刑法和刑事诉讼法的刑事法学者,如洛克信、松尾浩也、林山田。而对于英美刑事法学者,我们多少有些隔膜,远不及对于大陆法学那么熟稔。 
  但是,弗莱彻却是这样一个通人,在其著作中,对于实体法和程序法都做了精到的论述,而其著作我认为最有价值的也正是第五章之后诉讼法相关的各章,对于陪审团挑选和运作,被害人问题,律师庭审中的地位和作用,控辩双方的举证、示证、质证,法官驾驭庭审和全案证据、事实、程序的纽结部分的评述、分析,尤以陪审团问题对于当下的中国争议有现实意义。 
  中国学界长期以来,在人民陪审员和英美的陪审团问题的关系上争论不休,《全国人民代表大会常务委员会关于完善人民陪审员制度的决定》(2004年8月28日通过)颁布后更引发了新一轮的争议。细观之,英美陪审团在整个制度设计的知识学基础和运作方式都迥异于人民陪审员,与整个美国刑事诉讼高度理性化的进程相违,在起诉和判决两个决断点,完全倒向非理性。在此,与英美分析哲学的传统背离,美国刑事诉讼改为笃信理性、逻辑、推理并不能完全覆盖本能、直觉、意志、生命,是跨越大西洋接续了尼采以来的知识谱系,是要借助狄奥尼索斯的酒神精神,去摧毁传统的知识论的支点。我一直以为,美国几乎所有刑事诉讼制度都是建立在陪审团的基础上或指向陪审团,以陪审团为背景的。理解陪审团制度是理解美国刑事诉讼的关节点。借助弗莱彻的该书,它导引我们进行了一场实地观摩可能都无法企及的美国刑事诉讼陪审团运作全过程考察,并得以如同一个偷窥者一样一睹其所有不足为外人道的堂奥。 
  此外,在审判方式改革上,至迟从辛普森案件以后,我们就一直颂扬并想象着美国对抗制诉讼下的法庭审判,并大张旗鼓地引入。虽然我们知道结论不是法律自动分泌出来的,而是要由人做出的,是依赖于参与者的行动所创造出的。但是,就大多数刑事诉讼法学者而言,对美国方式下法官的地位、作用,对抗制庭审中律师的角色都缺乏感性的认识。全书细致地展现出了辩护律师大量令人击节赞叹的法庭举证、示证、质证技巧和过人的机敏、警觉、洞察以及对于法律、判例的谙熟和庭审实战经验的丰富,其而所带来的惊心动魄和激动人心,同样给缺乏此道的局外人带来一种知识的冲击。 
  本书还就正当程序理论所坚持的审判中心主义观念做了一个未予言明的拨动,这就是审判中心只是一种规范上的诉讼结构要求,在以证据为基础的刑事审判中,侦查中心是一种事实意义的命题,学者强烈以前者压制后者,可能是一种极大的偏颇。 
  阅读是读者和作者的共同创作,每个人都可以看到不同的文字。我的上述看法只是一种基于对中国有意义问题的短视,更多意味依赖精婺八极者的洞察。 
  原著作者弗莱彻,是美国哥伦比亚大学以美国联邦最高法院著名大法官卡多佐命名的卡多佐法理学教授(Cardozo Professor of Jurisprudence)。他所著的另一本刑法著作Rethinking Criminal Law《反思刑法》,在美国教授夏皮罗所做的著名的“1978年以来法律著作引证率”排名中是上榜第一位的刑法作品。 
  中文版主译者陈绪纲曾经在哥伦比亚大学获得法律硕士(LLM),是我未曾谋过面的高我一级的北大外国法制史专业的博士,曾任教复旦大学法学院,新近听说已转任华中科技大学法学院教授。师弟沈明曾对其译品赞许有加,称其所翻译的霍姆斯《法律的道路》是国内众多译文中最好的。阅读其主译的该书,行文之流畅,用词之精当,都让我服膺了上述说法。 
  当然,名头未必能代表水平,偶像派可能通常是实力派的反函数。各种头衔、荣誉最多也只是美国学界对弗莱彻的检验,是我们对著译者的品评,而别人的检验品不能必然成为我们的信用品。我们只有阅读了才会有体会。正是坊间笑话所说的:春江水暖鸭先知。鹅怎么就不知道呢? 

  2007年5月20日 
 
注释:
    [1][美]乔治·P.弗莱切:《地铁里的枪声——正当防卫还是持枪杀人?》,陈绪纲、范文洁译,北京大学出版社2007年6月版。 
  [2]刘忠,中国社科院法学所博士后研究人员。 
 
6月28日

小文章

     有一阵子没上贝克尔和波斯纳的博客了。昨天浏览了一下最近的几篇文章,发现写得非常有意思。短文章特别是博客随笔这类东西,显然不会是反复推敲认真论证的产物。作者有个点子,顺下来成一条思路,便禁不住要落
笔记下,遂成一则。但即使是这样的东西,大家的手笔不凡之处就在于让人读后感慨,怎么纸面上如此的轻描浅画也能透出心中的蔚然成章。
     思想一旦达至纯熟,似乎分析所有的问题都可以水到渠成,就好像我们通常夸奖好的小说作者那样,总能“在乎情理之中而又出于意料之外”。所谓“在乎情理之中”,就是说,对于所有出色的分析,一定都有清晰的逻辑、脉络以及语言表达,这一点毫不奇怪;而“出于意料之外”,则是说,好的分析看似在逻辑结构上都“循规蹈矩”(因为这世界上的“逻辑规律”说白了也就那几条),但却总能用想象力把论说合情合理地推到千里之外。
      以下推荐这二位博客上最近的有关三个话题的帖子(基本也无非是对一些美国社会热点的评论)http://www.becker-posner-blog.com/
     Intelligence and Leadership 讨论聪明人是不是一定也是好领导(与贝克尔当年获诺奖的人力资源理论有些关系)
     Women's Economic Role 讨论女性的经济角色问题,其中对女生在大学中的学习表现及其与大学招生性别偏好之间关系的辨析非常有趣
     Ex Ante Compensation for Military Death 讨论与义务兵制度下士兵阵亡有关的“战前补偿”问题(之所以打引号,是因为不是真的补偿,而是说义务兵在市场条件下实际上是自己以风险为代价交换报酬)
     显然,帖子中的结论肯定有值得商榷的,但这正是此类文章的价值所在。写小文章,贵在提问题,并且通过自己的分析和逻辑告诉其他希望参加讨论的人应该如何讨论。这两年国内“专业性”博客兴起,加上此前一直就有的报刊专栏平台,爱写小文章的似乎越来越多。然而大多数小文章作者,甚至有些国内公认此道上的名家,一旦有篇幅限制(甚至不是因为这个),不是一二三四罗列一些毫无分析过程的口号,就是四三二一玩上几把“微言大义”不知所云的深沉。这样写下去,小文章对于所谓“专业”就完全没有任何意思了。
4月29日

US v. Morrison, 529 U.S. 598 (2000)

是美国宪法在过去二十年中有关商业条款最重要的三个判例之一。因为宪法的案例具体案情往往不是特别重要,之前读的时候也没有太注意,只知道大概与一所弗吉尼亚的大学有关。今日复习中重读,一眼发现原来被告之一就是Virginia Tech。案中涉及该校橄榄球队一名体育生对同校一名女生实施强奸并对另有公开性别攻击言论之事实,而学校被指控有处理不力之嫌。其时1994年。最高法院下判于2000年。
4月7日

全球气候变化报告

昨天刚刚在巴黎由IPCC通过出台,链接为http://www.ipcc.ch/SPM2feb07.pdf。这个版本是一个“summary for policymakers”;所谓“policymakers”,其实是对我们这种科盲或半科盲的含蓄称呼,因此可想而知写得相当简明易懂。这份报告尤其试图表达的一个意思是,全球气候变化已不再是科学家通过模型进行的推演,大量经验事实已经获得了系统性观测。