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江汉大学本科毕业设计(论文)外文翻译

THE RULE OF LAW UNPLUGGED?

Daniel B. Rodriguez

Mathew D. McCubbin

Barry R. Weingast

The rule of law maintains enormous appeal among scholars and reformers.Influential non-governmental organizations, supported generously by public and private benefactors, have urged various nations to undertake institutional and legal reforms in order to implement the rule of law.These myriad reformers hope to create, maintain, and improve legal and political institutions around the world.While their advocacy is resolutely normative, reformers maintain that their prescriptions are supported by scholarly research demonstrating that the establishment and maintenance of appropriate legal and political institutions improves aggregate well-being.

Reformers, and many scholars, insist that the rule of law (which we will, on occasion, refer to simply as “RL”) is an unalloyed good, promoting and safeguarding values that are intrinsically desirable, such as economic development and social progress.Political and legal theorists identify the rule of law as essential to a justice-seeking polity. This connection is frequently seen as grounded in democracy,human freedom,equality,justice,economic well-being,national identity,or, as with Lon Fuller, in the “inner morality”of law.In the oft-stated dichotomy, a polity must be ruled by law or else by men.It is said that where the rule of law is absent, we cannot govern the governors, and thus we are subject to official prerogative, which may be arbitrary, capricious, and brutal.

There is broad consistency across the range of RL thinkers and activists about what a legal system needs to have in place to implement RL. In addition to basic agreement about what RL means and what qualities it entails, RL requires of series of essential institutions. Likewise, RL requires key governance structures—structures that, while perhaps different in architecture, are elements in the basic RL edifice. Such investigation will help us frame our discussion in Part IV about how we can (or cannot) implement RL given certain assumptions about the structures of government within the United States and abroad.

One key RL institution is the presence of a constitution—or, more accurately, a scheme of constitutionalism.The idea here is a complex yet familiar one: Only insofar as a polity has a body of (preferably written) fundamental law embedded in a constitution can we plausibly measure the government’s fidelity to the rule of law. The constitution’s service to RL is two-fold. First, it provides the basic structure and rules of the system, “stipulates institutions of government,”and tells the government (sometimes in broad terms, other times more specifically) how to undertake its responsibilities—that is, how to govern. Even more basically, it defines the architecture of government by, for example, describing the structure of lawmaking and law executing.Second, a constitution contains the substantive rules that

authorize and limit government regulatory power.When we say that a constitution describes the fundamental law, we are referring to the rules explaining just how far the government can go. The fundamental law, therefore, can be used to measure the metes and bounds of the government’s regulatory authority. While most RL accounts are reticent to offer big judgments about the content of this fundamental law, they are considerably bolder in insisting that a constitution is a necessary condition for a polity to be governed by RL.

Though deemed necessary, a written constitution is hardly a sufficient condition for RL to flourish. Most constitutions have a rather short shelf-life, approximately seventeen years on average.Moreover, the lion’s share of new constitutions fail in the sense that political officials frequently disregardtheir constitution, no matter how ideally it is written. Hence there is an important mismatch between the establishment of a scheme of constitutionalism in a country that ostensibly aims to establish RL and the maintenance and performance of that constitution in the real world of law and politics. Therefore, the agenda of establishing constitutionalism as a linchpin of RL reform—an agenda reflected in much of the RL literature in both law and political science—does not adequately come to terms with the law-on-paper and law-in-society incongruity.

Rule-of-law reformers and theorists typically insist that there be a system of judicial review available in countries that aim to establish RL.This system enables a duly authorized institution—the judiciary—to assess and make a binding judgment about whether and to what extent a government action complies with the procedural and substantive requirements embodied in the relevant constitution and other authoritative sources of law.One of the consistent core ideas in the developed case for judicial review is that such an institutional arrangement is necessary (or at least extremely important) to maintaining a disinterested eye on the conduct and activities of government.udicial review helps implement the rules and values of the constitution; therefore, it helps implement the rule of law.

Yet the deeper we dig into the concept of the rule of law, the more vexing the question becomes: What precisely does it entail, and how it should be operationalized? The rule of law is, as one commentator puts it, “a much celebrated, historic ideal, the precise meaning of which may be less clear todaythan ever before.”Rule of law is an attractive ideal, but its attractivenessmay stem mainly from its imprecision, which allows each of us to project our own sense of the ideal government onto the phrase “rule of law.” In the name of the rule of law, we export American-style institutions across the globe without sufficient evidence that these institutions are ideal for the United States, let alone the rest of the world.Myriad incomplete and unsupported assumptions underlie the claims made by the institutions associated with the rule of law. Articulating a clearer conception of the rule of law and devising a strategy for its implementation requires careful attention to these assumptions.

Our principal claims in this Article are four-fold. First, any sound definition of the rule of law must explicitly incorporate substantive values. While it may be framed in procedural terms (for instance, the idea that laws should be transparent

and prospective), any theory of the rule of law must connect procedural rules with the values that the legal system aims to subserve. Relatedly, RL’s advocates must have a theory of law squarely in their minds; yoking rule of law to law’s ideals is incoherent without a framework for understanding law’s purposes and its nature. Second, we must be able to assess and measure the rule of law. Such measurement must go beyond simply pointing to a series of institutions and assessing or indexing a system’s fidelity to the rule of law by reference to these institutions.Rather, we must have in mind a connection between the structure and performance of these institutions and the realization of the rule of law, once effectively defined. Third, rule-of- law reform must contemplate the relationship between means and ends. A satisfactory understanding of this relationship requires positive theory and empirical support, not merely normative leaps of faith or ipse dixit. Finally, rule-of-law reformism must take adequate account of trade-offs, that is,conflicts among institutions aiming to promote the rule of law.

Our aims in this Article are both critical and constructive. They are critical in that we methodically unpack the assumptions of the scholarly literature to reveal the shortcomings described above. We do not see the rule of law as inevitably flawed, as a vacuous Rorschach test upon which legal scholars and reformers simply project their own views about the content and purpose of law. Rather, we see the rule of law as expressing a worthy aspiration that rightly finds voice in the hard work of good-intentioned activists. The essential predicament in the current practice of rule-of-law reformism is that the concept of the rule of law rests on unstated and under-explicated assumptions.

Our aims are constructive in that we identify perilous assumptions and find a way to define the rule of law without them. Specifically, a clearly defined concept of the rule of law requires three innovations: (1) it must more conspicuously incorporate substantive values and theories; (2) it must incorporate, or at least be plugged into, a coherent theory of law; and (3) it must make more cogent connections between means and ends. This last innovation will help guide those engaged in reform to evaluate trade-offs.

This Article proceeds as follows: In Part I, we consider how and why RL reformers value the rule of law, first focusing on the developing effort to export American-style RL abroad and, then, on how legal theorists conceive of and attempt to operationalize RL. In Part II, we offer some general observations about how best to think about the imperative of “measuring” RL. In Part III, we turn to the specifics of RL institutions, looking at the essential institutions and key governance structures that are viewed in the literature as configuring RL. With the contours of RL in mind, we turn in Part IV to the daunting task of “implementing” RL. It is from this close analysis of implementation that we arrive at our ultimately skeptical conclusion that RL is misunderstood in fundamental ways.

While there is enormous enthusiasm about the rule of law worldwide, we should be somewhat apprehensive about transplanting American-style legal institutions into other countries and systems of government until we have a clearer sense of the concept and can demonstrate a much more informed understanding of

how these institutions will work and how trade-offs will be made when values, structures, and rules come into conflict.

The problems with the current state of the literature and reform projects are several-fold. First, we lack a consensus regarding exactly why we value RL. While a rich literature has grown around this question, we still need to zero in on the normative reasons why particular elements of RL are valued (this is important for, among other reasons, helping us make trade-offs when values come into conflict). Second, too few satisfactory connections are made between RL and theories of legal decision making. Rule-of-law values must be grounded in a particular theory of law. For example, the implications for RL reform will be different depending on whether one is a legal realist or a legal formalist. For the rule of law to be a meaningful construct that can be used prescriptively to build institutions in emerging democracies or to perform the more mundane task of defining RL, scholars and practitioners must be upfront about the theory of law that underpins their views and expectations.Unpacking the commonly used measures of RL should make us think critically about the construct of RL on which they are based. Rather than measuring RL, these instruments often serve to measure the level of democratic values in a society or the extent to which it has implemented Western democratic traditions and thought. Often, indices of RL capture both a classical view of the law as being derived from nature or written by God and the influence of the legal process school, which envisions RL as a system of processes based on neutral principles. These two theories of law often do not and cannot fit into the same construct of RL. Indeed, any instrument that measures RL will require analysts to make trade-offs between, say, democracy, legal formalism, and the legal process view.

Third, we need to have more clarity in the connection between RL in theory and RL in implementation. This connection requires not only a careful specification of RL qualities, but also a satisfactory positive analysis of governmental performance to support the claim that RL necessitates one or another institution. For example, our discussion of judicial independence suggests that the imprecision in this concept raises questions about whether and how RL is facilitated by judicial independence. Relatedly, we have to have a clearer way to evaluate trade-offs when RL values come into conflict. Circumstances arise in which we are making incommensurable comparisons between values, interests, and objectives; there are even circumstances in which, at least in theory, cycling among preferences for competing institutional arrangements is possible.

法治之辩

丹尼尔·罗德里格兹

马修·麦卡宾斯

巴里·温加斯特

法治向来对学者和改革者极具吸引力。那些获得公共和私人慷慨资助且颇具影响力的非政府组织,总是敦促各国推行制度和法律改革,以实现法治。千千万万的改革者希望在世界各地建立、维护并改善法律制度和政治制度。虽然改革者们的倡议无疑属于规范研究的领域,但他们也坚信自己设计的方案得到了学术研究的支持,这些研究证明了建立并维护适当的法律和政治制度可以改善总体社会福祉。

改革者和许多学者坚持认为,法治是一种纯粹的善,它可以推动并捍卫那些真正可取的价值观,如经济发展和社会进步。政治和法律理论家认为,对一个寻求正义的政体来说,法治是必不可少的要素。这种关联常常被视为立足于民主、人类自由、平等、公平、经济发展、民族认同,或者立足于美国法学家富勒所说的法律的“内在道德”。在人们常说的二分法中,治理国家的方法不是法治就是人治。这就是说,在缺少法治的地方,我们无法监督统治者,因此只能屈服于官方特权,而这种特权可能会变得专断、反复无常和冷酷残暴。

关于法律体系需要具备什么条件以实施法治,法治领域的思想家和活动家已形成广泛的共识。除了基本赞同法治的含义及其必需的品质外,大家还认为,法治需要一系列必要的制度保障。同样,法治要有关键的治理结构,这些结构的架构可能各不相同,却是构筑法治大厦的基石。这些研究将有助于我们展开第四部分的讨论:我们先对美国和其他国家的政府结构给出某些假设,然后分析在这些假设条件下,如何能够(或不能)实现法治。

法治的一个关键制度就是创立宪法,或者更准确地说,是宪政安排。这是一个复杂而又常见的观点:只要一个政体拥有一部体现为宪法的根本大法(最好是成文的),我们就能可靠地衡量政府对法治的忠诚度。服务于法治的宪法有两重任务。首先,它为政治体系提供基本的结构和规则,它“明文规定与政府有关的制度”,(有时是概括性地,有时则是较为具体地)告诉政府如何承担责任,即如何治理。而更基本的是,它通过描述立法和执法结构等方式,界定了政府的架

构。其次,宪法纳入了实质性的规则,既授予又限制政府的监管权力。当我们说宪法是国家的根本大法时,我们指的是宪法中的规则说明了政府治理的边界。因此,根本法可以用来衡量政府监管权力的范围和界限。虽然大部分阐述法治的文献都不愿意多谈及根本法的内容,但都颇为大胆地坚称宪法是政府受法治制约的一个必要条件。

尽管一部成文宪法是必要的,但不见得这就是法治昌盛的充分条件。大多数宪法的适用期都相当短暂, 平均约为17年。此外,无论宪法制定得多么完美,由于政治官员经常漠视宪法,所以大部分宪法都起不了多大的作用。于是,在一个公开宣称致力于法治建设的国家,其宪政安排与法律和政治现实世界里的宪法维护和执行,会产生严重的脱节。因此,宪政建设作为法治改革的一个关键议程(很多讨论法治的法律和政治学文献都谈到了这一点),并不足以调和“纸上法律”和“社会法律”的脱节。

法治改革者和理论家往往坚持认为,致力于建立法治的国家应该拥有一套司法审查制度。在这套制度下,一个获得了正当授权的机构,即司法机关,有权评估政府行为是否以及在何种程度上符合宪法和其他权威法律来源所体现的程序性和实质性要求,并作出有约束力的判决。在论证司法审查必要性的背后,有一个一致的核心思想:这种制度安排对客观审视政府的行为和活动是不可或缺的(或至少是极其重要的)。司法审查有助于实施宪法的规则与价值,因此也有助于实施法治。

然而,越往深处探究法治概念,问题就变得越发棘手:法治究竟意味着什么?应该如何操作?正如某位评论家所言,法治是“一种久负盛名而又极具历史意义的理想境界,如今,它的确切含义可能比以往任何时候都更模糊不清。”14虽然法治是一个令人向往的理想,但它的魅力可能恰恰源自它的不精确性,源自它让我们每个人都能把自己心中的完美政府形式投射到“法治”这个词中。借着法治的名义,我们满世界输出美国式制度,却根本没有充分论证这些制度是不是美国的理想选择,更遑论是否适合其他国家。15无数不完整且未经证实的假设,构成了与法治相关的制度吁求。更清晰地阐述法治概念以及为落实法治设计一套方略,都需要我们谨慎对待这些假设。

本文主要提出了四个主张。首先,所有合理的法治定义必须纳入实质价值(substantive values)。虽然它可能被设定在程序性的条条框框内(譬如,认为法律应该是透明的、有前瞻性的),但是任何法治理论都必须把程序规则和法

律体系所要促进的价值联系起来。同理,法治倡导者的头脑里必须明确形成一套法律理论;将法治与法律理想拼凑在一起有悖于用来解读法律目的和性质的理论框架。其次,我们必须能够评估和测量法治。这类测量绝不只是简单地针对一系列制度,然后参照这些制度,评估或指数化某个法律体系对法治的忠诚度;16相反,一旦做出有效的法治定义,我们就得牢记法治制度的结构、性能与实现法治之间的关联。再次,法治改革必须周密思考目的和手段之间的关系。充分理解这一关系需要有明确的理论和实证支持,而不单单是规范上的信仰飞跃或武断的言词。最后,法治改革务必充分考虑权衡取舍问题,也就是说,旨在促进法治的各种制度之间是存在矛盾冲突的。

本文设定的目标既具批判性又具建设性。说它具有批判性,是因为我们逐一剖析了学术文献中的假设,揭示了上述种种缺陷。我们并不认为法治必定有瑕疵,因而不过是一种空洞的罗尔沙赫氏检验(Rorschach test),法律学者和改革者只是借此来投射他们对法律内容和法律目的的看法。相反,我们认为法治表达的是一种有价值的愿望,它恰好反映了那些坚持不懈的活动家的心声。当前的法治改革实践所遭遇的根本困境在于,法治的概念建立在不清晰的隐含假设之上。

本文还具有建设性,这是因为我们揭示了各种不可靠的假设,并找到一个不依赖于这些假设的方法来定义法治。具体来说,定义明确的法治概念需要三个创新:(1)必须更加明确地纳入实质价值和理论;(2)必须纳入或至少接入一套连贯的法律理论;(3)必须更切实地把手段和目的联系起来。最后这个创新将有助于引导改革者评估相关的权衡取舍。

本文的论述如下:在第一部分,我们思考法治改革者如何以及为何重视法治,首先重点讨论不断向国外输出美式法治的种种努力,然后专门探究法律理论家如何构想和试图实施法治。在第二部分,我们提出一些一般性意见,讨论怎样才能更恰当地思考“测量”法治这项必要任务。第三部分将详细论述各种法治制度,考察被文献中视为法治构成的基本制度和关键的治理结构。在了解法治的概况后,第四部分将探讨“实施”法治的艰巨任务。正是通过对实施法治的深入分析,我们最终得出了一个质疑性的结论:法治的很多基本方面都被人们误解了。

虽然目前世界各地都热衷于法治,但是对于将美式法律制度移植到其他国家和政府体系,我们应当持谨慎态度,除非我们对此有更清晰的认识,并能更全面地理解这些制度如何运作,知道如何在价值、结构和规则发生冲突时作出取舍。

围绕当前的法治文献和法治改革项目,还有各种各样的问题。第一,关于我们究竟为什么看重法治,目前尚无共识。尽管大量文献已经就这个问题展开讨论,但是我们仍需从规范研究的角度,着重分析为什么法治的特定要素是重要的(至少这有助于我们在法治的各种价值发生冲突时,做出取舍)。第二,法治与法律决策理论之间几乎找不到令人满意的连接点。法治的价值必须以某一特定的法律理论为基础。譬如,法治改革的影响将分别取决于改革是法律现实主义的还是法律形式主义的。为了让法治成为有用的制度架构以指导新兴民主国家的制度建设,或者为了对法治作出更精确的定义,学者和实践者必须直面支持其观点和期望的法律理论。通过解析常用的法治指标,我们就能批判性地思考这些指标所依据的法治概念。这些工具往往不是要测量法治,而是要测量一个社会的民主程度,或一个社会在多大程度上实现了西方的民主传统和思想。通常,法治指标既反映了自然法的观点,也反映了法律程序学派的影响,该学派把法治视为基于中立原则的程序体系。这两种法律理论的法治概念常常不一致。事实上,任何测量法治的工具都需要分析师在各种因素,如民主、形式主义法律、程序主义法律观之间的权衡。

第三,我们必须更清楚地了解法治理论和法治实践之间的关系。这不仅需要细致地说明法治的品质,还需要对政府运行给予令人满意的实证分析,以支持“法治必须包含这种或那种制度”的主张。例如,我们关于司法独立的讨论表明,不精确的司法独立概念引发了司法独立是否以及如何促进法治这样的问题。因此,我们必须用更明确的方法,来评估法治价值相互冲突时的权衡取舍。而这又会产生新的情况:我们要在不可比的价值、利益和目标之间做比较;甚至还会在各种相互矛盾的制度安排中兜圈子。

毕业设计外文翻译资料

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